What’s in the Draft ISO 9001:2008, Excellence in Performance Auditing

8/14/2019 Whats in the Draft ISO 9001:2008, Excellence in Performance Auditing

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ISO9001:2000 CERTIFICATION DATAISO9001:2000 CERTIFICATION DATA

Dec. 2002 to Dec. 2006Dec. 2002 to Dec. 2006

IRANIRAN ((Source International Standardization OrganisationSource International Standardization Organisation))

WORLDWORLD ((Source International Standardization OrganisationSource International Standardization Organisation))

ISSUES AND CONCERNSISSUES AND CONCERNS

ISO 9001:2000 Certifications in IranGrowth from end of 2002 to end of 2006

5250525030903090300030004704701616

Dec.2006Dec.2006Dec.2005Dec.2005Dec.2004Dec.2004Dec.2003Dec.2003Dec.2002Dec.2002


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170170161161154154149149133133Number ofNumber ofCountries/Countries/

EconomiesEconomies

123999123999113735113735162213162213330795330795122736122736

WorldWorldGrowthGrowth

8978668978667738677738676601326601324799947999167124167124

WorldWorld

TotalTotal

Dec.Dec.20062006Dec.Dec.20052005Dec.Dec.20042004Dec.Dec.20032003Dec.Dec.20022002WorldWorldResultsResults

ISO9001:2000 PRINCIPAL RESULTS


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Issues/ConcernsIssues/Concerns Accreditation organizations were initially funded by theAccreditation organizations were initially funded by the

government.government.

JASJAS--ANZ 70%$ from Australia Government at 30% fromANZ 70%$ from Australia Government at 30% fromNew Zealand Government.New Zealand Government.

Auditors capabilities.Auditors capabilities.

Certification Bodies accredited by AccreditationCertification Bodies accredited by Accreditationorganisationorganisation

However when money changes hands independence canHowever when money changes hands independence canbe at risk through customer supplies relationship.be at risk through customer supplies relationship.

Certification of quality management systems is a bigCertification of quality management systems is a bigbusiness.business. Certification Bodies want bigger share of market.Certification Bodies want bigger share of market.

Auditors on the take.Auditors on the take.

Certification audits

Cost & Revenue of CertificationCost & Revenue of Certification

Over a million certifications in the world.Over a million certifications in the world.

Big cost for companies to get certificationBig cost for companies to get certification Huge revenue/income for certificationHuge revenue/income for certification

BodiesBodies

REPUTATION OF ACCREDITINGREPUTATION OF ACCREDITINGORGANIZATIONS???ORGANIZATIONS???

WHAT ARE THE BENEFITS FOR THE ENDWHAT ARE THE BENEFITS FOR THE ENDUSER/CUSTOMER???USER/CUSTOMER???

REGULATORS CONFIDENCE INREGULATORS CONFIDENCE INCERTIFICATION?CERTIFICATION?


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Clause 1.1 (Scope)Clause 1.1 (Scope)o Clarification thato Clarification thatproductproductalso includes intermediatealso includes intermediate

productproduct

o Explanation regarding statutory, regulatory and legalo Explanation regarding statutory, regulatory and legalrequirementsrequirements

Clause 4.1 (General requirements)Clause 4.1 (General requirements)o Notes added to explain more about outsourcingo Notes added to explain more about outsourcing

o Types of control that may be applied to outsourcedo Types of control that may be applied to outsourcedprocessesprocesses

o Relationship to clause 7.4 (Purchasing)o Relationship to clause 7.4 (Purchasing)

o Clarification that outsourced processes are stillo Clarification that outsourced processes are stillresponsibility of the organization and must be included inresponsibility of the organization and must be included inthe quality management systemthe quality management system

CHANGES IN THE DRAFT ISO 9001:2008

Clause 4.2.1 (Documentation)Clause 4.2.1 (Documentation)o Clarification that QMS documentation alsoo Clarification that QMS documentation also

includes recordsincludes recordso Documents required by the standard may beo Documents required by the standard may be

combinedcombined

o ISO 9001 requirements may be covered by moreo ISO 9001 requirements may be covered by morethan one documented procedurethan one documented procedure

