What ISO certification preparation services do before the external audit
The first time an auditor finds a problem in your system should not be during the certification audit. It should be during your own. That is what an internal audit is for.
Internal audits are a standard part of ISO certification preparation services because they give you a rehearsal. You find the gaps, fix them and go into the external assessment knowing what to expect.
What an internal audit is
An internal audit is a check of your own management system, carried out by people from within your organisation or by someone working on your behalf. The purpose is to find out whether your system meets the requirements of the standard and whether people follow what your procedures say.
The auditor needs to be impartial. Someone auditing their own work will tend to see what they expect to see. ISL provides guidance on running internal audits so that they are done properly and not just ticked off.
What gets checked
An auditor compares three things: what the standard requires, what your documents say, and what people really do. In practice that means:
- reading procedures and policies against the requirements
- talking to staff about how they do their work
- sampling records to see that the work was recorded as the procedure says
- checking whether objectives are being met
- confirming that earlier corrective actions were actually closed
The gap between documents and practice is where most findings come from. Our certification facilitation service covers how ISL supports this side of preparation.
How an internal audit runs
A typical audit starts with a plan that sets the scope, the areas to visit and the schedule. The auditor then holds interviews, watches work being done and samples records. At the end there is a report listing what was found, and a meeting to agree what happens next.
| Internal audit | Certification audit | |
|---|---|---|
| Who carries it out | Someone from your organisation, or working for you | Your chosen certification body |
| When it happens | Before you approach the certification body | At the assessment stage |
| Main purpose | Find and fix gaps early | Decide whether to certify your system |
| What follows | Corrective actions you close yourself | A certification decision |
| Value to you | A rehearsal with room to correct | Recognition that you meet the standard |
Findings and what they mean
Findings usually fall into two groups. A non-conformity means a requirement is not being met. An observation, or opportunity for improvement, points to something that works but could be stronger. Do not be alarmed by findings. An internal audit that finds nothing is more suspicious than one that finds ten small things.
Corrective action is where the value is
A finding is only useful if it is dealt with. A good corrective action fixes the problem and then asks why it happened, so it does not return. Fixing only the symptom means the same finding appears at the next audit.
ISL’s preparation services include a review of corrective actions, checking that the cause has been addressed and that there is evidence to show it. This is a step many companies rush, and it is the one certification bodies pay attention to.
Common mistakes
The usual errors are simple. Companies leave the audit until the last minute, so there is no time to fix what it finds. They let the person responsible for a process audit that same process. They treat it as paperwork. Or they close corrective actions quickly to look tidy. Each of these defeats the purpose of the exercise.
Where it fits in your ISO journey
The internal audit comes after your system has been running long enough to produce real evidence, and before you approach the certification body. If you are building a quality management system to ISO 9001:2015, it is the last big checkpoint. Our management systems consulting walks you through the whole route, and capacity building trains your own staff to run future audits so you are not reliant on outside help. Ready to plan yours? Contact ISL.
Prepare with ISO certification preparation services from ISL
ISL’s ISO certification preparation services include internal audit guidance and a review of corrective actions, so you go into the external assessment with confidence. Read about our certification facilitation service, then call +254 794 66 99 60 or email info@islglobal.net.