ISO 9001 Auditing Practices Group: Document Revision Status Record

ISO 9001 Auditing Practices Group
1.
Document revision status record
Document
File name
Change
Date
Global changes
New IAF logo

Revised index list,
To include the new papers
Revised index list,
to replace "Value-added auditing" by "How to add value during the
audit process"
APG web site transferred to:
www.iso.org/tc176/ISO9001AuditingPracticesGroup
Papers re-formatted, so that there is no longer an explanation of the
APG and a listing of all the guidance notes. Instead, a new separate
paper "Introduction to the APG" has been developed, and limited
informative material now appears at the end of the guidance notes
Correction in footnotes to URL for the ISO 9001 Auditing Practices
Group
E-mail address for the contact person updated in the information
section at the end of each paper
E-mail address for the contact person updated in the information
section at the end of each paper
All papers converted to PDF format
All papers reviewed against ISO 9001:2015
2004-05-05
2004-05-05
2004-09-21
2004-10-14
2004-10-14
2005-12-12
2009-06-05
2009-12-14
2010-04-12
2016-01-13
2.
APG Web Home page
New
Revisions status list added
Zip file of all documents added
Link to TRANSLATIONS added
Change of IAF Secretariat e-mail address
2003-12-01
2004-05-05
2004-05-05
2005-12-12
2011-04-21
3.
Introduction to the
ISO 9001 Auditing
Practices Group
APG-Introduction
New
2004-10-14
APG-Introduction2015
Reference to additional papers added

Aligned to ISO 9001:2008
Aligned to ISO 9001:2015 + Removal of the listing of APG
2005-12-12
2009-06-05
2016-01-13
ISO & IAF 2016 All rights reserved

www.iaf.nu; www.iso.org/tc176/ISO9001AuditingPracticesGroup

Document
File name

Date
Change
documents
4.
5.
6.
7.
8.
The need for a 2stage approach to

auditing
APG-2stage
New
2003-12-01
Two stage initial

certification audit
APG-2stage2015
Revised edition
Re-titled Two stage initial certification audit
2009-06-05
2016-01-13
Measuring QMS
effectiveness and
improvements
APG-Effectiveness
New
2003-12-01

Re-titled Effectiveness and aligned to ISO 9001:2015
2009-06-05
2016-01-13
New
2003-12-01
Section "3. Processes should be analysed, monitored and/or

measured, and improved" revised
Section "5. Is the process approach as described in the 'Introduction'
to ISO 9001:2000 a requirement of the standard?" revised
Re-titled Processes and aligned to ISO 9001:2015
2004-05-05
New
2003-12-01

To be withdrawn, once the transition period for ISO 9001:2008 is
over
2009-06-05
New
2003-12-01
Effectiveness
APGEffectiveness201
5
Identification of
processes
APGIdentifyProcesses
Processes
APG-Processes2015
Understanding the
process approach
APGUnderstandProcessA
pproach
Determination of the
where appropriate
APGDetermineWhereAppr

2004-11-10
2009-06-05
2016-01-13
9.
10.
11.
Document
File name
processes
opriate
Auditing the where

appropriate
requirements
Demonstrating
conformity to the
standard
APGAuditWhereAppropriat
e
APGDemonstrateConformi
ty
Demonstrate
conformity to the
standard
APGDemonstrateConf
ormity2015
Linking an audit of a
particular task, activity
or process to the
overall system
APGAuditofTasktoSystem

