A certification audit is the entire process of analyzing and evaluating a company to find out if it meets the requirements of a specific standard. This evaluation needs to be thorough and impartial and can be done internally or by an independent entity.
A quality certification audit is usually conducted when a company wants to achieve an important certification in its sector. The most popular are those granted by the International Organization for Standardization (ISO).
Going through an audit of this nature requires a lot of planning, work and organization. On the other hand, all this effort is rewarded with a gain in agility and efficiency in the operation, as well as in the safety and quality of the products. In addition, your company now has a valuable seal of trust, well regarded by customers, partners, suppliers, investors and other stakeholders.
Keep reading and see how to perform a certification audit in your company. In addition, learn about the main certifications that reference companies in the market usually have — and that yours also needs to have.
What is a certification audit?
As you have seen, a certification audit is the process of finding out if a company, a sector or even a process is in accordance with a certain certification.
Working very closely with quality control, auditing of this type helps to identify points of improvement and non-conformities. In this way, a company has a complete and reliable mechanism to know exactly what needs to be done to comply with the standards of the desired certification.
In practice, the certification audit process is carried out by an independent certifying body (e.g. ISO or FDA). This aims to ensure the impartiality and credibility of the whole process.
It is this regulatory entity that analyzes the information provided by the company, which covers various aspects of the company’s operation. In the end, the verdict is given if everything is according to what was expected for the certification to be granted.
That is why it is so important to have organization, efficiency, and traceability of everything that is done within your company. Thus, the certification audit process will be much easier, faster and with greater chances of success.
To achieve this effectiveness, most quality certification audits have the following structure:
- Planning: The company organizes its documentation and then makes it available to the certifying entity. It analyzes the company’s documents to ensure that all items of its standard have been covered.
- Compliance Audit: The auditor visits the company to assess whether the processes are being carried out according to the criteria of the standards.
- Report and Certification: If the evaluation is positive, the company receives the certificate. Otherwise, the regulatory authority asks for adjustments and a new audit is scheduled.
The Benefits of a Certification Audit
The main gain that a company incorporates by successfully passing a certification audit is precisely the strengthening of its quality management system (QMS). This occurs through the entire audit process, which analyzes the company and brings points for improvement, change and review.
Thus, the company adds good practices, metrics, care and tools that are a positive reference in the sector. This drives not only compliance with important industry standards but also the efficiency of the entire operation. As a result, the company starts to have more quality in the products/services available in the market.
In addition, the seal of approval achieved through a quality audit with certification also represents a gain in credibility. After all, being certified by a recognized regulation makes your company demonstrate that it cares about compliance and quality.
Therefore, the main benefits of conducting a certification audit can be summarized as:
- Process Improvement: identification of failures and opportunities for improvement.
- Credibility: demonstrates the company’s commitment to quality and compliance.
- Competitive Advantage: it can increase the trust of customers and partners.
Webinar: Achieving Continuous Improvement through Quality Audits
What are the main types of certification audits?
There is an immense variety of certifications, so there are types of certification audits to the same extent. To understand which ones are most important for your company, you need to evaluate your operation, your market and the product/service offered.
Still, some certifications are more popular and more recognized, making them almost fundamental for many companies. Below, you can learn more about five audits that focus on these regulations.
ISO 9001 Certification Audit
ISO 9001 is a certification that certifies that a company has the best quality management practices incorporated into its QMS. When seeking an ISO 9001 certification audit, one must follow seven principles developed by the International Organization for Standardization. They are:
- Be customer-focused;
- Have strong leadership;
- Engage people in the organization;
- Have a process-oriented culture;
- Apply a philosophy of continuous improvement;
- Make evidence-based decisions;
- Cultivate good relationships with stakeholders.
The best thing to do is to first carry out an internal audit, carried out by the company itself or by a hired auditor, to verify that internal processes follow the standard. Thus, you will be more prepared for the next step.
Then, the external audit is carried out and conducted by an independent certifying body. It will also assess whether the company’s QMS meets the requirements of ISO 9001. If the company passes this audit, it receives certification.
This structure of conducting an internal audit and then an external audit can be repeated in all other certifications.
