How to Audit ISO 9001:2015

Chad Kymal

Description

ISO 9001:2015 includes many changes that not only affect the companies aiming to achieve certification to it, but also auditors. This book is the resource auditors need to fully understand ISO 9001:2015 and help them perform audits to it.
This book integrates two different types of audit strategies, conformance audits and performance audits, into one process approach audit. Conformance audits confirm that the organization is meeting the requirements of the standard, while performance audits confirm that the QMS is achieving its intended results.
The book includes:
An introduction to ISO 9001:2015
An auditing strategy for ISO 9001:2015
How to conduct a Stage 1 audit for ISO 9001:2015
How to conduct a Stage 2 on-site audit for ISO 9001:2015
Appendices include an introduction to process focus, an assessment report template for Stage 1 audits, a confidential assessment report template for Stage 2 audits, and an example of the format for an ISO 9001:2015 conformance checklist.

Sujets

• Business
• Qualité, hygiène, sécurité, environnement
• Auditing
• Economie gestion
• ISO 9000
• International Organization for Standardization
• Economics
• QMS
• ISO 9001

Informations

• Publié par: ASQ Quality Press
• Date de parution: 04 avril 2016
• Nombre de lectures: 2
• EAN13: 9781953079541
• Langue: English

Extrait

How to Audit ISO 9001:2015



Also available from ASQ Quality Press:
Integrated Management Systems: QMS, EMS, OHSMS, FSMS Including Aerospace, Service, Semiconductor/Electronics, Automotive, and Food
Chad Kymal, Gregory Gruska, and R. Dan Reid
AS9101D Auditing for Process Performance: Combining Conformance and Effectiveness to Meet Customer Satisfaction
Chad Kymal
The Art of Integrating Strategic Planning, Process Metrics, Risk Mitigation, and Auditing
J. B. Smith
Advanced Quality Auditing: An Auditor’s Review of Risk Management, Lean Improvement, and Data Analysis
Lance B. Coleman Sr.
How to Establish a Document Control System for Compliance with ISO 9001:2015, ISO 13485:2016, and FDA Requirements: A Comprehensive Guide to Designing a Process-Based Document Control System
Stephanie L. Skipper
ISO 9001:2015 Explained , Fourth Edition
Charles A. Cianfrani, John E. “Jack” West, and Joseph Tsiakals
ISO 9001:2015 Internal Audits Made Easy , Fourth Edition
Ann W. Phillips
ISO 9001:2015 for Small and Medium-Sized Businesses , Third Edition
Denise Robitaille
The FDA and Worldwide Quality System Requirements Guidebook for Medical Devices , Second Edition
Amiram Daniel and Ed Kimmelman
Implementing ISO/IEC 17025:2005
Bhavan “Bob” Mehta
The Biomedical Quality Auditor Handbook , Second Edition
Biomedical Division and Bruce Haggar, editor
The ASQ Auditing Handbook , Fourth Edition
J.P. Russell, editor
To request a complimentary catalog of ASQ Quality Press publications, call 800-248-1946, or visit our website at http://www.asq.org/quality-press .


How to Audit ISO 9001:2015
A Handbook for Auditors
Chad Kymal
ASQ Quality Press
Milwaukee, Wisconsin



American Society for Quality, Quality Press, Milwaukee 53203
© 2016 by ASQ
All rights reserved. Published 2016
Library of Congress Cataloging-in-Publication Data
Names: Kymal, Chad, author.
Title: How to audit ISO 9001:2015 : a handbook for auditors / Chad Kymal.
Description: Milwaukee, Wisconsin : ASQ Quality Press, 2016. | Includes index.
Identifiers: LCCN 2016005431 | ISBN 9780873899277 (soft cover : alk. paper)
Subjects: LCSH: ISO 9000 Series Standards. | Quality control—Auditing. |
Quality assurance—Standards—United States.
Classification: LCC TS156 .K958 2016 | DDC 658.5/620218—dc23
LC record available at http://lccn.loc.gov/2016005431
ISBN 978-0-87389-927-7
No part of this book may be reproduced in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the publisher.
Publisher: Seiche Sanders
Acquisitions Editor: Matt T. Meinholz
Managing Editor: Paul Daniel O’Mara
Production Administrator: Randall Benson
ASQ Mission: The American Society for Quality advances individual, organizational, and community excellence worldwide through learning, quality improvement, and knowledge exchange.
Attention Bookstores, Wholesalers, Schools, and Corporations: ASQ Quality Press books, video, audio, and software are available at quantity discounts with bulk purchases for business, educational, or instructional use. For information, please contact ASQ Quality Press at 800-248-1946, or write to ASQ Quality Press, P.O. Box 3005, Milwaukee, WI 53201-3005.
To place orders or to request ASQ membership information, call 800-248-1946. Visit our website at http://www.asq.org/quality-press .