Change
Date

over
2009-06-05
New
2003-12-01

over
2009-06-05
New
2003-12-01
Section " When assessing conformity to the standard, audit

checklists may not be sufficient", 3rd Paragraph revised
Section "What is adequate sampling", 1st paragraph, 2nd sentence
revised
Section " When assessing conformity to the standard, audit
checklists may not be sufficient", 2nd Paragraph,1st sentence, "were"
replaced by "where".
Re-titled Demonstrate conformity to the standard and some limited
edits
2004-05-05
New
2003-12-01
2004-05-05
2004-09-21
2009-06-05
2016-01-13

over
12.
Auditing continual
APG-

2003-12-01
New
13.
14.
15.
16.
Document
File name
improvement
AuditContinualImprov
ement
Improvement
APGImprovement2015
Auditing a QMS which

has minimum
documentation
APGMinDocumentation

Change
Date
Section "How much improvement is enough",

1st Paragraph, 2nd sentence deleted
Section "Improvement of the process or improvement of the QMS",
1st paragraph,
4th sentence revised
Additional text added in the sections on "What sort of information is
relevant and where can we find it?" and "Improvement of the
product, process or improvement of the QMS?"
Re-titled Improvement and aligned to ISO 9001:2015
2004-05-05
New
2003-12-01

over
2009-06-05
2004-05-05
2009-06-05
2009-12-01
2016-01-13
How to audit top

management
processes
Top management
APGAuditTopManagement
New
2003-12-01
APGTopManagement2015
Re-titled Top management and aligned to ISO 9001:2015
2016-01-13
The role and value of

the audit checklist
APG-Checklist
New
2003-12-01
2013-01-16
Checklist
APG-Checklist2015
Amendment to the section Need for a checklist, to align with ISO

19011:2011
Re-titled Checklist and a small number of edits made
Scope of ISO
9001:2000, Scope of
APG-Scope
New
2003-12-01

2016-01-13

Document
File name

Change
Date
Link to IAF Guidance document added

Significant re-write of this document, following received comments
Title changed to: Scope of ISO 9001, Scope of Quality Management
System and Scope of Certification
Substantial revision to align to ISO 9001:2015
2004-05-05
2004-11-24
2009-06-05
2016-01-13
New
Replaced by document "How to add value during the audit process"
New
(supersedes the document "Value-added auditing")
2003-12-01
2004-09-21
2004-09-21

Re-titled Adding value, and aligned to ISO 9001:2015
2009-06-05
2016-01-13
New
2003-12-01

Re-titled Competence and aligned to ISO 9001:2015
2009-06-05
2016-01-13
New
2004-05-05
New last Paragraph added

Re-titled Statutory and Regulatory requirements and aligned to ISO
2005-12-12
2009-06-05
2016-01-13
Quality Management
System and Defining
Scope of Certification
Scope of ISO 9001,

Scope of Quality
Management
System and
Scope of
Certification
APG-Scope2015
17.
Value-added auditing
18.
How to add value

during the audit
process
APG-HowtoAddValue
Adding value
APGAddingValue2015
Auditing competence
and the effectiveness
of actions taken
APGAuditingCompetence
19.
20.
Competence
APGCompetence2015
Auditing Statutory and

Regulatory
requirements
APGStatutoryRegulatory
Statutory and
APG-


Document
File name
Regulatory
requirements
21.
22.
23.

Date
Change
StatutoryRegulato 9001:2015
ry2015
Auditing the Quality

Policy and Quality
Objectives
Auditing Quality
Policy, Quality
Objectives, and
Management Review
New
2004-05-05
APGQualityPolicyandObje
ctives
New title.
Addition of guidance on the auditing of Management Review
2005-12-12
Policy, objectives and

management
review
APGPolicyObjectives
ManagementRevi
ew2015

Re-titled Policy, objectives and management review and aligned to
ISO 9001:2015
2009-06-05
2016-01-13
Auditing ISO 9001,

Clause 7.6 Control of
monitoring and
measuring devices
equipment
APGISO9001Clause7.6
New
2004-05-05
Revised edition
Revised edition
Re-titled "Auditing ISO 9001, Clause 7.6 Control of monitoring and
measuring equipment"
2005-12-12
2006-05-15
2009-07-30
Monitoring and
measuring
resources
APGMonitoringMeasur
ement2015
Making effective use

of ISO 19011
APGEffectiveUseofISO190
11

And aligned to ISO 9001:2008

Re-titled Monitoring and measuring resources and aligned to ISO
9001:2015
2016-01-13
New
2004-05-05
2009-06-05