Clause 4.2.3 (Document control)Clause 4.2.3 (Document control)o Clarification that external documents relevant too Clarification that external documents relevant to

the QMS need to be controlledthe QMS need to be controlled

Clause 4.2.4 (Records control):Clause 4.2.4 (Records control): EditorialEditorialchanges only (better alignment with ISO 14001)changes only (better alignment with ISO 14001)

Clause 5.5.2 (Management rep)Clause 5.5.2 (Management rep)o Clarifies that this must be a member of theo Clarifies that this must be a member of the

organizationorganizations own managements own management


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Clause 6.2.1 & 6.2.2 (Human resources)Clause 6.2.1 & 6.2.2 (Human resources)o Clarification that competence requirements areo Clarification that competence requirements arerelevant for any personnel who are involved inrelevant for any personnel who are involved inthe operation of the quality management systemthe operation of the quality management system

Clause 6.3 (Infrastructure):Clause 6.3 (Infrastructure): IncludesIncludesinformation systems as exampleinformation systems as example

Clause 6.4 (Work environment)Clause 6.4 (Work environment)o Clarifies that this includes conditions undero Clarifies that this includes conditions under

which work is performed and includes, forwhich work is performed and includes, forexample physical, environmental and otherexample physical, environmental and otherfactors such as noise, temperature, humidity,factors such as noise, temperature, humidity,

lighting, or weatherlighting, or weather

Clause 7.2.1 (Customer related processes)Clause 7.2.1 (Customer related processes)o Clarifies that posto Clarifies that post--delivery activities may include:delivery activities may include:o Actions under warranty provisionso Actions under warranty provisionso Contractual obligations such as maintenanceo Contractual obligations such as maintenance

servicesserviceso Supplementary services such as recycling or finalo Supplementary services such as recycling or final

disposaldisposal

Clause 7.3.1 (Design & developmentClause 7.3.1 (Design & developmentplanning)planning)

o Clarifies that design and development review,o Clarifies that design and development review,verification and validation have distinct purposesverification and validation have distinct purposes

o These may be conducted and recorded separatelyo These may be conducted and recorded separatelyor in any combination as suitable for the productor in any combination as suitable for the productand the organizationand the organization


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Clause 7.3.3(Design & development outputs):Clause 7.3.3(Design & development outputs):Clarifies that information needed for production andClarifies that information needed for production and

service provision includes preservation of the productservice provision includes preservation of the product

Clause 7.5.4 (Customer property):Clause 7.5.4 (Customer property): Explains thatExplains thatboth intellectual property and personal data should beboth intellectual property and personal data should be

considered as customer propertyconsidered as customer property

Clause 7.6 (Now retitled Control of MonitoringClause 7.6 (Now retitled Control of Monitoringand Measuringand Measuring equipmentequipment))

o Explanatory notes added regarding the use of computero Explanatory notes added regarding the use of computer

software:software: Confirmation of the ability of computerConfirmation of the ability of computer

software to satisfy the intended application wouldsoftware to satisfy the intended application wouldtypically include its verification and configurationtypically include its verification and configuration

management to maintain its suitability for use.management to maintain its suitability for use.

Clause 8.2.1 (Customer satisfaction)Clause 8.2.1 (Customer satisfaction)

o Note added to explain that monitoring of customero Note added to explain that monitoring of customerperception may include input from sources such asperception may include input from sources such as

customer satisfaction surveys, customer data oncustomer satisfaction surveys, customer data on

delivered product quality, user opinion surveys, lostdelivered product quality, user opinion surveys, lost

business analysis, compliments, and dealer reportsbusiness analysis, compliments, and dealer reports

Clause 8.2.3 (Monitoring / Measurement ofClause 8.2.3 (Monitoring / Measurement ofprocess)process)

o Note added to clarify that when deciding on appropriateo Note added to clarify that when deciding on appropriate

methods, the organization should consider impact on themethods, the organization should consider impact on the

conformity to product requirements and on theconformity to product requirements and on the

effectiveness of the quality management system.effectiveness of the quality management system.

