ISO audits are often viewed as a technical process involving checklists, documentation, and compliance standards. While these components are critical, there’s a human side to the audit that is just as important, if not more so. In fact, human factors play a key role in the success of an ISO audit. Understanding how people, their behaviours, and their interactions influence the process can make all the difference between a smooth, successful audit and one filled with unnecessary complications.
In this blog, we’ll explore why human factors are essential in ISO audits, the importance of training and awareness among staff, how human errors can impact audit outcomes, and why open communication and honesty are vital for a positive audit experience.
The importance of training and awareness among staff
One of the most crucial elements of any ISO audit is staff readiness. When your team is aware of what an ISO audit involves and understands their role in the process, the audit becomes far less daunting.
Why training is essential
ISO standards are designed to ensure that organisations follow best practices in areas like quality management, environmental management, and occupational health and safety. However, the effectiveness of these standards is determined by how well they are implemented and maintained by the people within the organisation.
Training staff on the ISO standards, their responsibilities, and how the audit process works is critical for a successful audit. In many cases, audits can uncover non-conformities simply because employees aren’t fully aware of the standards or their role in adhering to them.
As discussed in Episode 2 of By All Standards, one of the podcast hosts mentions:
“It’s all about raising awareness across the whole organisation – not just within the quality or EHS departments, but getting everyone involved and ready for the audit.”
Training should not be limited to a single department. Every person in the organisation, from management to front-line workers, plays a role in the audit process. By fostering a culture of ISO compliance, you can ensure that everyone understands the importance of the standards and how their day-to-day work contributes to the organisation’s success.
Practical ways to build awareness
- Ongoing training: Don’t wait until the audit is looming before beginning training. Regular, ongoing training sessions help keep ISO standards top of mind.
- Role-specific instruction: Tailor training to the specific roles within the company. Each department may have unique responsibilities related to ISO compliance.
- Interactive workshops: Use interactive methods like role-playing scenarios to help employees understand the audit process better.
- Clear communication channels: Ensure there is an open line of communication between staff and management regarding ISO standards and the audit process.
How human errors can affect audit outcomes and how to mitigate them
Despite the best training and preparation, human errors are inevitable. People make mistakes, which can have significant consequences during an audit. However, understanding how these errors occur and implementing strategies to mitigate them can help prevent them from negatively affecting the audit’s outcome.
Common human errors in ISO audits
- Incomplete documentation: Even well-trained staff can forget to document procedures or fill out records properly. Missing or incomplete documentation is one of the most common non-conformities found during ISO audits.
- Lack of understanding: Employees may misunderstand the standard’s requirements or the auditor’s questions, leading to confusion or inaccurate responses.
- Overconfidence: Sometimes, individuals may assume they know what the auditor is looking for and inadvertently provide incomplete or misleading information.
During By All Standards, Michael Venner points out:
“Sometimes people try to feed us something they think we want to hear… It’s better to say, ‘I don’t know,’ than to try to guess the right answer.”
How to mitigate human errors
- Regular internal audits: Conducting internal audits before the official audit can help identify and correct issues caused by human error. This process familiarises employees with audit procedures and allows them to practice in a low-stress environment.
- Encourage asking questions: As mentioned in the podcast, the best way to address confusion is through open communication. Employees should be encouraged to ask questions if they are unsure about any part of the audit process.
- Use checklists: Checklists are simple but effective tools for ensuring that all steps have been followed correctly. For example, a pre-audit checklist can help verify that all necessary documents are prepared and accessible.
- Create a culture of openness: Foster an environment where employees feel comfortable admitting mistakes or uncertainties. As Martin Graham mentions in the podcast, honesty is critical: “Don’t be afraid to say, ‘I don’t understand.’ We don’t mind explaining things, and it helps us all get on the same page.”
- Post-audit reviews: After the audit, hold a debrief with staff to review what went well and where there’s room for improvement. This step is vital for continuous improvement and preventing the same errors in future audits.
The value of open communication and honesty during the audit
One of the most important aspects of a successful audit is open communication between the auditors and the organisation being audited. Businesses often see the audit process as adversarial – an “us vs. them” situation. In reality, auditors are there to help you improve your systems and processes. You can get the most out of the audit by fostering a collaborative environment.
Why honesty is critical
It is essential to be open and honest with auditors. As auditors go through the assessment, they are not looking to “catch” anyone or find fault unnecessarily. Instead, their goal is to verify that your management systems comply with the standard.
“Audits don’t have to be stressful! In our latest podcast, we chat about the importance of open communication during the ISO assessment process,” Martin Graham notes.
When employees or management try to hide mistakes or give inaccurate information to auditors, it only complicates the process. If auditors suspect they aren’t getting the full picture, they may need to dig deeper, which could result in more findings or a more stressful audit experience.
Tips for effective communication during an audit
- Be transparent: If you don’t have an answer to an auditor’s question, it’s better to be upfront rather than trying to guess or bluff your way through. Auditors appreciate honesty and will work with you to understand the issue.
- Ask for clarification: If you’re unsure what an auditor is asking, don’t hesitate to ask for clarification. It’s better to get on the same page than to misunderstand and provide the wrong information.
- Treat the audit as a conversation: Building rapport with the auditors can make the process smoother. As one of the podcast hosts noted:
“If you build that little relationship first, it puts them at ease, and they’re a bit more open to the conversation.” - Don’t fear findings: Findings, such as non-conformities, are not meant to be punitive. There are opportunities for improvement, and the more open you are with the auditor, the more constructive the process will be.
Conclusion
ISO audits are about more than just ticking boxes and meeting standards—they are about people. The human factor is crucial to the audit process, from how your staff is trained and prepared to how human errors are handled. By focusing on training, encouraging openness, and fostering a culture of communication and honesty, you can turn the ISO assessment into a positive experience that drives real improvements in your organisation.
So, remember, the next time an ISO audit is on the horizon, it’s not just about paperwork—it’s about people. And when your people are prepared and engaged, your audit is far more likely to succeed.
