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ISO Certification Audit
© Operational Excellence Consulting. All rights reserved.
§ Do not panic
§ Ask and clarify
§ Admit obvious non-conformities
§ Offer evidence and explain patiently
§ Take note of improvement areas
highlighted by the auditor
§ Show internal audit report, when
necessary
HOW TO HANDLE AN AUDIT SESSION?
§ Be polite
§ Be professional
§ Be positive or receptive
§ Be sincere
§ Demonstrate commitment
§ Be formal but not overly serious
AUDITEE’S CONDUCT
1. Be honest and open
2. Recognize they may be experts
3. Realize they may not be subject matter
experts
4. Understand the purpose of the meeting
and review related records prior to
interviews
5. Turn mobile phones to silent mode
6. Get the right person in to answer the
question
7. Listen carefully and understand each
question before answering – Be sure
responses are complete and accurate
8. If you don’t understand the question,
ask the auditor to clarify
9. Respond only to the question asked –
keep answer simple and direct
10.If you don’t know the answer, tell the
auditor – I don’t know
11.Weigh answers carefully, being certain
you have the facts to back them up
12.Limit comments to areas where you
have “first-hand” knowledge
INTERACTING WITH AUDITORS – DO’S
1. Assume auditors are familiar with your
organization’s ISO management system
2. Challenge auditors
3. Show more competence in the ISO
management system standard (e.g. ISO
9001)
4. Argue internally
5. Express unfairness
6. Ask for solution
7. Fix non-conformities on the spot
8. Speculate or answer hypothetical
questions
9. Agree or disagree with opinions
10.“Ramble” or provide irrelevant
information (such as office gossip)
11.Get offended by ‘why’ questions
12.Sign anything on behalf of the company
INTERACTING WITH AUDITORS – DON’TS
PRINCIPLES OF ISO MANAGEMENT SYSTEM AUDITING
KEY FOCUS OF ISO CERTIFICATION AUDIT
A major non-
conformity relates to
the absence or total
breakdown of a
required process or
a number of minor
non-conformities
listed against similar
areas.
TYPES OF ISO AUDIT FINDINGS
A minor non-
conformity is an
observed lapse in
the system’s ability
to meet the
requirements of the
standard or your
internal systems,
while the overall
process remains
intact.
An observation or
opportunity for
improvement relates
to a matter about
which the Auditor is
concerned but
which cannot be
clearly stated as a
non-conformity.
Minor
Non-conformity
Major
Non-conformity
Observation
To determine the effectiveness of the ISO
Management System (e.g. ISO 9001) in achieving
the organization’s objectives and in providing
products and services that conform to customer
and applicable regulatory requirements.
ISO Certification Audit
© Operational Excellence Consulting. All rights reserved.
§ Do not panic
§ Ask and clarify
§ Admit obvious non-conformities
§ Offer evidence and explain patiently
§ Take note of improvement areas
highlighted by the auditor
§ Show internal audit report, when
necessary
HOW TO HANDLE AN AUDIT SESSION?
§ Be polite
§ Be professional
§ Be positive or receptive
§ Be sincere
§ Demonstrate commitment
§ Be formal but not overly serious
AUDITEE’S CONDUCT
1. Be honest and open
2. Recognize they may be experts
3. Realize they may not be subject matter
experts
4. Understand the purpose of the meeting
and review related records prior to
interviews
5. Turn mobile phones to silent mode
6. Get the right person in to answer the
question
7. Listen carefully and understand each
question before answering – Be sure
responses are complete and accurate
8. If you don’t understand the question,
ask the auditor to clarify
9. Respond only to the question asked –
keep answer simple and direct
10.If you don’t know the answer, tell the
auditor – I don’t know
11.Weigh answers carefully, being certain
you have the facts to back them up
12.Limit comments to areas where you
have “first-hand” knowledge
INTERACTING WITH AUDITORS – DO’S
1. Assume auditors are familiar with your
organization’s ISO management system
2. Challenge auditors
3. Show more competence in the ISO
management system standard (e.g. ISO
9001)
4. Argue internally
5. Express unfairness
6. Ask for solution
7. Fix non-conformities on the spot
8. Speculate or answer hypothetical
questions
9. Agree or disagree with opinions
10.“Ramble” or provide irrelevant
information (such as office gossip)
11.Get offended by ‘why’ questions
12.Sign anything on behalf of the company
INTERACTING WITH AUDITORS – DON’TS
PRINCIPLES OF ISO MANAGEMENT SYSTEM AUDITING
KEY FOCUS OF ISO CERTIFICATION AUDIT
To determine the effectiveness of the ISO
Management System (e.g. ISO 9001) in achieving
the organization’s objectives and in providing
products and services that conform to customer
and applicable regulatory requirements.
A major non-
conformity relates to
the absence or total
breakdown of a
required process or
a number of minor
non-conformities
listed against similar
areas.
TYPES OF ISO AUDIT FINDINGS
A minor non-
conformity is an
observed lapse in
the system’s ability
to meet the
requirements of the
standard or your
internal systems,
while the overall
process remains
intact.
An observation or
opportunity for
improvement relates
to a matter about
which the Auditor is
concerned but
which cannot be
clearly stated as a
non-conformity.