Document
24.
25
26
27
File name
Change
Effective use of ISO

19011
APG-ISO19011_2015
Significant revision of section Competence and evaluation of

auditors, to align with ISO 19011:2011
Re-titled Effective use of ISO 19011
Auditing Customer
Feedback processes
APGCustomerFeedback
Customer Feedback
APGCustomerFeedba
ck2015
Documenting a
Nonconformity
APGDocumentNonconfor
mity
Date
2013-01-16
2016-01-13
New
2004-05-05

Re-titled Customer Feedback, and aligned to ISO 9001:2015
2009-06-05
2016-01-13
New
2004-11-24

Re-titled Nonconformity Documenting and aligned to ISO
9001:2015
2009-06-05
2016-01-13
Nonconformity
Documenting
APGDocumentNonco
nformity2015
Review of Actions in
response to a
Nonconformity
Guidance for
reviewing and closing
nonconformities
New
2004-11-24
APGReviewNonconformity
Revised, re-titled and re-focussed
2005-02-10

Paragraphs on systemic versus one-off nonconformities and the text
and table on the "5 Whys" added
Re-titled Nonconformity Review and closing and aligned to ISO
9001:2015
2009-06-05
2010-12-01
New
2005-02-10
Nonconformity
Review and closing
APGReviewNonconformity
2015
Auditing Internal
Communications
APGInternalCommunicatio

2016-01-13

Document
File name

Change
Date

Revision of section 2.3
Amendment of section 2.3
Re-titled Internal communication and aligned with ISO 9001:2015
2009-06-05
2010-07-12
2011-04-21
2016-01-13
New
2005-02-10

Revision of section 2.2a) bullets 9 and 10
Revision of section 2.2a)
over
2009-06-05
2010-07-12
2011-04-21
New
2005-07-30

Re-titled Service organizations and aligned to ISO 9001:2015
2009-06-05
2016-01-13
ns
28
29
30
31
Internal
communication
APGInternalCommuni
cations2015
Auditing Preventive
Action
APG-PreventiveAction
Auditing service
organizations
APGAuditingServiceO
rganizations
Service organizations
APGServiceOrganizati
ons2015
THIRD PARTY Auditor

impartiality and
conflict of interest
Impartiality
APGAuditorImpartiality
New
2005-07-30
APG-Impartiality2015
Re-titled Impartiality and aligned to ISO 9001:2015
2016-01-13
Auditing the
effectiveness of the
internal audit
APGInternalAuditEffectivn
ess
New
2005-07-30

2009-06-05
2010-07-12
2011-04-21

32
33
34
35
Document
File name
Change
Internal audit
APGInternalAudit2015
Re-titled Internal audit and aligned to ISO 9001:2015
Date
2016-01-13
Auditing ElectronicBased Management

Systems (EBMS)
Electronic
documented
information systems
APGAuditingElectronicBas
edMS
APGDocumentedInformati
on2015
New
2005-08-25
Re-titled Electronic documented information systems and aligned to

ISO 9001:2015
2016-01-13
Auditing the
Management of
Resources
Resources
APGManagementOfResou
rces
APG-Resources2015
New
2005-12-12
Re-titled Resources and aligned to ISO 9001:2015
2016-01-13
Auditing of Customer
Communications
APGCustomerCommunicat
ions
New
2005-12-12

Re-titled Customer Communications and aligned to ISO 9001:2015
2009-06-05
2010-07-12
2011-04-21
2016-01-13
New
2006-05-15
Significant revision of Introduction section.

