ISO 9001 Auditing Practices Group Document revision status record

Document File name Change Date

1. Global changes - New IAF logo 2004-05-05

Revised index list, 2004-05-05
To include the new papers
Revised index list, 2004-09-21
to replace "Value-added auditing" by "How to add value during the
audit process"
APG web site transferred to: 2004-10-14
www.iso.org/tc176/ISO9001AuditingPracticesGroup
Papers re-formatted, so that there is no longer an explanation of the 2004-10-14
APG and a listing of all the guidance notes. Instead, a new separate
paper "Introduction to the APG" has been developed, and limited
informative material now appears at the end of the guidance notes
Correction in footnotes to URL for the ISO 9001 Auditing Practices 2005-12-12
Group
E-mail address for the contact person updated in the information 2009-06-05
section at the end of each paper
E-mail address for the contact person updated in the information 2009-12-14
section at the end of each paper
All papers converted to PDF format 2010-04-12
All papers reviewed against ISO 9001:2015 2016-01-13
APG web site transferred to: 2020-02-14
https://committee.iso.org/home/tc176/iso-9001-auditing-practices-
group.html#

2. APG Web Home page - New 2003-12-01

Revisions status list added 2004-05-05
Zip file of all documents added 2004-05-05
Link to TRANSLATIONS added 2005-12-12
Change of IAF Secretariat e-mail address 2011-04-21

3. Introduction to the APG-Introduction New 2004-10-14

ISO 9001 Auditing
Practices Group
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Reference to additional papers added 2005-12-12
Aligned to ISO 9001:2008 2009-06-05
APG-Introduction2015 Aligned to ISO 9001:2015 + Removal of the listing of APG 2016-01-13
documents

4. The need for a 2- APG-2stage New 2003-12-01

stage approach to
auditing
Revised edition 2009-06-05
Two stage initial APG-2stage2015 Re-titled “Two stage initial certification audit” 2016-01-13
certification audit

5. Measuring QMS APG-Effectiveness New 2003-12-01

effectiveness and
improvements
Aligned to ISO 9001:2008 2009-06-05
Effectiveness APG- Re-titled “Effectiveness” and aligned to ISO 9001:2015 2016-01-13
Effectiveness2015

6. Identification of APG- New 2003-12-01

processes IdentifyProcesses
Section "3. Processes should be analysed, monitored and/or 2004-05-05
measured, and improved" revised
Section "5. Is the process approach as described in the 'Introduction' 2004-11-10
to ISO 9001:2000 a requirement of the standard?" revised
Aligned to ISO 9001:2008 2009-06-05

Processes APG-Processes2015 Re-titled “Processes” and aligned to ISO 9001:2015 2016-01-13

Revised for clarity Ed2, 2020-07-19

7. Understanding the APG- New 2003-12-01

process approach UnderstandProcessA
pproach
Aligned to ISO 9001:2008 2009-06-05
Withdrawn
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8. Determination of the APG- New 2003-12-01

“where appropriate” DetermineWhereAppr
processes opriate
Aligned to ISO 9001:2008 2009-06-05
Withdrawn

9. Auditing the “where APG- New 2003-12-01

appropriate” AuditWhereAppropriat
requirements e
Aligned to ISO 9001:2008 2009-06-05
Withdrawn

10. Demonstrating APG- New 2003-12-01

conformity to the DemonstrateConformi
standard ty
Section " When assessing conformity to the standard, audit 2004-05-05
checklists may not be sufficient", 3rd Paragraph revised
Section "What is adequate sampling", 1st paragraph, 2nd sentence 2004-05-05
revised
Section " When assessing conformity to the standard, audit 2004-09-21
checklists may not be sufficient", 2nd Paragraph,1st sentence, "were"
replaced by "where".
Aligned to ISO 9001:2008 2009-06-05
Demonstrate APG- Re-titled “Demonstrate conformity to the standard” and some limited 2016-01-13
conformity to the DemonstrateConformi edits
standard ty2015

11. Linking an audit of a APG- New 2003-12-01

particular task, activity AuditofTasktoSystem
or process to the
overall system
Withdrawn, as it was linked to ISO 9001:2008