Minor
Non-conformity
Major
Non-conformity
Observation
© Operational Excellence Consulting. All rights reserved. 3
Operational Excellence Consulting is a management training and consulting
firm that assists organizations in improving business performance and
effectiveness. Based in Singapore, the firm’s mission is to create business
value for organizations through innovative design and operational excellence
management training and consulting solutions. For more information, please
visit www.oeconsulting.com.sg

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ISO Certification Audit Poster

  • 1. ISO Certification Audit © Operational Excellence Consulting. All rights reserved. § Do not panic § Ask and clarify § Admit obvious non-conformities § Offer evidence and explain patiently § Take note of improvement areas highlighted by the auditor § Show internal audit report, when necessary HOW TO HANDLE AN AUDIT SESSION? § Be polite § Be professional § Be positive or receptive § Be sincere § Demonstrate commitment § Be formal but not overly serious AUDITEE’S CONDUCT 1. Be honest and open 2. Recognize they may be experts 3. Realize they may not be subject matter experts 4. Understand the purpose of the meeting and review related records prior to interviews 5. Turn mobile phones to silent mode 6. Get the right person in to answer the question 7. Listen carefully and understand each question before answering – Be sure responses are complete and accurate 8. If you don’t understand the question, ask the auditor to clarify 9. Respond only to the question asked – keep answer simple and direct 10.If you don’t know the answer, tell the auditor – I don’t know 11.Weigh answers carefully, being certain you have the facts to back them up 12.Limit comments to areas where you have “first-hand” knowledge INTERACTING WITH AUDITORS – DO’S 1. Assume auditors are familiar with your organization’s ISO management system 2. Challenge auditors 3. Show more competence in the ISO management system standard (e.g. ISO 9001) 4. Argue internally 5. Express unfairness 6. Ask for solution 7. Fix non-conformities on the spot 8. Speculate or answer hypothetical questions 9. Agree or disagree with opinions 10.“Ramble” or provide irrelevant information (such as office gossip) 11.Get offended by ‘why’ questions 12.Sign anything on behalf of the company INTERACTING WITH AUDITORS – DON’TS PRINCIPLES OF ISO MANAGEMENT SYSTEM AUDITING KEY FOCUS OF ISO CERTIFICATION AUDIT A major non- conformity relates to the absence or total breakdown of a required process or a number of minor non-conformities listed against similar areas. TYPES OF ISO AUDIT FINDINGS A minor non- conformity is an observed lapse in the system’s ability to meet the requirements of the standard or your internal systems, while the overall process remains intact. An observation or opportunity for improvement relates to a matter about which the Auditor is concerned but which cannot be clearly stated as a non-conformity. Minor Non-conformity Major Non-conformity Observation To determine the effectiveness of the ISO Management System (e.g. ISO 9001) in achieving the organization’s objectives and in providing products and services that conform to customer and applicable regulatory requirements.
  • 2. ISO Certification Audit © Operational Excellence Consulting. All rights reserved. § Do not panic § Ask and clarify § Admit obvious non-conformities § Offer evidence and explain patiently § Take note of improvement areas highlighted by the auditor § Show internal audit report, when necessary HOW TO HANDLE AN AUDIT SESSION? § Be polite § Be professional § Be positive or receptive § Be sincere § Demonstrate commitment § Be formal but not overly serious AUDITEE’S CONDUCT 1. Be honest and open 2. Recognize they may be experts 3. Realize they may not be subject matter experts 4. Understand the purpose of the meeting and review related records prior to interviews 5. Turn mobile phones to silent mode 6. Get the right person in to answer the question 7. Listen carefully and understand each question before answering – Be sure responses are complete and accurate 8. If you don’t understand the question, ask the auditor to clarify 9. Respond only to the question asked – keep answer simple and direct 10.If you don’t know the answer, tell the auditor – I don’t know 11.Weigh answers carefully, being certain you have the facts to back them up 12.Limit comments to areas where you have “first-hand” knowledge INTERACTING WITH AUDITORS – DO’S 1. Assume auditors are familiar with your organization’s ISO management system 2. Challenge auditors 3. Show more competence in the ISO management system standard (e.g. ISO 9001) 4. Argue internally 5. Express unfairness 6. Ask for solution 7. Fix non-conformities on the spot 8. Speculate or answer hypothetical questions 9. Agree or disagree with opinions 10.“Ramble” or provide irrelevant information (such as office gossip) 11.Get offended by ‘why’ questions 12.Sign anything on behalf of the company INTERACTING WITH AUDITORS – DON’TS PRINCIPLES OF ISO MANAGEMENT SYSTEM AUDITING KEY FOCUS OF ISO CERTIFICATION AUDIT To determine the effectiveness of the ISO Management System (e.g. ISO 9001) in achieving the organization’s objectives and in providing products and services that conform to customer and applicable regulatory requirements. A major non- conformity relates to the absence or total breakdown of a required process or a number of minor non-conformities listed against similar areas. TYPES OF ISO AUDIT FINDINGS A minor non- conformity is an observed lapse in the system’s ability to meet the requirements of the standard or your internal systems, while the overall process remains intact. An observation or opportunity for improvement relates to a matter about which the Auditor is concerned but which cannot be clearly stated as a non-conformity. Minor Non-conformity Major Non-conformity Observation
  • 3. © Operational Excellence Consulting. All rights reserved. 3 Operational Excellence Consulting is a management training and consulting firm that assists organizations in improving business performance and effectiveness. Based in Singapore, the firm’s mission is to create business value for organizations through innovative design and operational excellence management training and consulting solutions. For more information, please visit www.oeconsulting.com.sg