Correction to Fig 1, to show link between Verification and input, not
planning.
Reference to ISO 9000, clause 3.4.1 corrected to 3.5.1
Re-titled Design and Development Process, aligned to ISO
9001:2015
2006-12-08
Customer
Communications
APGCustomerCommu
nications2015
Auditing the Design

and Development
Process
APGDesign&Development
Design and
Development
APGDesign&Develop

2009-06-05
2009-06-30
2016-01-13

Document
Process
File name

Change
Date
ment2015
Auditor Code of
Conduct and Ethics
Code of Conduct and
Ethics
APG-Code-ofConduct-&-Ethics
APG-Code-ofConduct-&Ethics2015
New
2006-05-15
Title changed to: Code of Conduct and Ethics, and other very minor
editorial changes
2016-01-13
Guidance on Cultural
Aspects of Auditing
Cultural Aspects
APG-CulturalAspects
New
2006-12-08
APGCulturalAspects2015
Title changed to: Cultural Aspects, and minor editorial changes
2016-01-13
38
Output Matters
APG-OutputMatters
New
over
2006-12-08
2009-06-05
39
Auditing the
Procurement and
Supply Chain
Processes
APGAuditProcurement&Su
pplyChain
New
2007-07-02
- New paragraph inserted prior to the Introduction

- Introduction edited
Re-titled External providers, and aligned to ISO 9001:2015
2007-07-13
New
2008-07-15
2016-01-13
36
37
40
External providers
APGExternalProviders
2015
Added Value Audits

versus Consultancy
APGADDED_VALUE_AUD
ITS_VS_CONSULTA
NCY
APGValueVsConsultancy2

10
2009-06-05
2016-01-13

Document
File name

Change
Date
New
2009-03-20
Small amendment to section 3a), to align to ISO 19011:2011

Re-titled Audit reports and aligned to ISO 9001:2015
2013-01-16
2016-01-13
New
One correction made
2009-12-10
2016-01-13
015
41
Writing Audit Reports
APGWritingAuditReports
Audit Reports
APGAuditReports2015
42
Audit Trail
APG-AuditTrail.doc
APGAuditTrail2015
43
Approach to
Demonstration of
Traceability of
Measurement Results
Measurement
traceability
APGNew
MeasurementTraceabi
lity
2009-12-10
APGRe-titled Measurement traceability and aligned to ISO 9001:2015

MeasurementTraceabi
lity2015
2016-01-13
Deployment of the
Expected Outcomes
documents
Expected Outcomes
APGExpectedOutcomes
New
2010-08-20
APGExpectedOutcomes20
15
Title changed to: Expected Outcomes.

References to product changed to products and services
2016-01-13
How to deal with

Consultants
Deal with consultants
APG-Consultants
New
2010-12-01
APG-Consultants2015
Re-titled Deal with Consultants and aligned to ISO 9001:2015
2016-01-13
Auditing Customer
Complaints
Customer Complaints
APGCustomerComplaints
APGCustomerComplaints2
New
2011-04-21
Re-titled Customer Complaints and edited to be consistent with ISO

9001:2015
2016-01-13
44
45
46

11

Document
File name

Change
Date
015
Using Technical
Experts on an audit
team
Technical Experts
APGTechnicalExperts
New
2011-04-21
APGTechnicalExperts2015
Title changed to: Technical experts, and some minor editing
2016-01-13
Audit Evidence
collection
Evidence collection
APGEvidenceCollection
APGEvidenceCollection20
15
New
2013-01-16
Re-titled Evidence collection and aligned to ISO 9001:2015
2016-01-13
49
Context
APG-Context2015
New
2016-01-13
50
Organizational
Knowledge
APGOrganizationalKnowle
dge2015
New
2016-01-13
51
Risk Based Thinking
APGRiskBasedThinking20
15
New
2016-01-13
47
48

12

ISO 9001 Auditing Practices Group: Document Revision Status Record

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ISO 9001 Auditing Practices Group: Document Revision Status Record

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ISO 9001 Auditing Practices Group

Document revision status record

New IAF logo

APG Web Home page

Reference to additional papers added

ISO & IAF 2016 All rights reserved