Importance of Being Audit-ready:
Audits serve a critical role in verifying that an organization’s processes are aligned with established standards and functioning as intended. Far from being a punitive exercise, audits offer valuable insight into the strengths and weaknesses of a management system.
In my three decades of working with organizations across industries, one universal truth remains. An audit is not a surprise inspection, it’s a mirror. It reflects your organization’s systems, leadership engagement, and cultural commitment to quality and improvement.
However, many organizations approach audits reactively, preparing only when one is imminent. This mindset often leads to unnecessary stress, inefficiencies, and missed opportunities for improvement. Being audit-ready means that compliance and performance monitoring are built into everyday operations, not treated as one-time events.
When an organization maintains a state of readiness, it reflects a culture of discipline, transparency, and continual improvement. Employees are aware of their responsibilities and of their processes, documentation is up-to-date, and leadership is engaged in the oversight of the system. This proactive approach not only supports successful audit outcomes but also enhances organizational resilience, stakeholder trust, and long-term sustainability.
Understanding ISO Audit Findings: What They Are and Why They Matter:
ISO audit findings are the documented results of an audit. Specifically, they identify areas where an organization’s management system either conforms to or deviates from the requirements of the ISO standard being audited. Findings can range from conformities, to observations (areas for potential improvement), to nonconformities, which indicate a failure to meet a specific requirement.
Audit findings are like diagnostic tools. Much like a physician’s report, they highlight where systems are healthy and where they need attention. Nonconformities, in particular, require careful attention. They are typically classified as minor or major. Left unaddressed, even minor nonconformities can escalate and lead to reputational damage, customer dissatisfaction, or even loss of certification.
In essence, audit findings are not setbacks, they are stepping stones toward improvement.
1. Poor Document Control
Uncontrolled, outdated, or missing documents can quickly lead to findings. Document control is critical for ensuring staff use the correct and current information. Organization can avoid this ISO Audit finding by implementing version control, limiting access to documentation, voiding printed copies of documentation, training employees on document management and regularly reviewing and updating procedures
2. Incomplete or Missing Records
Auditors expect to see evidence that procedures are being followed. If records are absent, it creates doubt about system effectiveness. Was the work really done? Further incomplete records are not able to evidence if the process step was followed as required by the procedure.
Organization can avoid this ISO Audit finding by automating recordkeeping, performing regular record audits, employee awareness and assigning clear ownership for maintaining records
3. Lack of Management Review
Without regular management reviews, there’s no top-level oversight of the system’s performance and alignment with strategic goals. Clause 9.3 of the ISO standards requires these reviews to be done at planned intervals. In some cases the organization may evidence the inputs provided to management but the outputs (decisions and actions) fail to get recorded.
Organizations can avoid this ISO Audit finding by scheduling periodic reviews, using metrics to guide discussions, making sure the leadership participates and documenting decisions and follow-up actions.
4. Ineffective Internal Audits
Weak internal audits fail to uncover problems and leave issues for external auditors to find. This could be caused by poorly trained and qualified auditors, poor audit planning, using ‘canned’ checklists and a fear of audits and non-conformities causing personnel to hide issues.
Organizations can avoid this ISO Audit finding by training auditors from recognized training providers like QMII, auditing processes and not just documents, closing out internal audit findings promptly.
5. Unclear Roles and Responsibilities
When staff are unsure of their responsibilities, process gaps and accountability issues arise. In companies I have worked with there sometimes arises a confusion from where it is not clear which operator will conduct the task since all have the same job descriptions.
Organizations can avoid this ISO Audit finding by defining roles and responsibilities in a RACI matrix or in the documented procedure, communicating changes clearly and verifying understanding during onboarding and training.
6. Non-Conformance Not Properly Addressed
Failure to analyze root causes or verify corrective actions can lead to repeat findings. A common cause of this may be a poorly written non-conformity as also a lack of structured root cause analysis training.
Organizations can avoid this ISO Audit finding by following a structured corrective action process, using tools like 5 Whys or Fishbone diagrams and reviewing the effectiveness of corrections
7. Lack of Risk-Based Thinking
ISO standards expect organizations to identify and manage risks proactively. Many still rely too heavily on reactive approaches. In some cases, risks are known, but are not passed up the chain because no structure exists for this to occur. Organizations can avoid this ISO Audit finding by including risk assessments in the planning phase, training staff on risk identification and maintaining a risk register that is updated on a regular basis.
8. Insufficient Training or Competence
Staff who aren’t trained properly or lack required skills pose a compliance risk. Organizations can avoid this ISO Audit finding by developing and using a skills matrix, providing refresher training, linking training to performance reviews. Once the training is complete organizations must have a process to verify that training resulted in competence.
9. Failure to Meet Customer or Regulatory Requirements
Not understanding or failing to meet these requirements can lead to major nonconformities. This occurs when organizations do not have a robust process for determining new requirements that may impact them and planning ahead to mitigate the risks.
Organizations can avoid this ISO Audit finding by reviewing customer contracts and regulations, staying updated on evolving regulations, conducting compliance checks and keeping requirements visible to relevant teams.
10. Lack of Continual Improvement Evidence
Without records of improvement, your ISO system can appear stagnant and ineffective. Organizations can demonstrate to auditors that they meet the intent of continual improvement by trending and tracking KPIs, logging and reviewing improvement initiatives and recognizing and rewarding improvements
