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Audit Findings - The Process/Clause Matrix does not identify all the processes



Hi Cove'rs
Hope you can help.

Being new to ISO and general Quality procedures, I was charged with Implementing a QMS in a company and with getting a CB to certify us to the 9001:2008 standard. (New job, new role, no predecessors' or assistants)

There was an old QMS (from 2001), which I picked up, dusted off and put in place again, it should be said.

The stage 1 assessment went ok, but the auditor went to town on the 'Process Approach' line and put this in the 'Audit Findings' report.

'(a) The Process/Clause Matrix does not identify all the processes, or all the relevant clauses against each clause. '
'(b) There is a need to identify the Inputs, Outputs, Measurements
and Targets for each process.'

Now... When I set off on this mission, I done a few courses,
read alot of literature from here (which was fantastic) and never
took a massive importance from having a Process Approach, and
more or less took it that the whole 'Process Approach' thing was
a 'recommendation' (which I do agree with) but that it was not a
mandatory instrument when implementing a QMS. :eek:

I am preparing corrective actions to address this and other issues on
the 'Audit Findings' report, but desperately need some guidance on
the whole 'Process Approach' approach, as it does seem to
be the way to go.

Any immediate help and guidance in this would be a massive help guys & gals.

Cheers :)

Elsmar Forum Sponsor


Re: Audit Findings (?)

The Process approach is the main idea in ISO 9001:2000 and ISO 9001:2008. Try to count the word "process" in the standart. The number is big. The Process approach is one of the 8 principle of quality management defined in ISO 9000.
For me it is mandatory.
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Re: Audit Findings (?)

Hi Keres,

Yes, cant argue with it and totally makes sense. I finding that I picking up an old system that wasn't revolved around it, and now am trying to put in new foundations under an existing house so to speak. Instructions are to make the implementation as painless as possible to the existing infrastructure as possible.

Guidance appreciated. A Process matrix examples would be fantastic if any one has one to share...



Re: Audit Findings (?)

Assuming that you maybe have procedures developed but no processes to link to.
I will use the example from out side to purchase IT equipment.
Starts with a Service Request from the user who wishes to purchase IT equipment. Our process starts with our Helpdesk who asses the request/s and channel it to the right section, the Procurement section is the recipient who uses procedures to do all their requirements(Budget verififcation quotations etc.), next in line is the IT equipment store who will receive the request, they in turn do have their procedures to execute the task, from here there is 2 parallel functions one goes to the technical section for installing the equipment and the other to procurement again for payment of the invoice and procedures for it and it all ends again at the Helpdesk who close the request and a customer satisfaction questionnaire is send to rate our service feedback.
This is the complete process and you look at how well does the respective processes interact (Look at timelines, documents, etc).

Do a search on the forum process matrix etc. there are some examples.

Big Jim

Super Moderator
Even though ISO 9001:2000 emphasized the process approach, it was not well understood or applied at the beginning, thus your 2001 manual didn't have much in that direction. The process approach may well have been the main driver for the transition for the 2000 revision of ISO 9001.

Even once the 2000 version of the standard was adopted, it took until late 2004 or early 2005 to move away from the element based audit checklist to using the process approach for auditing. The adoption of the process approach was slow in starting.

Now that it is underway, we see more and more emphasis being made. One of the most recent has been the move to using key performance indicators (KPI), even to the extent of expecting top management and process owners (department managers) to be aware of how their KPI are tracking.

More emphasis will come. And it will be sooner than later. We just don't know what the next point of emphasis will be.


Quite Involved in Discussions
Send me your email and I'll send you a copy of our company process flow chart. It might not be real applicable but it'll give you an idea what's going on.

I'd attach it but I'm not sure how. it is. :biglaugh:

Hope this is of use.


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Hi Brizilla,

Thank you for the flow chart.

However, when I presented this type of full in depth chart to the auditing certification body, I was told that this is a common misconception as to what is wanted when asked to identify the Processes in a company.

Its only a list of Core Process headings that is required here.
After my initial reply with the flow chart (just like yours) I was
shown something like as follows:
(This list is to be identified by the company). As mentioned by Big Jim, these are to be processes that the company can put a measure on as KPI's.

<Sample of matrix attached>

Its then a list of the ISO clauses and whether the requirements of the
standard are applicable (each clause) to each process.

Has any one filled in this chart before?



Big Jim

Super Moderator
I have filled out charts like that many times. It is intended to show that your quality management system addresses all of the requirements of the standard. It is easy to complete, once you have determined what your processes are.

List your core processes down the left side. Think about which elements of the standard you would need to address to properly evaluate that process, and put an X in the box under that element. Don't overthink it. If you try hard enough, you can almost force any requirement into any process, so address the main ones that it covers. When you are done, confirm that you have an X under every element of the standard except for the ones that you have claimed an exclusion for. If you miss any, look it over again and determine where it belongs.

If you need any additional help, PM me.


Quite Involved in Discussions
It's an auditing chart, used by auditors. (internal or external)

It is NOT a requirement of the standard.
It IS a handy document to check yourself with.

I use a more advanced version of the big chart I gave you in Visio to jump to smaller process charts for departments or the mandatory 7 Procedures in TS.
We use that with an audit turtle to list our process measurables.

We just went through a TS recert and it wasn't a problem.
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