How to prepare for a conversation with a certifying body auditor?

Implementing and certifying a management system according to ISO standards is a crucial element of many companies' operations. ISO certificates increase customer trust, improve the company's image, and open new markets. Consequently, there may be pressure within the company to obtain the certificate on the first attempt. Conversations with the auditor, especially during the initial certification audit, can seem stressful. However, proper preparation and understanding of what an audit entails will significantly ease this stage. Below are tips on how to handle various situations that may arise.

How to prepare for an ISO audit?

Documentation and other evidence

An ISO auditor will need access to a wide range of documents and other evidence confirming compliance with ISO standards. Ensure that all necessary documents are up-to-date, complete, and easily accessible. Examples of required documentation may include procedures, company policies, work instructions, and records confirming the implementation and effectiveness of these procedures.

Additionally, you should be aware of the evaluation criteria, the scope of the audit, and the specific employee positions with which the auditor intends to meet. Try to obtain the audit plan as soon as possible. Having the audit plan in advance will allow you to better prepare, organize necessary meetings, and facilitate access to the required documentation. This will give you more time to thoroughly check all materials and ensure they meet the ISO standard requirements.

Remember, well-organized and transparent documents and a prepared team can significantly impact a positive audit outcome.

Employee training before the audit

Conducting training for employees before the audit is essential to ensure a smooth process and achieve a positive result. During the training, discuss what employees can expect during the audit to minimize stress and ensure effective cooperation.

• Audit objective: Explain the significance of the ISO audit and the benefits of its successful completion (obtaining the ISO certificate) for both the organization and individual employees.
• Audit scope: Present the scope of the audit, including the areas that will be assessed. Explain which documents and processes will be reviewed and which employee positions will be involved.
• Roles and responsibilities: Ensure all employees understand their roles and responsibilities in the context of the audit. Discuss how to prepare documentation and what information might be required by the auditor.
• Differences between internal and certification audits: Explain that an internal audit is conducted by company employees or external consultants commissioned by the company to assess compliance with standards and improve processes. It is more educational and aims to identify areas for improvement. A certification audit is conducted by an independent certification body to formally confirm compliance with ISO standards and obtain the certificate.
  • Communication differences: During an internal audit, employees can be more open to sharing problems and seeking solutions since the goal is improvement. During a certification audit, communication should be more formal and precise, as the results of this audit can affect obtaining or maintaining the certificate.
• Communication with the auditor: Conduct simulations of conversations with the auditor so employees can practice answering questions. Emphasize the importance of providing clear, factual, and truthful answers. Encourage asking questions if something is unclear and demonstrating knowledge of processes and procedures.
• Importance of cooperation: Stress that the audit is a team process and requires the involvement of all employees.

The training should end with a Q&A session to clarify any doubts and ensure all employees feel prepared and confident in their tasks. Regular training and reminders that the company's management system is based on ISO requirements should become part of the organizational culture, contributing to continuous process improvement and maintaining high-quality work.

Conducting conversations with an ISO auditor

Transparency and honesty in ISO audits

ISO auditors appreciate transparency and honesty. If any issues have occurred, do not try to hide them. Instead, be prepared to explain what steps have been taken to resolve them. Auditors are more likely to positively assess a company that communicates openly and demonstrates a proactive approach to problem-solving.

Arguing your point of view

During the audit, situations may arise where you and the auditor have different interpretations of internal procedures, ISO requirements, or even legal requirements. In such cases, it is important to calmly and factually argue your position. Prepare specific examples and evidence that support your approach. Remember that the goal of the ISO audit is not to penalize but to verify compliance with standards.

Answering the ISO auditor's questions

When answering the ISO auditor's questions, try to be specific and factual. Avoid giving general answers and provide concrete evidence to support your statements. If you are unsure of an answer, do not guess – it is better to admit that you need time to investigate the matter and promise to provide the answer later.

Cooperation and openness during the ISO audit

An ISO audit is an opportunity to improve processes in your company. Be open to the ISO auditor's suggestions and ready to discuss potential improvements. Actively cooperate, showing willingness to learn and implement any necessary changes.

Possible situations during an ISO audit

Positive situations:

• Positive assessment of compliance: The auditor praises the implemented procedures and documentation, confirming that the company meets the ISO standard requirements.
• Improvement suggestions: The auditor identifies areas for further improvement in a constructive manner, helping to enhance processes.

Negative situations:

• Nonconformities: The auditor identifies nonconformities that require immediate corrective actions or threaten the certification. It is important to remain calm and discuss possible solutions.
• Interpretational differences: Differences in the interpretation of the ISO standard between you and the auditor may occur. In such cases, it is crucial to argue your point of view and be open to dialogue.

Nonconformities that may arise usually result from systemic errors rather than individual employee actions. An audit is not an exam but an opportunity to improve processes. Collaboration with the auditor and openness to their comments can provide valuable insights for further development and improving the company's operations.

Role of the Certification Body Auditor

The auditor from the certification body acts as an independent verifier tasked with assessing the company's compliance with the ISO standard requirements. The auditor is not your opponent but a partner in the process of improving the management system. Their goal is to ensure the company meets the standard's requirements and identify areas for improvement.

Conclusion

Preparing for a conversation with the certification body's auditor requires a thorough understanding of the certification process and knowledge of the procedures in place at your workplace. It is essential to have a transparent and honest approach, the ability to argue your point of view, and readiness to cooperate and openness to suggestions. Remember that an ISO audit is an opportunity to improve processes in your company, and the auditor is a partner in this process. With the right approach, the audit can become a valuable tool supporting your company's development.

Contact Us

If you want to effectively prepare your team for the ISO audit conducted by the certification body and ensure professional conduct during the audit, we offer a customized training program that will help achieve this goal. Take advantage of our training to boost employees' confidence, improve process efficiency, and ensure compliance with ISO standards. Contact us to learn more and gain an advantage in the certification process.