In the world of ISO certification audits, one persistent issue frustrates organizations: auditors requesting documents and records that are not explicitly required by the standard and not required by the organization's own requirements. This practice not only adds unnecessary burdens but also undermines the very essence of ISO audits—ensuring compliance without imposing excessive bureaucracy.
The Problem: Overreach in Documentation Requests
ISO management system standards, such as ISO 9001, ISO 13485, and ISO 27001, outline specific required documents and records that organizations must maintain. However, some auditors go beyond these requirements, demanding documents that:
- Have no direct relevance to the audited clauses.
- Are not mandated by ISO standards but are treated as if they are.
- Are not required by the organization's own management system.
This excessive approach can frustrate auditees, create unnecessary paperwork, and mislead organizations about true compliance requirements.
Why This Must Stop
- ISO Standards Are Principle-Based, Not Checklist-Based ISO standards focus on risk-based thinking, process effectiveness, and continual improvement—not excessive documentation. The audit process should assess how well an organization meets required controls, not force additional paperwork.
- Creating Unnecessary Burdens on Organizations Requiring non-mandatory records adds to administrative overhead, leading to wasted resources. Organizations should focus on process improvement, not filling up files just to satisfy an auditor’s personal preferences.
- Misinterpretation of ISO Requirements Some auditors incorrectly equate industry best practices with ISO requirements, causing confusion. While best practices are valuable, they should not be imposed as certification conditions unless explicitly required.
What Auditors Should Do Instead
- Stick to the standard—Audit only the required documentation as per ISO and Organization's own Management System.
- Assess process effectiveness—Focus on how well the system achieves quality objectives, not on collecting unnecessary documents.
- Avoid imposing personal preferences—Not all industries operate the same way, and ISO allows flexibility in compliance approaches.
Final Thoughts
Organizations should confidently challenge documentation requests that exceed ISO requirements, ensuring audits remain focused, efficient, and fair. Auditors must embrace the true spirit of ISO—ensuring compliance without unnecessary complexity.