Effective Audit Conclusions Related to ISO 9001:2015

Presenter: Robert Freeman, President, Practical Perspectives, Dallas, TX, USA

Keywords: Performance-Based Auditing

Industry: Government, Manufacturing, Service

Level: Intermediate


Audit techniques and those who present or promote them tend to be centered on the process approach to auditing, which is good, but auditors and the courses they attend are very absolute minded (i.e., look for one of these and it looks like this). The open format of ISO 9001:2015 means there is a lot less of the absolute-based evidence to collect and a lot more of what may be considered relative or relation requirements. This session is intended to provide auditors and the organizations they audit with insight into how to identify when a requirement is relational or relative and therefore how to reach effective conclusions by becoming more adept at letting the evidence speak for itself. Some basic approaches that will be covered include:

1. How to develop an understanding of what is being presented or observed and to what extent might it be effective on its own merit;

2. Identifying what is missing and how to find it when the evidence presented does not seem to clearly address the requirement being assessed; and

3. Determining when a conclusion, relating to a requirement, will need to wait until the end of an audit due to the way the management system has been defined, because of the approach employed by the organization or because a requirement is not absolute in the way it is identified within ISO 9001:2015.