ISO 14001 Certification Audit
ISO 14001 is an international Environmental Management Systems (EMS) quality standard. Its objective is to help organizations minimize their environmental impact through legislative requirements.
The main requirements to succeed in an ISO 14001 certification audit are:
- Implement an environmental policy;
- Assess the environmental aspects and impacts of your organization;
- Define sustainability goals and objectives;
- Implement operational controls;
- Monitor and measure performance;
- Carry out continuous improvement of your EMS.
ISO 22000 certification audit
ISO 22000 evaluates the ability of companies to properly control the entire food production chain. Because of this, it can be applied to all companies involved in the food chain, from feed producers and primary producers to food producers, carriers, warehouses, and retailers.
The ISO 22000 certification audit evaluates whether a company has the requirements for a food safety system, from the first contact with inputs to the final stages such as packaging, transportation, and storage.
ISO 45001 certification audit
ISO 45001 assesses whether a company has the best international practices in its Occupational Health and Safety Management System (OHSMS). It provides a safe and healthy work environment, preventing occupational injuries and diseases.
Some of the main points evaluated in an ISO 45001 certification audit are:
- Risk prevention framework;
- Integration with other management standards, such as ISO 9001 and ISO 14001;
- The participation of employees and leadership in the preparation and use of the OHSMS;
- Continuous monitoring and improvement to ensure the effectiveness of the OHSMS.
ISO 27001 Certification Audit
ISO 27001 indicates the guidelines for information security management. This standard helps companies create a robust Information Security Management System (ISMS).
To have an ISO 27001 certification, a company must implement the seven main requirements (also called Information Security Principles) pointed out in the standard. They are:
- Understand the context of your market and your own data security infrastructure;
- Ensure that all leadership is involved in the process of strengthening information security;
- Have an efficient planning of security actions and policies;
- Establish which resources (financial, equipment, personnel, etc.) will be used in the ISMS;
- Have ways to document and monitor the operation of the ISMS;
- Perform internal audits to monitor and evaluate the performance of the ISMS;
- Implement tools for continuous improvement and correction of non-conformities.
How to do a certification audit
The steps of a quality audit can vary greatly according to the regulation analyzed, the institution responsible for the certification and, of course, the nature of the company’s operation in question.
The details are analyzed on a case-by-case basis, but there is usually a basic structure that guides this process. This seeks to facilitate auditing and streamline the flow, as well as ensure its effectiveness.
This structure follows the pattern below:
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Preparation and Planning
Standard Study: Understand the requirements of the standard you want to certify, such as ISO 9001, ISO 14001 etc.
Documentation: Organize all necessary documentation, including policies, procedures, and records that prove compliance with the standard.
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Internal Auditory
Before certification auditing, it is common to conduct internal audits to identify and correct potential non-conformities. At the same time, training is done to ensure that teams are well-trained and aware of the requirements of the standard and the audit process to come.
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Selection of the Certifying Body
After doing the internal analysis, it is time to hire a recognized and independent certifying body to carry out the audit. These entities are usually directly linked to those responsible for creating the desired certification.
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Document Analysis
The auditor will review the documentation delivered by the company to verify that all the requirements of the standard have been met. If there are flaws and insufficiencies in the documentation, the auditor will indicate the necessary adjustments to proceed to the next phase.
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Compliance Audit
Afterward, the auditor will visit the company to assess whether the processes are being carried out according to the criteria of the standard.
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Interviews and Observations
Along with the visit, the auditor will interview employees and leaders to observe if the operations follow the standard in question.
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Reporting and Certification
After this entire process is completed, the auditor will provide an audit report detailing the compliances and non-conformities found. If the company complies, it will receive the certificate. Otherwise, it will be necessary to correct the non-conformities and undergo a new audit.
Conclusion
A certification audit is a fundamental piece for companies that want to find out how quality control is within their operation. With a wide range of options for regulations and certifications, a corporation can investigate various aspects of the operation — from IT infrastructure to the quality of the manufactured product, for example.
For this, it is necessary to be organized and efficient in dealing with documents and information, commitment from all parties involved in adopting improvements and, of course, having the right tools. Thus, your company can reap the rewards of undergoing a certification audit, such as strengthening its reputation, reducing non-conformities and, consequently, reducing costs and increasing sales.
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