The document discusses eight principles of ISO 9001:2008 including customer focus, leadership, involvement of people, process approach, and system approach to management. It also provides tips for trained internal auditors, noting they should be fact-finders, look at effectiveness of systems and processes, and understand key requirements and boundaries. The steps of an audit are outlined as developing a plan and checklists, opening and closing meetings, gathering evidence, recording results, and generating a report.

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2. Eight principles of ISO: 9001 – 2008.
SR.
Principles ISO : 9001- 2008 APPROACH
NO.
Principle – 1 Meet customer needs and expectations
1. Customer – focused determine levels of customer satisfaction
organization / dissatisfaction.
Principle – 2
Commit continual improvement of the
2. Leadership
qms.
Principle – 3
Focus on competency rather then just
Involvement of
3. training. Identify and manage human
people
factors of the work place.
Principle – 4
Systematically identify and manage the
4. Process approach
process employed.
Principle – 5
Implement measures for monitoring
5. System approach to effectiveness of each process.
management
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3. Tips to trained internal auditor
1. Auditor is always fact finder and not fault finder.
2. As per IMS(EQHSMS) auditor looks for effectiveness of
system, process approach and not only records.
3. Auditors 4 Key boundaries
a. ISO:9001, ISO;14001 and OHSAS:18001 Requirements
b. Own written documents
C. Customer requirements
D. Statutory & regulatory requirements
4. Audit methodology
A. Interview people
B. Verify records
C. Witness testing/ process checking
D. Own verification of process / product parameters
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4. IMS(EQHSMS) AUDIT
As per iso system, audit is define as “ a systematic &
independent examination to determine whether ims(eqhsms) activities
and related results comply with planned arrangement and whether
these arrangements are implemented effectively and are suitable to
achieve the objectives”.
(1) Adequacy audit:- (System or management audit)
Determine the extend to which the documented system (ims(eqhsms)
manual, procedures, work instructions & forms) adequately meet the
requirements of standard.
(2) Compliance audit:-
Which seeks to establish the extent to which the documented system is
implemented and observed by the work force.
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5. 1. Audit plan Audit steps
2. Develop checklists
3. Opening meeting
4. Gather evidence
5. Record results
6. Closing meeting
7. Audit report
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6. Non – compliance reporting
 What is the problem ?
Describe clearly, concisely and
factually.
Why is it a non – compliance ?
I.e., against which requirement ?
 Where did it occur ?
I.e., which department or activity ?
 Who ? – avoid apportioning blame.
(I.e., naming individuals)
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7. 6.2 Human resources
6.2.1 General
Personnel performing work affecting
conformance to product requirements
must be competent on the basis of:
• Appropriate education
• Training
• Skills
• Experience
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8. Structure of standards as per ISO 14001-2004
4.6Management
review
4.5Checking &
corrective action
•Monitor &
Measure 4.2Environme
•Non-conformance ntal policy
•Corrective/prevent
ive actions
•Records
•Audits 4.3Planning
•Environmental
4.4 Implementation and Aspects
operation •Legal & Other
• Structure / Responsibility •Objectives &
• Training, Awareness Targets
• Communication •EMP
• EMS Documentation
• Document Control
• Operation Control
• Emergency Procedures
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9. Procedure for accident investigation
Procedure to address:
 Kind of accidents to be reported
 Define major accident, high potential accident and high
potential incident/near miss accident
 When and how events should be reported and investigated
 Who is responsible for conducting and participating in the
accident/ incident investigation
 Who is employee representative involved in conducting
accident/ incident investigation
 Who will liaise with external agency/ government functionary
conducting accident/ incident investigation
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10. Verification matrix
physical inspection tour
As a part of audit the verification should be done in the areas listed
below as a part of audit process.
Q.no. Characteristics
1. General workplace condition
a. Floors [ walking and working surface]
Clean, orderly and sanitary condition;
Drainage maintained;
Free of slip, trip or fall hazards;
Free of protrusion, nails, etc.;
Openings covered or barricaded;
Load limits painted on upper floors.
b. Aisles and passageways:
Aisles marked;
Clear and unobstructed;
At least 28" wide or as prescribed;
Sufficient width for all normal movements.
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