{"id":16490,"date":"2024-01-08T12:36:42","date_gmt":"2024-01-08T11:36:42","guid":{"rendered":"https:\/\/compleye.io\/?p=16490"},"modified":"2024-01-08T12:51:43","modified_gmt":"2024-01-08T11:51:43","slug":"what-happens-if-i-fail-an-iso-audit","status":"publish","type":"post","link":"https:\/\/compleye.io\/nl\/artikelen\/what-happens-if-i-fail-an-iso-audit\/","title":{"rendered":"Wat gebeurt er als ik niet slaag voor een ISO-audit?"},"content":{"rendered":"
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What Happens if I <\/span><\/b>Fail an ISO Audit?<\/span><\/b>\u00a0<\/span><\/h1>

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ISO audits are hard enough without thinking about the possibility of failure. However, if you fail an ISO audit, all is not lost. Here is Compleye\u2019s guide to what happens after an audit failure, and how your organisation can get straight As at your next audit.\u00a0<\/span>\u00a0<\/span><\/p>

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Introduction\u00a0<\/span><\/b>\u00a0<\/span><\/h2>

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ISO has about 25,000 standards<\/span><\/a> and, <\/span>in 2022, awarded 2,407,109 certifications across the 16 standards covered by that year\u2019s ISO Survey<\/span><\/a>. That\u2019s an awful lot of audits.\u00a0<\/span>\u00a0<\/span><\/p>

ISO doesn\u2019t release data on how many organisations fail its audits. But, from the sheer amount of audits conducted every year, if you fail an audit, you can take comfort in the fact that you\u2019re not alone.\u00a0<\/span>\u00a0<\/span><\/p>

Failing an ISO audit is challenging, but it doesn\u2019t mean it\u2019s the end of your organisation\u2019s compliance journey. It just means it\u2019s going to take a little longer to reach your destination.\u00a0<\/span>\u00a0<\/span><\/p>

In this Compleye guide, we\u2019ll dive into what happens after an audit failure, and how you can get back on the road to success. Remember, <\/span>we\u2019re always here if you want to discuss your audit report<\/span><\/a> and make sure things go better next time.\u00a0<\/span>\u00a0<\/span><\/p>

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Why Organisations Might Fail an ISO Audit\u00a0<\/span><\/b>\u00a0<\/span><\/h2>

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At its most basic, an ISO audit failure means your organisation does not comply with the standards set out in an ISO framework.<\/span>\u00a0<\/span><\/p>

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However, things get a little more complex when you consider that one badly structured document will rarely tip the scales toward failure. Generally, for your organisation to fail an ISO audit, there will have to be:\u00a0<\/span>\u00a0<\/span><\/p>

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Major Non-conformances<\/span><\/b> – These are serious deviations from the ISO standard that can compromise the overall effectiveness of your systems. As fundamental issues, they will need to be addressed before certification can be granted. <\/span>Here are some examples of ISO 27001 non-conformances<\/span><\/a>.\u00a0<\/span>\u00a0<\/span><\/p>

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Cumulative Effect<\/span><\/b> – While one minor non-conformance is likely to lead to failure, auditors will consider the cumulative effect of several minor non-conformances and their potential impact on your organisation\u2019s ability to meet the framework\u2019s requirements.\u00a0<\/span>\u00a0<\/span><\/p>

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Systematic Issues<\/span><\/b> – A lack of control or consistency that affects multiple areas of your organisation or management system may cause an audit failure. This is because these issues suggest that your organisation\u2019s overall approach to compliance is not up to scratch.\u00a0<\/span>\u00a0<\/span><\/p>

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Failure to Address Previous Findings <\/span><\/b>– If a previous audit found multiple minor or major non-conformances, you must provide proof that you have attempted to address them and the process you took to do this. If you cannot demonstrate a commitment to continuous review, be prepared to fail.\u00a0<\/span>\u00a0<\/span><\/p>

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After You Fail an ISO Audit\u00a0<\/span><\/b>\u00a0<\/span><\/h2>

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If you don\u2019t have your ISO certification\u2026<\/span><\/b>\u00a0<\/span><\/h3>

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<\/span>If you do not possess your ISO certification, and it is your first attempt, the external audit comprises two phases:<\/span>\u00a0<\/span><\/p>

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Phase 1: During this stage, the auditor examines whether you have addressed all mandatory aspects of the ISO27001 requirements. This can be likened to a ‘theoretical driving licence exam.’ If crucial topics or items are found to be missing, you have a limited time (3-6 weeks) to make necessary repairs. Subsequently, the auditor will conduct a re-audit before proceeding to phase 2, incurring additional costs. Once approved for phase 1, phase 2 commences. Typically, there is a six-week gap between the two phases during the planning stage, allowing for potential repair time. In phase 2, the auditor, through sampling, verifies the implementation of everything documented.<\/span>\u00a0<\/span><\/p>

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If you have your ISO c<\/span><\/b>ertification<\/span><\/b>\u2026<\/span><\/b>\u00a0<\/span><\/h3>

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Depending on the severity and impact of non-conformances within your organisation, you may lose your certification. But, this is comfortingly rare since auditors cannot take away your certification – this decision is made by a committee within the certifying body. Usually, your auditors will simply set a deadline for the implementation of corrective measures and a date for your next audit.\u00a0<\/span>\u00a0<\/span><\/p>

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If you must have an ISO certification\u2026<\/span><\/b>\u00a0<\/span><\/h3>

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Your organisation may operate within a regulated industry that requires you to have an ISO certification. In this case, failure can cause some tangible consequences. You\u2019ll need to be prepared for other costs that result from service\/product delays, and reputational damage that can impact your clients\u2019\/suppliers\u2019 decisions and employee morale.\u00a0<\/span>\u00a0<\/span><\/p>

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Review the Audit Report\u00a0<\/span><\/b>\u00a0<\/span><\/h2>

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Whether you pass or fail an ISO audit, your auditor will provide you with an audit report. This is your best friend when it comes to review and improvement, so make sure to read it thoroughly and discuss it with key individuals.\u00a0<\/span>\u00a0<\/span><\/p>

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In particular, you should check the audit report for:\u00a0<\/span>\u00a0<\/span><\/p>

Major\/Minor Non-conformances and Opportunities for Improvement<\/span><\/b>\u00a0<\/span><\/p>

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These will be the main things you\u2019ll need to focus on moving forward. <\/span>According to UKConsulting, the most common areas where non-conformances cropped up across ISO standards in 2023 were<\/span><\/a>:<\/span>\u00a0<\/span><\/p>

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