NOTE: ISO 9001:2008 Includes clarifications, notadditional requirements from the 2000 version


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ManagementResponsibility

ResourceManagement

Measurement,Analysis,

Improvement

ProductRealisation

Requiremen

ts

Satisfaction

Input Output

Custom

er

Customer Product

Continual Improvement ofManagement System

IMS

Draft ISO9001:2008Draft ISO9001:2008

Australian Contractor Quality Systems

Audit Process

Subcontractors

Maintenance Services toDepartment of Housing

Assets/Clients

ContractorDepartment ofHousing Contract

CertificationBodies

JAS/ANZWatchdog

Inspections& Audits

Audit Plan:AD, TL

AOM, QA, TS

Stakeholderseg: Legal, BA,Finance, AssetPerformance,

ED

Systemsand

ComplianceAudit Team:

QMUSCMAOMHCC

Risk managementplan AS4360 and

action plan


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CONTRACTOR

PERFORMANCE

INSPECTIONS

Department of HousingInspections Site Inspections (%) Phone Inspections (%) WIP Inspections (%) Desktop Inspections General Post Work ManualInspections Work to Standard Inspections(%)

Contractor Inspections Post Work Site Inspections (%) WIP Inspections (%) Phone Inspections (%)

AUDITS

Audit of MTC Quality Systems(ISO 9001:2000 Audits) ISO 9001:2000 Audit Checklist Field Audit Inspection

Audit of MTC Quality Systems(Contractual Requirements) Contractor Requirement AuditChecklist Desktop Audits on ContractorInspections

CONTRACTOR

RISK PROFILE &

RISK

MANAGEMENT

PLAN

Continuous Improvement

InternalAudit

Audit Strategy approved by the Minister

PLAN THE BUSINESS AND SET THE PERFORMANCEPLAN THE BUSINESS AND SET THE PERFORMANCE

AUDIT OBJECTIVESAUDIT OBJECTIVES

Market and

sell product

Select and

monitor

suppliers

Invoiceandcollectmoney

Receiveandrevieworders

Arrange

Subcontractor

Purchaseconsumables

Do the job Checkcompliance

Manage

our

finances

Plan and

manage our

people

Plan and

manage our

facilities

Monitor

and

improve

our system

Manage our

informationDevelop

our

products

CORE BUSINESS PROCESSES

QUALITY

1. Reduce NCNby25%

2. On time delivery

OH & S

1. No LTIs

2. No hazardouswork

ENVIRONMENT

1. Reduce waste by 20%

2. 100% compliance to DoH& Legislation

FINANCE

1. Profit %

2. No over / undercharging

SUPPORT BUSINESS PROCESSES


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TYPES OF AUDITSystem

Compliance - Surveillance

Product

1st party

2nd Party

3rd Party

AUDIT OVERVIEW

Opening meeting

Conducting

interviews

Team meeting

Closing meeting

On-site

Initiating the audit

Conducting document review

Preparing for the on-site

activities

Conducting on-site activities

Audit reporting

Completing the audit

Follow up

AuditAuthority for the

programme

Establish

Implement

Monitor and

review

Improvement

Auditor

Personal

attributes

Education

&

experience

Knowledge Skills


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How to plan and schedule - Risk

Are auditors competent?

Selecting a team

How to conduct audits

When and how to follow up

What records need to be kept; plans & reports

Monitoring and effectiveness of the programme

AUDIT PROGRAMME PROCEDURES

Communicate the plan

Evaluate the auditors

Provide necessary resources

Ensure the programme and procedures

are adhered to

Review of reports

Keeping of records

Reports and non-conformance

Audit assessments and competence

IMPLEMENT THE AUDIT PROGRAMME


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Find the root cause

Amend the programme

Identify what ~

Stop doing

Keep doing

Start doing

IMPROVING THE AUDIT PROGRAMME

POOR DOCUMENTATION REVIEW

Concentrate on familiar areas only

Miss key processes

Incorrectly prioritise

Dwell on high profile activities and

processes


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AUDIT PLANShould include

Objectives, scope and criteria

An appropriate timetable including dates, times,

places, processes and personnel to audit

Team responsibilities

Legal, Regulations, Industry Codes of Conduct

Safety, health, environmental, financial, tax,

insurance

All cultural, religious and / or social customs in the

organisation Dress Codes

The language to be used for the audit

On-site facilities

Use simple language

Keep sentences short

Ask direct open questions

Clarify where necessary using another

question

Ask auditee to explain / show / demonstrate

Q U E S T I O N I N G


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Put talker at ease

Show you want to listen - active

Remove distractions

Empathise

Summarise and feedback your

understanding

Stop talking and be patient

L I S T E N I N G

Look whats happening around you

Is it under control?