List of Figures and Tables
Figure P.1 Evolution of quality.
Figure 1.1 Quality management system.
Figure 1.2 Plan–do–check–act cycle in ISO 9001:2015.
Figure 1.3 Schematic representation of the elements of a single process.
Figure 1.4 Process map showing sequence and interactions.
Figure 1.5 Quality management system with context.
Table 1.1 Risk and opportunities in ISO 9001:2015.
Figure 1.6 Risk in planning.
Figure 1.7 Product or process risk.
Table 1.2 Major differences in terminology between ISO 9001:2008 and ISO 9001:2015.
Figure 2.1 Risk and opportunity audit trail.
Figure 2.2 Planning, performance evaluation, and improvement audit trail.
Figure 2.3 New product development audit trail.
Figure 2.4 Production and service provision audit trail.
Figure 2.5 Risk audit trail.
Figure 2.6 Risk sampling sheet.
Figure 2.7 Planning, performance evaluation, and improvement audit trail.
Figure 2.8 Quality objectives sampling sheet.
Figure 2.9 New product development audit trail.
Figure 2.10 Production and service provision audit trail.
Figure 2.11 Turtle diagram.
Figure 2.12 Process analysis worksheet.
Figure 3.1 Stage 1 audit plan.
Figure 3.2 Typical structure of ISO documentation.
Figure 3.3 Process map example.
Figure 3.4 Clause or elemental process map.
Figure 3.5 Functional process map.
Figure 3.6 Schematic representation of the elements of a single process.
Figure 3.7 Information from customer scorecard.
Figure 3.8 Assessment planning table.
Figure 3.9 Risk sampling sheet.
Figure 3.10 Quality objectives sampling sheet.
Figure 3.11 Planning, performance evaluation, and improvement audit trail.
Figure 3.12 Stage 2 audit plan.
Figure 3.13 Stage 1—nonconformities.
Figure 3.14 Process analysis worksheet.
Figure 4.1 Stage 2 flow diagram.
Figure 4.2 Opening meeting checklist.
Figure 4.3 Turtle diagram—example of management review.
Figure 4.4 Process map example.
Figure 4.5 Process analysis worksheet.
Figure 4.6 Risk sampling sheet.
Figure 4.7 Quality objectives sampling sheet.
Figure 4.8 Sample evidence of corrective action closeout.
Figure 4.9 Root cause/problem relationship.
Figure 4.10 What makes a great internal auditor?
Figure A.1 Process map example.
Figure A.2 Turtle diagram.
Figure A.3 Organization of processes by location.
Figure A.4 Elemental approach.
Figure A.5 Functional approach.
Figure B.1 Audit plan—stage 1.
Figure B.2 Opening and closing meetings checklist.
Figure B.3 Classifications of processes.
Figure B.4 Documentation and process cross-reference for ISO 9001:2015.
Figure B.5 Information from customer scorecard.
Figure B.6 Assessment planning table.
Figure B.7 Risk sampling sheet.
Figure B.8 Stage 2 audit plan.
Figure B.9 Stage 1—nonconformities.
Figure B.10 Process analysis worksheet.
Figure C.1 Confidential assessment report for stage 2.
Figure C.2 Opportunities for improvement.
Figure C.3 Employee shift details—site/remote/support location.
Figure C.4 Risk sampling sheet.
Figure C.5 Quality objectives sampling sheet.
Figure C.6 Documentation and process cross-reference for ISO 9001:2015.
Figure C.7 Stage 2 audit plan.
Figure C.8 Process analysis worksheet.
Figure C.9 Corrective action request.
Figure C.10 Nonconformity chart.
Figure D.1 ISO 9001:2015 conformance checklist.


Preface
It is hard to believe that I am writing the third update to How to Audit ISO 9001:2000 , first written in 2001. Much has changed since 2001 when the ISO 9001:2000 standard was first released, and since 2008 when it was subsequently reissued. In the last update to the book, I mentioned that there are two types of auditing: conformance and performance auditing.
The two different types of audit strategies can be incorporated into one audit methodology. This book will attempt to integrate both the performance audit and conformance audit into one process approach audit. This is especially fitting considering that the purpose of risk analysis and planning is to ensure that the quality management system (QMS) achieves its “intended results.” Additionally, the new standard has a strong focus on process performance that is mentioned in multiple places within the standard.
Quality is changing over time. Quality was thought of as “inspection” over 100 years ago, and has slowly evolved from inspection to quality assurance to design to business strategy . The ISO 9001 standard is following the evolution of quality (see Figure P.1) that first started as “product quality” and that over time has come to be defined as “customer satisfaction” and/or as meeting the “needs and expectations of interested parties.” It is interesting to note that the word “management” in quality management is defined as activities to direct or control an organization . In the note, they mention that management includes policies, objectives, and processes to achieve these objectives.

For the first time, ISO 9001 is embracing risk, which is being defined as the “effect of uncertainty” in the organization. If processes help meet objectives (definition of management) then risk analysis is conducted on the processes to ensure that objectives are met. The interaction of the “context”—a new term in ISO 9001—business processes, objectives, goals, and leadership, will lead to some interesting auditing opportunities.
Reflecting on our society, global conflicts, and the fast-paced nature of the world, it is not surprising that businesses are increasingly embracing risk as an important topic in order to safeguard the net worth of the company. There are many areas fraught with product risk due to newer technologies (process and product), intellectual property (IP) risk due to Internet security, international supply chains, new diseases, and wars, and reputation risk due to many factors (social responsibility, quality, scandals, other). Typically, standards reflect business needs.
Integrated management systems remains an important topic, and companies will adopt it because of the savings it represents. This year, I published a book on integrated management systems along with Gregory Gruska and Dan Reid