What are the two stages of ISO9001 audit

Yes, at present, according to the relevant regulations of the CNCA, the environmental management system certification is divided into one stage and two stages, both of which need to be audited at the business site of the enterprise.

The first stage of the audit is generally for the audit team leader to go to the enterprise site, according to the scale of the enterprise and the status of the product, it generally takes man-days (here the man-day includes the number of auditors and the number of audit days, for example, 2 person-days can be 2 auditors to audit 1 day, or 1 auditor to audit 2 days), the first-stage audit generally includes the following:

1. Enterprise documented management system information, management manuals, control procedures, etc.

2. Evaluate the specific situation of the customer's operation site and site.

3. Collect the necessary information about the customer's system scope, process and place, as well as the allocation of resources required in the second phase.

Between the first stage and the second stage, the shortest interval is required, and the enterprise shall rectify the non-compliance found in the first stage of the audit and submit it to the audit team leader for verification before the second stage of on-site audit can be conducted.

ISO9001 quality system certification.

1. The implementation of the environmental system specified in the ISO14001 standard within the enterprise.

2. Planning of environmental management system and realization of continuous improvement goals.

3. Determine the audit conclusion and whether the certification can be recommended.

The purpose of the audit is different.

The objectives of the Phase 1 audit are:

aVerify the effectiveness of the organization's environmental management system planning to determine whether it is possible to carry out the second phase.

the conditions of the audit;

bUnderstand the basic situation of the organization, determine the focus of the second stage of the audit, and prepare the second stage of the audit.

Plan to prepare;

The purpose of the Phase 2 audit is to verify that the organization's environmental management system is in accordance with the plan.

implementation, whether the implementation is effective and whether it complies with.

iso14001

standard requirements to decide whether to.

CQC recommends certification registration.

Second, the content of the review is different.

What is reviewed in the first phase:

iso14001

Standards and legal regulations.

compliance; b

Impact evaluation report

3. Completion acceptance report at the same time

Issued by the local environmental protection department and not subject to the environmental protection administrative department.

Proof of the penalty (for the duration of the system).

Hydro-acoustic monitoring report (Yes.

The most of the CMA metrology accreditation marks.

new monitoring report).

pollutant discharge permits, etc.;

c. Preliminary evaluation of the effectiveness of environmental factor identification and evaluation of important environmental factors: mainly through on-site investigation.

Check to see if the organization has missed significant environmental factors;

corrective actions are in place, etc.;

eConfirm whether a management review has been conducted: please provide a management review report from the organization;

f Confirm that all important environmental factors of the organization are controlled by corresponding control measures, and preliminarily.

Understand the basic situation of control measures (such as control methods, control effects, etc.) gPreliminary determination of the scope of review;

h. The audit team leader thinks that the audit content should be added.

Content of the second stage of the audit: The prerequisite for the second stage of the audit is the first stage of the audit.

The non-conformities issued can only be carried out after corrective measures have been formulated and effectively implemented.

Verify that the company is established.

and maintain an environmental management system with.

iso14001

Compliance with standards.

Third, the departments involved in the audit are different.

Departments involved in the first phase of the review:

A. General manager or manager's representative: the overall planning of the environmental management system (the process and method of planning.

and the basic situation of the organization).

Whether the internal audit is carried out and the management review is conducted.

b. On-site investigation, including production site, warehouse (including chemical warehouse), boiler room, and sewage department.

Stations, exhaust gas control devices, etc

Understand the basic situation of the organization and confirm whether there are any important environmental factors.

control measures for leakage and important environmental factors; Confirm the focus of the second stage of the audit, etc.;

c system planning specific management departments, such as:

iso14001

Promotion Committee, etc.: Document Review, Ring.

Preliminary evaluation of the effectiveness of environmental factor identification and evaluation of important environmental factors, and compliance review of laws and regulations.

Phase 1 and Phase 2.

In the first stage, the relevant qualifications of the enterprise are mainly reviewed, whether the system has operation records, whether there are major deficiencies, and the scope of the application for certification is verified.

In the second stage, the specific system operation of the enterprise site is reviewed to meet the requirements of specific terms.

Auditing ISO 9001:2000 requires the auditor to have an in-depth understanding of the nature of the auditee's business and the Quality Management System (QMS). That's why it's beneficial to visit a certification audit and introduce a first-stage audit before organizing it.

The first stage audit is mainly to scoping and planning the certification audit (stage 2 audit) and to give the auditor an understanding of the organization. For example, allow auditors to improve their knowledge of the organization's QMS, policies, objectives, risks, processes, locations, etc. At the same time, it can also be used to communicate with the auditee about its needs and expectations.

In the preliminary Phase 1 audit, the activities carried out include: identifying the key risks to the business, relevant laws and regulations, and compliance; Assess whether the process identified by the auditee adequately meets its objectives and the customer's requirements; implementation of document review; The review should determine whether the organization's QMS documentation adequately covers all the requirements of the ISO 9001:2000 standard.

The assessment is usually conducted on-site at the auditee site (unless otherwise requested and accredited). As a result of this activity, a report should be submitted indicating the deficiencies. As part of the document review, the auditor should assess the scope and usefulness of the supporting procedures and process descriptions, and gather the necessary information about the scope, processes and sites of the organization's management system.

Drafting of the post-obsessed certification documents, including a description of the scope; planning the certification (Phase 2) audit, including the requirements for selecting an audit team; Obtain evidence that internal audits and management reviews have been effectively planned or implemented; Check and verify that the QMS has been implemented and the auditor confirms that the auditee is acceptable to the second stage of the audit, including the appropriate level of documentation and supporting records; Whenever there are deficiencies in the system, the auditor should note them in the audit report so that the organization has the opportunity to correct them before the certification (Phase 2) audit.