Resources adequate

Work environment appropriate

Non-verbal communication

gestures

eye contact

relative positions

facial expression

O B S E R V E


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Top Management Objectives, policy, commitment, communication, system review

Process Owner

Outline / describe the process (Process Flow)

What are the performance measures?

How is the process being improved?

Analyse the process (model) together

Worker

outline / describe their part in the process

records that show the process is working

show work-in-progress product

documents that support them in their work

INTERVIEW AT DIFFERENT LEVELS

Since last audit

Appropriate sampling

Completeness of content

Verifiable

Record it Write it down

Ensure it is in scope

Verify subjective evidence

COLLECTING AND VERIFYING INFORMATION


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Ethical

Open minded

Diplomatic

Observant

Perceptive

Versatile

Tenacious

Decisive

Self-reliant

PERFORMANCE AUDITOR

PERSONAL ATTRIBUTES

Team Leader

Plan and make effective use of resources

Represent the team

Organise and direct

Provide direction and guidance

Lead to reach conclusions

Prevent and resolve conflict

Prepare and complete the audit report

KNOWLEDGE AND SKILLS


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PRINCIPLES OFPRINCIPLES OF

PERFORMANCE AUDITINGPERFORMANCE AUDITINGEthical conduct

Trust, integrity, confidentiality and discretion

Fair presentationReflect truthfully and accurately the findings includingdiverging opinions

Due professional careIn the importance of the task they perform

IndependenceFree from bias and conflict of interest

Evidence-based approachEvidence is verifiable during a finite period of time

SITUATIONAL LEADERSHIP THEORY

Match the style to the situation

III SUPPORTING

Leaders role is to actively listen and

facilitate decision-making onmembers part.

Leaders work with member to

evaluate members work.

II COACHING

Leader explains decisions and

solicits members ideas.

Two way communication isincreased.

Leader continues to direct and

evaluate members work.

IV DELEGATING

Leader allows members to control

decision making, accepts decisionsand periodically monitors

performance.

Leader allows members to evaluateown work.

Leader allows members to takeresponsibility and receive credit.

I DIRECTING

Leader controls decision making and

provides specific direction.

Communication is largely one-way.

Leader closely supervises and

evaluates the work of members

Low DIRECT High

High

SUPPOR

T

Low

MATURITY LEVEL


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UNWILLING

ABLE

(FILIBUSTER)

WILLING

ABLE

(DELIVERS)

UNWILLING

UNABLE

(COLLAPSE)

WILLING

UNABLE

(ANALYSIS PARALYSIS)

ABILITY

WILLINGNESS

TEAM PERFORMANCE

Performance Audits TeamworkPerformance Audits Teamwork

TEAM

WORK

APPROACH

CLARITY IN

TEAM GOALSAN

IMPROVEMENTPLAN

CLEARED

DEFINED

ROLES

CLEAR

COMMUNICATION

BENEFICIAL

TEAM

BEHAVIOURS

WELL DEFINED

DECISION

PROCEDURES

BALANCE

PARTICIPATION

ESTABLISHED

GROUND RULES

GROUP

PROCESS

SCIENTIFIC

APPROACH


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Performance Audit OutcomesPerformance Audit Outcomes

Satisfy customerSatisfy customerrequirementsrequirements

Improve processImprove process

Increase efficiencyIncrease efficiency

Enhance productivityEnhance productivity

Competitive positioningCompetitive positioning

Employee empowermentEmployee empowerment

PerformancePerformance

measurementsmeasurements Risk identifications andRisk identifications and

solutionssolutions

R I S K

= Impact X Probability

= Consequence X Likelihood X Availability

Higher Risk = Greater control

AS4360 Risk Management


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