You Cannot Fail in ISO Certification Audits

You Cannot Fail in ISO Certification Audits

It is impossible to fail certification (unless you quit). The worst thing that can happen is that it might take a little longer and cost a little more. The final point that we wish to make in our discussion of the direct sequence manual is that you cannot fail an initial assessment, unless you simply quit. The worst thing that can happen is that is might take longer and cost more. This is an established fact for the initial systems assessment (certification assessment). One does not fail a third-party assessment; it is a part of the ISO mythology. One does get non-conformances that need to be corrected. The worst case is a major finding that could delay the certification process by up to three months and cost some more to pay the registrar’s lead assessor to come back and clear the nonconformance. But that is it. This is the primary reason that so many consulting groups will agree to guarantee certification/ registration

The steward’s task is to make sure that there are no major findings possible. This is accomplished via in-depth internal audits by well-trained auditors. The audits should be evenly distributed throughout the creation process and not left to the last moment prior to the document review. The audits not only increase the probability of a major nonconformance-free certification assessment, but they form the base of a dynamic corrective and preventive action program.

Inevitably there will be minor findings at the initial systems assessment, the first surveillance, the second surveillance, the recertification assessment, and the re-recertification assessment. That is what continuous improvement is all about. I still come up with nonconformances with clients that I have audited for over 8 years. Organizations undergo all manner of change over 3 years (e.g., top management changes; mergers; acquisitions; moves to new facilities; market ups and downs; national and international tragedies, including war, floods, and fires). Without sufficient audits, the documentation falls behind reality and even the act of auditing begins to evaporate. It is equivalent to firing the sales staff because sales are down. Find the root causes, make the necessary changes to match the changed scenario, and move forward. There, of course, can be major findings. By major findings we mean, for example, an ineffectual management review, a poorly managed training program, a lack of internal quality audits, a corrective and preventive action program that is uncertain and loosely managed. The stewards must pay close attention to these areas. One of the traps in the management review process is for the top manager to use the management review as a “rah rah” session instead of focusing on the enterprise’s deviations from its planned goals based on firm and quantitative metrics. You say, “Never happens”? It does. Another danger area is the loss of internal auditors due to downsizing, burnout, disinterest, and promotion. It is important to maintain a constantly trained group of auditors to cover such contingencies. A safe level of auditors depends on the organization’s size in both people and square footage and the degree of outsourcing. Today, we have situations where the organization consists
of one person in the site and everything else is outsourced. Your registrar will work with you to cover this event. It does happen and people get certified.

Wish you all the best to get certified for ISO.