Good Practices for Registrars in the Transition to ISO 9001:2015

Posted in Presentations & Papers

The ANAB released a "Heads Up" document to Registrars (aka Certification Bodies or CBs).  This document shows the focused work ASR is doing to prepare for the new ISO 9001:2015 release.

We know The amount of work to prepare for your audit is signifant and we are getting ready for your ISO 9001:2015 audit.

pdfRead the good practices suggested by ANAB (our list starts on page 2).

The following items should be considered by the AB when transitioning a CAB:
  • Where needed, amended internal procedures and documents of the CAB, which reflects the changed requirements of the standard;
  • Demonstration of appropriate skills and knowledge, as identified by the CAB, based on the requirements of ISO 9001:2015, including evaluation of achieved competence. Skills and knowledge should be tailored and delivered to all relevant functions of the CAB;
  • Ability to audit the application of risk based thinking by the certified client. Understanding of risk analysis techniques (SWOT, FMEA etc.) will be necessary where required by the industry;
  • Ability to verify the identified risks and opportunities, as well as actions to mitigate risks;
  • The style of reporting and the information submitted to decision making;
  • Ensuring consistent process based approach among its audit teams;
  • Ability to analyze whether the management system reflects the context of the organization;
  • Ability to plan audits based on the context of the organization, with more emphasis on stage 1 audit, during initial certification audits and recertification audits (when applicable), which is used to understand organisational context;
  • Alignment of audit program to reflect the requirements of new standard;
  • Understanding by auditors of internal and external factors, needs and expectations of related interested parties;
  • Recognition of organisational boundaries.
  • Time interval between stage 1 and stage 2 audits during initial certification audits and recertification audits (when applicable); When witnessed audits are completed to ISO 9001:2015, the following should be specifically considered:
  • Evidence of process approach used, e.g. auditing starts from the system up to the standard;
  • Instead of focus on documentation, focus should be on good techniques for interviewing and understanding the method of auditing an organization without a documented system or with a limited documented system.
  • Planning and organising the audit are essential
  • Risks are identified throughout the processes and in the context of the organization;
  • Selection of relevant interviewees to cover leadership; Agreed to by IAF Technical Committee Members on 12 April 2015 (associated with discussion paper IAF-TC-12.3-15) Good Practices for ABs and CABs in the Transition to ISO 9001:2015
  • Understanding the implications of the new terminologies in the standard;
  • Interaction between audit team members is vital.
The previous knowledge of AB regarding the performance of CABs should be considered during  establishing the approach to transition. The effective communication between ABs and sharing information on their approaches regarding the transition is welcomed. It is also important to share its transition assessment results on a higher level, not violating confidentiality requirements. In working with the IAF Informative Document 9, ABs may have differing transition approaches; however, AB’s are expected to:
  • consider the history of other transitions when developing its transition process
  • have competent resources for the new standard in order to fulfil its transition process
  • have the necessary resources to support CAB’s when ready for transition without causing undue delay
  • consider the history of the CAB when transitioning a given CAB
  • cooperate with other ABs for a CABs transition, when requested and appropriate

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