Common ISO Audit Findings and How to Avoid Them

ISO management systems certification offers organisations a structured framework to improve operations, enhance compliance, and build trust. But even well-prepared businesses can face nonconformities during an ISO audit – some of which appear time and again across industries and sectors.

The System Certification Services Ltd (SCS) experienced auditors have seen first-hand the patterns that often lead to audit findings. Below, we explore some of the most common nonconformities and, importantly, how your organisation can avoid them.

1. Lack of Documented Evidence

The issue:

One of the most frequent audit findings is insufficient documented evidence to demonstrate that policies, procedures, and processes are effectively implemented.

How to avoid it:

• Maintain up-to-date records of meetings, training, internal audits, and reviews.
• Ensure staff understand what documentation needs to be completed and why.
• Conduct internal audits regularly and use them as a tool to check your documentation trail.

2. Failure to Follow Internal Procedures

The issue:

Even if procedures are documented, they’re not always followed consistently in practice, particularly if staff are unclear about responsibilities.

How to avoid it:

• Provide clear, role-specific training.
• Involve staff in the development and review of procedures to increase buy-in.
• Conduct spot checks or internal audits to confirm that processes are being followed.

3. Ineffective Corrective Action Process

The issue:

Organisations often fall short in how they respond to issues, focusing only on fixing the immediate problem instead of addressing the root cause.

How to avoid it:

• Use root cause analysis methods (like 5 Whys or Fishbone Diagrams) to fully understand issues.
• Implement corrective actions that prevent recurrence, not just quick fixes.
• Review and monitor the effectiveness of actions taken.

4. Lack of Management Review

The issue:

ISO standards require a formal management review of the management system, yet some organisations skip or delay this critical process.

How to avoid it:

• Schedule management reviews at planned intervals (e.g. quarterly or annually).
• Include all required inputs, such as audit results, customer feedback, nonconformities, and objectives.
• Document outcomes and assign actions.

5. Objectives Not Being Monitored or Met

The issue:

Organisations sometimes set vague or unmeasurable objectives or fail to track progress towards them.

How to avoid it:

• Ensure objectives are Measurable, Relevant, and when they will be achieved.
• Assign responsibility and what will be done and how for each one.
• Review progress regularly and adjust as needed.

6. Outdated Risk Assessments

The issue:

Risk assessments are not always kept current or reviewed following changes in the business, people, processes, or environment.

How to avoid it:

• Review and update risk assessments regularly, especially after significant changes.
• Ensure new risks are identified and mitigation measures are documented.
• Link risks to your objectives and operational controls.

Staying Ahead of Nonconformities

Most nonconformities are preventable with proactive management, employee engagement, and regular system review. ISO management systems are living frameworks and continuous improvement is key to staying compliant and getting real value from certification.

At SCS, our auditors aim to add value. Whether you’re preparing for your first ISO audit or looking to improve your existing system, SCS is here to support you. Contact us for advice on the process, a no-obligation quote, or simply a conversation about how ISO certification can benefit your organisation.