ISO 9001:2015 Certification Audit is an important step in the ISO Certification implementation process. ISO auditor plays a crucial role in the success of ISO Certification.
The auditors are an integral part of the ISO Certification Implementation process. They check the efficiency and effectiveness of the QMS system.
There are two types of ISO Certification audits:
- Internal Audit (ISO Consultants & Organisation)
- External Audit (ISO Certification Body).
These Audits are essential to verify the ISO 9001:2015 Quality Management System and its compliance with the ISO Certification guidelines.
ISO 9001:2015 Certification Audit – Role of an ISO Consultant
ISO Consultant helps implement ISO 9001:2015 Certification the right way. They streamline the Quality Management System and lead the ISO Audit. They will coordinate the internal audit and conduct a gap analysis to identify the vulnerabilities.
Additionally, the ISO Consultants will also conduct a risk assessment as part of ISO 9001:2015 compliance requirements.
ISO Audit – How Internal Audit Helps in Identifying Risks in the Organisation
The ISO Consultants will prepare the right documentation and quality manuals. Thereby speeding up the ISO Certification process.
Internal Audit helps uncover hidden vulnerabilities in the business operations. It also helps in quality management system implementation and practice continuous improvements.
Taking all corrective actions and system improvements will make the ISO Certification process more effective. Thus, enabling the management to be ready for the internal audits.
Internal Audits – How to take Corrective Actions?
Expert ISO Consultants conduct the Internal Audits. They cover the whole of the organisation’s business operations.
All employees must provide extended support to Internal Audit. Employees across various functions and departments support the Audit process. Depending on the complexity of the organisational structure and business activity, the ISO Audit requirements vary.
During the Internal Audit, the ISO Consultant will ensure the management system is compliant with ISO Standard regulations.
Quality Manual Documentation Preparation – ISO 9001:2015 Certification Audit
The ISO Consultants will study the Management System and operational processes for any vulnerabilities. This will help in preparing the quality manual documentation in compliance with the ISO Certification guidelines.
Conducting the ISO Internal Audit is the key factor towards a faster ISO Certification. So, to achieve the ISO Certification at the earliest, having a robust internal auditing system is essential for every organisation.
Internal Auditing System – Aspects to Focus
Here are some elements of an effective Internal Auditing System.
1. ISO 9001:2015 Checklist
Having an ISO 9001:2015 Certification guideline or checklist is essential. It will help the ISO Consultant to create the policy manual quickly and implement the Quality Management System faster.
2. Coordination with the Departments
All teams across the organisation must be actively involved in the implementation of the QMS. The teams’ performance must be audited periodically, and continuous improvements are to be made as per the requirements.
3. Audit Frequency
Audit frequency is a key component. The efficiency of the system depends on how frequently the internal team audits business operations.
4. Audit Plan
A clear roadmap that covers the number of auditors from each team, project timeline, area of responsibility, etc., is essential for a successful ISO Audit.
5. Audit Objective & Scope
For the overall success of the ISO Certification Audit process, the right business objective and ISO audit scope are essential elements.
The QMS System and Audit process depend on the scope and the business objectives identified through the management review meetings.
6. Audit Feedback and Review
Audit feedback and review meetings will help in getting ready with an effective Quality Management System.
7. Implementing Corrective Action
After the management meeting, implement the corrective actions to the quality management system and make it compliant with ISO 9001:2015 Certification.
8. Getting Ready for ISO Certification
Implement all the corrective actions and complete the Quality Manual documentation. The Quality Management System must be re-audited by the internal auditor.
At this stage, the QMS is made ready for the external ISO Certification Audit. The ISO Certification body will conduct the ISO Certification Audit. After the audit, they will issue the ISO 9001:2015 Certificate.
Certification Auditor – How to implement a robust Quality Management System?
The Certification auditor will perform audits usually for one standard at a time. However, the auditor will be experienced in a variety of ISO Standards. They will help organisations get certified for the right ISO Standard.
The employees must provide all the required information to help the auditor to complete the audit effectively. The auditor will ask for assistance with the scope of certification and request documents and inspections around the premises. The employees must ensure the documentation and required information are readily available.
The employee must be supportive of the inspection and audit. They must build a positive rapport with the Auditor. The Auditor will visit next during the surveillance audit session after a year.
ISO Certification Consulting and Non- Conformities
The Certification auditor is not eligible to offer any consulting; So, the absence of non-conformity will force the auditor to mark non-compliance. The company will have to provide a report for re-audit and reissue the ISO certification.
During the Certification Audit, the Non-Conformities can be broadly categorised into two – Major and Minor Non-Conformities.
1. Major non-conformities
Major non-conformities are any breakdown or flaw in the management system that makes it deviate from the ISO Certification Standard requirements.
Also, the misalignment of policy manuals, or using outdated documentation and operating procedures in the workplace, etc.
2. Minor non-conformities
Now, a minor nonconformity is when the scope of the deviation from the Certification Standard requirements is minimal. Any minor shifts from the recommended best practices of ISO Certification can be flagged and requested for correction during the audit and proceed with the certification.
How to be ready for the ISO Certification Audit?
The organisation must be compliant with ISO Certification and must provide evidence for conformity.
1. Involvement from the Top Management
Top management must provide the required answers to the Auditor. The leadership team must be ready to answer all the specific queries from the Auditor.
ISO standards require organisations to comply with certain regulations. Improving the performance of the company is crucial.
2. Implementing the Right Corrective Actions
The right corrective actions and practice of continuous improvement must be followed to get the maximum benefit out of the ISO Certification process.
ISO Management System must be compliant with the ISO Standard. The ISO auditors will ensure that the QMS is 100% compliant with the ISO Certification requirements.
The corrective actions must be taken within the agreed timeline and re-audited. Once changes are applied and compliance requirements are met, the Certification body issues the certificate.
How Non-Conformity Assessment Audit will help ISO Certification?
The overall goal of the management system is to make the required enhancements to the system and business processes. The nonconformity assessment helps identify those vulnerabilities that were not addressed during the internal audit.
Auditing the management system via a third party enables organisations to get a wider and more transparent picture of the general business operations. Also, it can validate workflows that may not be validated by internal staff.
Hence, non-conformity assessment is a great way to fully benefit from the ISO Certification audit, enhance the overall quality management system and get the ISO Certification for the organisation.
To know more about ISO 9001:2015 Certification Audit and Implementation of the Quality Management System in your company in UAE, talk to our expert ISO Consultants right away!
