Professional Documents
Culture Documents
Section 2
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ISO 9001:2000
Objectives
At the end of this section every participant will be able to
knowledge the quality system audit processes and
established requirements for being assigned as an
auditor for carrying out assessment based on quality
systems standards.
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ISO 9001:2000
Section contents
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ISO 9001:2000
Audit
Audit
Programme Auditee
Audit
Scope Audit client
Tech
Audit Audit Expert
Finding Conclusions Qualifications
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ISO 9001:2000
Audit
Audit
Programme Auditee
Audit
Scope Audit client
Tech
Audit Audit Expert
Finding Conclusions Qualifications
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ISO 9001:2000
Audit
Audit
Programme Auditee
Audit
Scope Audit client
Tech
Audit Audit Expert
Finding Conclusions Qualifications
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ISO 9001:2000
Audit
Audit
Programme Auditee
Audit
Scope Audit client
Tech
Audit Audit Expert
Finding Conclusions Qualifications
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ISO 9001:2000
Audit
Audit
Programme Auditee
Audit
Scope Audit client
Tech
Audit Audit Expert
Finding Conclusions Qualifications
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ISO 9001:2000
Audit
Audit
Programme Auditee
Audit
Scope Audit client
Tech
Audit Audit Expert
Finding Conclusions Qualifications
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ISO 9001:2000
Audit
Audit
Programme Auditee
Audit
Scope Audit client
Tech
Audit Audit Expert
Finding Conclusions Qualifications
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ISO 9001:2000
Audit
Audit
Programme Auditee
Audit
Scope Audit client
Tech
Audit Audit Expert
Finding Conclusions Qualifications
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ISO 9001:2000
Objective Evidence
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ISO 9001:2000
Nonconformity
Non-fulfilment of a
requirement
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ISO 9001:2000
Party definition
First party – The organisation
Second Party – The Purchaser, customer,
Client, Supplier, ….etc
Third Party – An Independent Organisation
carrying out an audit on behalf of a client or an
Accredited Certification Body
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ISO 9001:2000
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ISO 9001:2000
Audit scope
The customer or interested parties make the
final decisions on which QMS elements,
physical locations and organizational
activities are to be audited within a specified
time frame.
This should be done with the assistance of
the lead auditor.
If appropriate, the audited should be
contacted when determining the scope of the
audit .
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ISO 9001:2000
Audit Procedure
The method for planning, initiating and
conducting audits and follow up activities
including corrective actions
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ISO 9001:2000
Review
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ISO 9001:2000
Audit stages
1- Preparation
2- The Audit
3- Subsequent Action
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ISO 9001:2000
Audit stages
2- The Audit
3- Subsequent Action
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ISO 9001:2000
Audit stages
a. The opening meeting
1- Preparation b. The actual audit
c. Report preparation
d. the closing meeting
2- The Audit
3- Subsequent Action
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ISO 9001:2000
Audit stages
1- Preparation
2- The Audit
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
1- Preparation Check-lists
Are used by the assessor as an Aide
2- The Audit Memoir
Ensure that all elements of a
specification are addressed
3- Subsequent Action
Are an invaluable aid when writing the
assessment report
What, where, who, when, how,& why
questions
Close questions not used.
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ISO 9001:2000
Example
AUDIT CHECKLIST ASSESSMENT No:
SPECIFICATION: LOCATION: DATE:
REQUIREMENT CLUSE OBSERVATION
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ISO 9001:2000
Example
AUDIT CHECKLIST ASSESSMENT No:
SPECIFICATION: ISO 9001 LOCATION: TOP MGT. DATE: 1/1/2007
REQUIREMENT CLUSE OBSERVATION
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ISO 9001:2000
4 Group
Exercise (9) Time:30
Clause checklists
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ISO 9001:2000
Audit stages
1- Preparation Forms
Nonconforming Report (NCR).
2- The Audit Audit Report.
3- Subsequent Action
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
3- Subsequent Action
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ISO 9001:2000
Audit stages
a. The opening meeting
1- Preparation b. The actual audit
c. Report preparation
d. the closing meeting
2- The Audit
3- Subsequent Action
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
1- Preparation
2- The Audit
3- Subsequent Action
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ISO 9001:2000
Audit stages
1- Preparation Guides
Selected by the auditee management to
accompany the auditor.
2- The Audit May or may not be authorized to agree &
resolve noncompliance.
3- Subsequent Action Will normally assist the auditor with identifying
procedure, activities, and staff
Should not answer questions on behalf being
audited.
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Four groups
Exercise (10) Time: 15 min
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
3- Subsequent Action
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ISO 9001:2000
Execution
Fallow up
Close
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ISO 9001:2000
Audit stages
TRAINING HORIZONTAL
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
1- Preparation Observations
Sample taken
2- The Audit Seeking objective evidence
Both positive & negative observations
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ISO 9001:2000
دراسة حالة
العمل في مجموعات و مناقشة الحاالت القادمة و االتفاق على
البند و البند الفرعي من المواصفة المطابق للحالة و على كل من
المتدربين تحديد سبب إختيار البند
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Audit stages
Purpose of closing Meeting
1- Preparation
Advise auditee of findings and
conclusions reached based on
2- The Audit nonconformities found during the audit.
Recommend:
3- Subsequent Action ACCEPTABLE
CONDITIONAL
UNACCEPTABLE
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ISO 9001:2000
Audit stages
Closing meeting
1- Preparation
Thank management for help.
Explain that sample taken has
2- The Audit
determined conclusion reached.
Ask management to defer questions until
3- Subsequent Action
end of summary presentation to
appreciate full picture (unless for
clarification).
Present summary report
Quantify noncompliance's
Conclusion
Recommendations
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ISO 9001:2000
Audit stages
Closing meeting
1- Preparation
Each team member to present
noncompliance details.
2- The Audit
Invite questions – for clarification only.
Agree follow up actions required and ask
3- Subsequent Action
for date by which action will have been
completed.
Agree distribution of final report.
Make statement of confidentiality.
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ISO 9001:2000
2- The Audit
3- Subsequent Action
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ISO 9001:2000
Review
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ISO 9001:2000
Audit stages
1- Preparation
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ISO 9001:2000
Audit stages
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ISO 9001:2000
Accept/Reject Implement
Propose CA
Proposed CA CA
AE
AR AE
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ISO 9001:2000
Audit stages
1- Preparation surveillance
Purpose
To ensure the quality system remain in
2- The Audit
compliance.
Carried out by
3- Subsequent Action Certification organization
Client or customer
Frequency
Six monthly with most certification bodies
As specified in each contract
May be pre-planned or unannounced
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ISO 9001:2000
Auditor’s responsibilities
Auditors are responsible for:
Verifying the effectiveness of corrective
actions taken as a result of the audit (if
requested by the client).
Retaining and safeguarding documents
pertaining to the audit:
Submitting such documents as required.
Ensuring such documents remain confidential.
Treating privileged information with discretion.
Cooperating with and supporting the lead auditor.
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ISO 9001:2000
Auditee Responsibility
Co-operate with the auditor in the planning
and conducting of the audit
Provide access for the audit team
Attend the Opening & Closing Meeting
address and implement corrective action
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ISO 9001:2000
Review
QMS audit definition
Types of audit
Party definition
Audit objectives and responsibilities
Auditee Responsibility
Audit scope
Audit stages
Audit Preparation
Audit Execution
Subsequent Action
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ISO 9001:2008