Question on using audit checklist ISO 13485:2016

duff999

Quite Involved in Discussions
#1
I'm looking for advice on using an audit checklist for ISO 13485, this will be our first audit (Stage 1). In the past I typically use a checklist with the following:

- Element of ISO 13485:2016
- A Question relating to the element of the standard (Does the QMS support claims of the conformity of the standard, etc etc).
- Observations, comments, documents reviewed
- Results (Conforms, OFI, Minor, Major)

I have all the elements listed, but I have been reading through some posts and seeing some comments about MDSAP. Is MDSAP something I have to consider while developing this checklist? This is uncharted waters for me, so any advice is appreciated.
 
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adir88

Involved In Discussions
#2
It depends on the scope of your audit. If you’re getting certified to MDSAP, then yes. But it doesn’t sound like you’re since you’re only realizing this by reading the posts here.
 

John C. Abnet

Teacher, sensei, kennari
Leader
Super Moderator
#3
audit checklist for ISO 13485, this will be our first audit (Stage 1).
Good day @duff999 ;
I'm a little confused. If I understand correctly,...
1- your CB will be conducting a "Stage 1" audit, in preparation for your organization's certification.
2- In order to provide the necessary readiness and evidence, your organization is going to perform internal audits (prior to the CB Stage 1).

Is this correct?

If indeed you are speaking of internal audits, remember, the current revision of ISO 13485 (consistent with other ISO management system standards) now emphasizes a "Process Approach". I would caution against getting caught in the old/previous trap of auditing in "silos" and focusing on/viewing through, the clauses of the ISO standard.

The intent, is to identify your organization's processes, their sequence, and their interaction. One process often affects another. For that reason and the proper goal of utilizing a process approach, I would council that your organization should audit the identified PROCESSES. Often, multiple ISO clauses can/will apply to multiple processes. Focus on the processes and their inputs and outputs. Are these functioning as intended? Are the applicable requirements applied by ISO for control, management, records/evidence being met within each of those processes?

Auditing to the "clause" is one of the approaches the authors are trying to stop by "introduction"/directing towards the Process Approach. They got it right, and the process approach is a much more comprehensive/robust approach ....especially in the context of internal auditing.

Hope this helps.

Be well.
 

duff999

Quite Involved in Discussions
#4
Good day @duff999 ;
I'm a little confused. If I understand correctly,...
1- your CB will be conducting a "Stage 1" audit, in preparation for your organization's certification.
2- In order to provide the necessary readiness and evidence, your organization is going to perform internal audits (prior to the CB Stage 1).

Is this correct?

If indeed you are speaking of internal audits, remember, the current revision of ISO 13485 (consistent with other ISO management system standards) now emphasizes a "Process Approach". I would caution against getting caught in the old/previous trap of auditing in "silos" and focusing on/viewing through, the clauses of the ISO standard.

The intent, is to identify your organization's processes, their sequence, and their interaction. One process often affects another. For that reason and the proper goal of utilizing a process approach, I would council that your organization should audit the identified PROCESSES. Often, multiple ISO clauses can/will apply to multiple processes. Focus on the processes and their inputs and outputs. Are these functioning as intended? Are the applicable requirements applied by ISO for control, management, records/evidence being met within each of those processes?

Auditing to the "clause" is one of the approaches the authors are trying to stop by "introduction"/directing towards the Process Approach. They got it right, and the process approach is a much more comprehensive/robust approach ....especially in the context of internal auditing.

Hope this helps.

Be well.
Excellent information, I appreciate the input.
 

LUFAN

Involved In Discussions
#5
I have all the elements listed, but I have been reading through some posts and seeing some comments about MDSAP. Is MDSAP something I have to consider while developing this checklist? This is uncharted waters for me, so any advice is appreciated.
What is the scope of your QMS? Do you make medical devices or components? Do you have regulatory obligations from someone like FDA?

You don't have to join MDSAP, unless you're selling into Canada. That said your internal audit should cover 13485 + whatever regulatory jurisdictions are applicable. Your 13845 auditor would not write you a NC for not auditing against your scope outside of 13485, but an internal auditor certainly would, and if that regulatory jurisdiction was also performing their own inspection/audit or if it was an MDSAP audit, that's definitely a Major/Grade 3+ NC.
 

duff999

Quite Involved in Discussions
#6
What is the scope of your QMS? Do you make medical devices or components? Do you have regulatory obligations from someone like FDA?

You don't have to join MDSAP, unless you're selling into Canada. That said your internal audit should cover 13485 + whatever regulatory jurisdictions are applicable. Your 13845 auditor would not write you a NC for not auditing against your scope outside of 13485, but an internal auditor certainly would, and if that regulatory jurisdiction was also performing their own inspection/audit or if it was an MDSAP audit, that's definitely a Major/Grade 3+ NC.
Our current audit scope would be ISO 13485:2016. We are a manufacturer of a component that will end up being part of a kit and sent to the final manufacturer, so this is not the final device. I'm struggling a bit to understand the process approach rather than using a checklist that has each clause listed.
 

John C. Abnet

Teacher, sensei, kennari
Leader
Super Moderator
#7
I'm struggling a bit to understand the process approach rather than using a checklist that has each clause listed.
Consider this example...
Company name is "Make A Pizza"

Your processes (oversimplified) are as follows...

PROCESSES Applicable Clauses
Take Order 4.2; 7.2; ;
Dice- 4.2; 7.5.1; 7.5.2; 7.5.8;
Assemble- 4.2; 7.5.1; 7.5.2; 7.5.8;
Bake- 4.2; 7.5.1; 7.5.2; 7.5.8; 7.6
Cut- 4.2; 7.5.1; 7.5.2; 7.5.8;
Box- 7.5.1; 8.3
Deliver 8.5.1; 8.2.6; 8.3; 8.3.3; 8.5.2

Audit to your stated PROCESS . The additional column of "applicable clauses" is not necessary, but might help you understand how the standard requirements are threaded throughout your various processes. This example, of course, is an over simplification, but ....

Hope this helps.
Be well.
 

LUFAN

Involved In Discussions
#9
Great example, I appreciate the response here!
John's post is a good one. I'll just add from the house keeping point of view. Make sure you are not auditing any process in which you are involved, and that you have undergone a training to perform internal audits to 13485. I have issued NCs for my component suppliers for both of those things. That is said with the understanding that a lot of these company's are small and therefore it's often hard to actually have autonomy over certain processes.
 

duff999

Quite Involved in Discussions
#10
John's post is a good one. I'll just add from the house keeping point of view. Make sure you are not auditing any process in which you are involved, and that you have undergone a training to perform internal audits to 13485. I have issued NCs for my component suppliers for both of those things. That is said with the understanding that a lot of these company's are small and therefore it's often hard to actually have autonomy over certain processes.
Good advice. I do have questions related to this.

If I am the one creating the SOP's, work instructions, forms, etc. for a certain process, does this exclude me from performing the audit. I may not be the actual operator of the process, but I have authored it.

Also, If I am the one who is tasked to perform the internal audit, and have gone through a formal training course from an outside consulting group on how to perform internal audits , is this enough evidence that I have gone through the proper training?
 
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