Agree on a date for the Phase 2 review.

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ISO 9001 certification is used to demonstrate an organization's ability to provide products that meet customer requirements and requirements of applicable regulations, with the aim of improving customer satisfaction.

With the continuous expansion and increasing internationalization of the commodity economy, in order to improve the credibility of products, reduce repeated inspections, weaken and eliminate technical barriers, and safeguard the rights and interests of producers, distributors, users and consumers, this certification party is not dominated by the economic interests of both producers and sellers, notarization and science.

All enterprises that have passed ISO9001 certification have reached international standards in the integration of various management systems, indicating that enterprises can continue to provide customers with expected and satisfactory qualified products.

Differences: 1. The objects made are different.

Audit plan: made by the auditor;

Audit plan: It is done by the management department of the certification body.

2. The review time is different.

Audit plan: It is the specific implementation itinerary for each audit;

Audit plan: It is the overall audit plan for an audited organization.

3. The scope of content is different.

Audit plan: It should be made according to the audit plan;

The ISO internal audit process is generally divided into 5 stages or 5 steps: planning, preparation, implementation, reporting, and tracking.

1. Review planning (planning).

Develop an internal audit work plan for the whole year.

Determine the scope of the audit.

Determine the frequency of reviews.

Clarify the purpose of each audit.

2. Audit preparation (preparation).

Formulate auditors and form audit teams to assign work.

Gather the relevant documents.

Document review. Develop an audit plan.

Preparation of working documents (checklists, records, etc.).

3. On-site audit (implementation).

First meeting. The final meeting of the on-site inspection (collecting objective evidence and recording observations). 4. Audit report (report).

Preparation of audit reports.

Report distribution, sock archiving.

5. Follow-up (tracking) of corrective actions

Submit corrective requirements and necessary recommendations to the auditee.

The auditee develops and implements corrective actions.

Verify the effectiveness of corrective measures and document them.

ISO9001 management system audit includes internal audit, external audit (supervision audit or re-evaluation) and management review.

Generally speaking, the ISO9001 certificate is valid for 3 years. Every year, the certification body shall conduct an external audit, and the enterprise shall conduct an internal audit and management review at least once a year.

The external audit includes:

1. Document review (including quality manual and system procedure documents).

2. On-site audit (supervision and review is generally a random inspection according to certain rules, and re-evaluation is a full-coverage review), and the audit content covers all the provisions of ISO9001.

The content of the internal audit includes:

1. Document review (including quality manual and system procedure documents).

2. On-site audit (full coverage review), the audit content covers all the terms of ISO9001.

The general internal and external audit review steps are:

1. Audit initiation (designate the audit team leader, determine the protracted audit process, scope and criteria).

2. Document review and record.

3. Preparation for on-site audit (formulation of audit plan, assignment of work tasks of the audit team, preparation of work documents).

4. On-site audit implementation (holding the first meeting, audit interviews, collecting and recording audit evidence, forming audit findings, preparing audit conclusions, and the last meeting).

5. Prepare audit reports.

6. Complete the audit.

7. Review the follow-up work (close the problems found in the audit).

The management review steps are:

1. Formulate a management review plan.

2. Preparation of management review materials (internal and external audit results of the previous year, customer feedback, process performance and product compliance, tracking of previous management reviews, changes in the management system, and improvement suggestions).

3. Management review meeting.

4. Management review report.

5. Follow-up work of management review (close the problems found in the management review).

I hope you find the above helpful.

ISO9001 complete management system audit refers to the initial certification or re-evaluation audit, and the supervision audit is not a complete audit.

Involves the review of all departments covered by the system and all provisions of the ISO9001 standard.

Regardless of external audit, internal audit, or customer audit, the sampling mode is generally adopted, and sampling is risky.

In order to reduce the risk of audit and fully grasp the actual situation of the organization, some organizations currently propose a complete quality system audit (or total quality system audit) when conducting business audits and internal audits, that is, all the contents involved in the audit process are subject to a demarcated time period and a direction of scope.

In fact, it is similar to the difference between random inspection and full inspection.

The national registered auditor refers to the personnel who are qualified to engage in the certification and audit of the corresponding management system by the National Accreditation Commission. The professional level is generally divided into 4 levels: trainee auditor, auditor, senior auditor, and verification (witness) auditor.

Quality management system (ISO9001) refers to the enterprise quality management system established in order to ensure product quality and customer satisfaction, including enterprise strategic choice, goal setting, organizational structure, division of responsibilities, production process, material procurement, machine management, human resources, performance appraisal and continuous improvement. At present, most companies have obtained ISO9001 management system certification in order to standardize enterprise management, customer satisfaction, market development and other needs.

The national registered senior auditor is qualified to lead the members of the audit team to audit the quality management system of the enterprise. For certification companies, senior auditors are associate senior titles; For social enterprises, the senior auditor is equivalent to the deputy senior title of economic management.

If an ordinary social enterprise has an ISO9001 senior auditor, it will play a significant role in improving the management level of the enterprise, and there are three main reasons:

First, the senior auditor is proficient in international standard enterprise management knowledge, is an expert in management, and is of great significance to the company's product quality and management quality level improvement.

Second, there are many enterprises with senior auditors participating in the audit, and they can fully learn from the management methods of other similar enterprises for their own use.

Third, for enterprises in the upward channel, higher requirements are put forward for standardized, lean and standardized management.

From the current point of view in China, most large enterprises, especially multinational enterprises, such as Baosteel, Haier, ZTE and other companies, have their own senior auditors, and participated in the preparation and drafting of national standards such as GBT19001 (equivalent to ISO9001) and GB T24001 (equivalent to ISO14001).