An ISO audit is carried out to ensure that the existing Management System (MS) complies with the ISO standard of your choice. The audit helps organisations identify and address issues and discover potential improvements with their MS software to ensure that best practice processes are in place. An ISO audit is conducted by referring to an audit program that outlines the standard's clauses through periodic reviews.
The ISO requirements for the audit program is that you plan, establish, implement, and maintain an audit program, meaning that you need to have an ongoing program in effect.
The guidance includes what audit you need to conduct based on the ISO standard of choice, including timeframes, responsibilities, and results.
INTERNAL AUDIT PROGRAMME
Responsibility for planning and conducting internal audits shall be allocated to an impartial auditor from the process/area being audited and competent based on training and experience.
Management system processes are reviewed, and an annual Internal Audit Programme is planned (located on the Toolbox).
The programme shall define activities to be audited and within which month(s) the audits are due. Each relevant activity shall be audited every calendar year; however, complex, critical, or uncertain areas may be subject to more frequent audits and greater depth of investigation.
Risk has been appointed through discussions with senior management. Areas identified* as high risk will be audited more frequently. Medium risk areas will be audited a minimum of annually. Low-risk areas will be audited on a biennial basis.
Risk will be addressed more frequently through the management review process if required. The raising of a non-Compliant issue, through the internal or external audit process, will initiate a review of the individual risk. Other factors that could lead to a change in the risk rating include but are not limited to; statutory & regulatory compliance issues, complaints from stakeholders, issues identified through the management review and the risk register.
The internal audit programme is embedded in the MS (Management System) Toolbox.
NONCONFORMITIES AND CORRECTIVE ACTIONS
TERMS & DEFINITIONS
Nonconformity: A situation that has failed to meet planned arrangements or requirements.
Complaint: One of the above is identified/reported by an external party, such as a customer.
Rectification: Steps taken to rectify/resolve one of the above.
Corrective Action: Steps [to be] taken to avoid or mitigate the event’s recurrence.
Risk Mitigation: actions taken to eliminate the cause of or control nonconformities which may arise”.
This procedure sets out how The Organisation detects and treats nonconformities and improves quality, H&S, Information Security and environmental issues.
IDENTIFICATION & RECORDING
All Incidents, non-conformities, complaints, etc., are collectively referred to as ‘Incidents’ shall be reported to management upon identification and details recorded onto an Issue Log or the Supplier Performance Indicator.
It is the responsibility of all individuals conducting work on behalf of the organisation to report all accidents and Incidents, as these are improvement opportunities. Management’s responsibility is to record the event, investigate the cause, ensure rectification, and implement appropriate corrective actions.
CONTROL OF NONCONFORMING PRODUCT
The organisation has addressed the controls required to ensure that any products that do not conform to requirements are identified and controlled to prevent unintended use or delivery.
CAUSE & RECTIFICATION
Management shall consider identified incidents to clarify the direct and root cause. Steps taken, or to be taken, to rectify and resolve the situation shall be established and implemented. If the Incident involves an external party, such as a customer, clear communication relating to the response shall be ensured. If the Incident may be batch-related, potentially affecting other situations/locations/clients, the need to intervene must be considered if a similar issue could arise elsewhere. Instruction shall be given regarding the disposition of Nonconforming Products and recorded appropriately.
Following rectification of the individual incident (i.e. addressing the problem), management must then consider what Corrective Actions are necessary to avoid the recurrence of (or mitigate the effect of) a similar incident in the future (i.e. addressing the cause). This may be appropriate at the time of the incident and strategically within periodic reviews.
An annual management system review is carried out. This review will re-assess all Incidents recorded within that period, identifying any trends or recurring problems and verifying whether ‘corrective actions which have been established have effectively addressed the causes of pain and avoided/mitigated recurrence. All these activities are recorded in the dedicated section of the MS (Management System) Toolbox tool.
The Documentation guide has been designed in conjunction with the how-to guides to explain how these one to ten steps correlate with ISO standards (ISO 9001, 14001, 27001 & 45001).
When implementing your ISO Management system by using the “How to Guides”, the “Document Guide” (one to ten steps) offers an explanation of the documented procedures that an organisation is recommended to follow based on the clauses from the ISO 9001,14001, 27001 & 45001. In conjunction with the required ISO standard, the organisation will be able to produce its own ISO Management System, which will offer guidance and controls to the business.
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