ISO External Audits: The Crucial Roles of Accredited Certification Bodies & Independent Consultants

Achieving ISO Certification: The Role of Certification Bodies and Independent Consultants

When embarking on the path to ISO certification, businesses should engage with both certification bodies and independent consultancies. Certification bodies are responsible for conducting impartial and thorough audits to verify compliance with ISO standards. They must maintain objectivity and cannot provide consultancy services. Independent consultants, on the other hand, offer essential support and guidance throughout the certification process, helping organisations prepare for successful audits.

Understanding the ISO External Audit

To understand how both the certification body and independent consultant contribute to gaining ISO certification, it’s essential to grasp the process of the external audit.

An ISO external audit is a comprehensive evaluation conducted by a third-party auditor - from a certification body - to ensure that an organisation's management system complies with the relevant ISO standards, such as ISO 9001 (Quality Management System), ISO 14001 (Environmental Management System), and ISO 45001 (Occupational Health and Safety Management Systems).

The initial audit process typically involves two main stages:

• Stage 1: Documentation Review: The external auditor examines the organisation's documented information, including policies, procedures, and records, to assess readiness for the certification audit.
• Stage 2: Certification Audit: This stage involves an in-depth evaluation of the organisation's management system in practice. The auditor will verify the implementation and effectiveness of the system through interviews, observations, and review of records.

After achieving ISO certification, the organisation must maintain compliance with the relevant standards throughout the three-year certification cycle. This is ensured through regular surveillance audits conducted by the certification body. These audits typically occur annually and involve a review of the management system's continued implementation and effectiveness. The certification body will assess any changes in the organisation, verify corrective actions taken for any previously identified non-conformities, and ensure that the management system remains aligned with the ISO standards. This ongoing evaluation helps the organisation sustain high standards and continuous improvement in their processes.

Importance of Accredited Certification Bodies

Choosing an accredited certification body is crucial for ensuring the credibility and recognition of the ISO certification. Accredited bodies are recognised for their competence, impartiality, and adherence to international standards, such as those set by the International Accreditation Forum (IAF).

Benefits of Accredited Certification Bodies:

• Competence and Expertise: Accredited bodies have demonstrated their ability to conduct reliable and impartial assessments, ensuring a thorough and credible certification process.
• International Recognition: Certifications issued by accredited bodies are recognised globally, enhancing the organisation's reputation and credibility in the international market.
• Consistency and Reliability: Accredited bodies follow strict guidelines and undergo regular evaluations to maintain their accreditation, ensuring a consistent and reliable certification process over time.

The Role of Independent Consultants

Independent consultants provide invaluable support to businesses throughout the ISO certification process. Their expertise can significantly enhance the chances of a successful audit by offering guidance and assistance before, during, and after the external audit by the certification body.

Before the External Audit: Preparation and Planning

• Gap Analysis: Consultants can conduct a thorough gap analysis to identify areas where the organisation's current practices fall short of ISO requirements, helping to develop a targeted action plan to address these gaps.
• Documentation Support: They can assist in creating and organising the necessary documentation, ensuring that all policies, procedures, and records are in place and compliant with ISO standards.
• Employee Training: Sometimes training sessions are conducted to educate employees about ISO standards and their roles in maintaining compliance, ensuring everyone is prepared for the audit.

During the External Audit: On-Site Support

• Real-Time Assistance: During the audit, consultants can provide on-site support, addressing any queries from the certification body and helping to resolve issues promptly.

After the External Audit: Continuous Improvement

• Corrective Actions: If any non-conformities are identified during the audit, consultants can help in developing and implementing corrective actions to address these issues.
• Ongoing Support: They can offer continuous support to ensure that the organisation maintains compliance and is prepared for future audits, including surveillance and recertification audits. They can assist with ongoing internal audits of their management systems to ensure continuous improvement and readiness for external audits.
• Enhance & Streamline: Consultancies can enhance management systems by incorporating more standards, thereby streamlining and consolidating tasks to improve overall efficiency and effectiveness.

An Independent Perspective

Although a strong working relationship between the two parties is key, the independence of accredited ISO certification bodies and consultants is vital for preserving the integrity of the certification process. This separation ensures businesses are well-prepared for audits and can effectively address any issues that arise. The independent perspectives of both parties benefit the client by helping organisations achieve and maintain ISO certification according to rigorous standards, fostering a culture of continuous improvement and compliance.

Final Thoughts from Industry Experts

Here are insights from two highly experienced professionals in the field of ISO certification. Dan Curling, Sales and Marketing Director for DQS in the UK, and Jaimie Lithgow, Business Manager at Ley Hill Solutions, share their perspectives on the importance of accredited certification and the role of consultants in achieving and maintaining these standards. Their expertise highlights the value of collaboration between certification bodies and consultants, ensuring a smooth and effective certification process that adds significant value to businesses.

"Accredited certification is a powerful tool that enhances a company's reputation, drives operational efficiency, and ensures compliance with international standards. Achieving certification demonstrates your commitment, which ultimately leads to increased trust from clients, suppliers, and stakeholders. However, navigating the process requires expertise. Working with a knowledgeable management systems consultant ensures a smooth journey towards successful certification from an accredited certification body. A good consultant helps tailor the right processes, identify gaps, and implement best practices that not only meet the standards but also add value to your business in the long run”

–Dan Curling – Sales and Marketing Director UK and Ireland – DQS United Kingdom Limited

"Choosing the right consultant and certification body is crucial. Always ensure the consultant has a strong working relationship with the certification body and is an approved service provider through an ACP scheme. When both parties collaborate effectively, the support in navigating certification intricacies is significantly enhanced. Often, consultants act as a 'translation' service, making the entire process smoother for everyone involved."

– Jaimie Lithgow – Business Manager – Ley Hill Solutions

Contact:

Ley Hill Solutions:      www.leyhill.com  OR  [email protected]

DQS:                             www.dqsglobal.com/gb-en/  OR  [email protected]