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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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Celebrate successof Irans Leadershipin Best QualityProducts andServices.