12. Auditing continual APG- New 2003-12-01

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improvement AuditContinualImprov
ement
Section "How much improvement is enough", 2004-05-05
1st Paragraph, 2nd sentence deleted
Section "Improvement of the process or improvement of the QMS", 2004-05-05
1st paragraph,
4th sentence revised
Aligned to ISO 9001:2008 2009-06-05
Additional text added in the sections on "What sort of information is 2009-12-01
relevant and where can we find it?" and "Improvement of the
product, process or improvement of the QMS?"
Improvement APG- Re-titled “Improvement” and aligned to ISO 9001:2015 2016-01-13
Improvement2015

13. Auditing a QMS which APG- New 2003-12-01

has minimum MinDocumentation
documentation
Aligned to ISO 9001:2008 2009-06-05
Withdrawn

14. How to audit top APG- New 2003-12-01

management AuditTopManagement
processes
Top management APG- Re-titled “Top management” and aligned to ISO 9001:2015 2016-01-13
TopManagement2015

15. The role and value of APG-Checklist New 2003-12-01

the audit checklist
Amendment to the section “Need for a checklist”, to align with ISO 2013-01-16
19011:2011
Checklist APG-Checklist2015 Re-titled “Checklist” and a small number of edits made 2016-01-13

16. Scope of ISO APG-Scope New 2003-12-01

9001:2000, Scope of
Quality Management
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System and Defining
Scope of Certification
Link to IAF Guidance document added 2004-05-05
Significant re-write of this document, following received comments 2004-11-24
Aligned to ISO 9001:2008 2009-06-05
Scope of ISO 9001, APG-Scope2015 Title changed to: Scope of ISO 9001, Scope of Quality Management 2016-01-13
Scope of Quality System and Scope of Certification
Management System Substantial revision to align to ISO 9001:2015
and Scope of
Certification
Scope and APG- Revised edition and re-titled. 2020-02-26
Applicability Scope_and_Applicabil
ity_Ver2_2020-02

17. Value-added auditing - New 2003-12-01

Replaced by document "How to add value during the audit process" 2004-09-21
18. How to add value APG-HowtoAddValue New 2004-09-21
during the audit (supersedes the document "Value-added auditing")
process
Aligned to ISO 9001:2008 2009-06-05
Adding value APG- Re-titled “Adding value”, and aligned to ISO 9001:2015 2016-01-13
AddingValue2015

19. Auditing competence APG- New 2003-12-01

and the effectiveness AuditingCompetence
of actions taken
Aligned to ISO 9001:2008 2009-06-05
Competence APG- Re-titled “Competence” and aligned to ISO 9001:2015 2016-01-13
Competence2015
APG-Competence Revised to provide an expanded view in relation to competence 2022-06-01
requirements throughout the entire body of ISO 9001 requirements

20. Auditing Statutory and APG- New 2004-05-05

Regulatory StatutoryRegulatory
requirements
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New last Paragraph added 2005-12-12
Aligned to ISO 9001:2008 2009-06-05
Statutory and APG- Re-titled “Statutory and Regulatory requirements” and aligned to ISO 2016-01-13
Regulatory StatutoryRegulatory20 9001:2015
requirements 15
APG- New edition 2021-06-07
StatutoryRegulatory

21. Auditing the Quality - New 2004-05-05

Policy and Quality
Objectives
Auditing Quality APG- New title. 2005-12-12
Policy, Quality QualityPolicyandObje Addition of guidance on the auditing of Management Review
Objectives, and ctives
Management Review
Aligned to ISO 9001:2008 2009-06-05
Policy, objectives and APG- Re-titled “Policy, objectives and management review” and aligned to 2016-01-13
management review PolicyObjectivesMana ISO 9001:2015
gementReview2015

22. Auditing ISO 9001, APG- New 2004-05-05

Clause 7.6 Control of ISO9001Clause7.6
monitoring and
measuring devices
equipment
Revised edition 2005-12-12
Revised edition 2006-05-15
Re-titled "Auditing ISO 9001, Clause 7.6 Control of monitoring and 2009-07-30
measuring equipment"

And aligned to ISO 9001:2008

Monitoring and APG- Re-titled “Monitoring and measuring resources” and aligned to ISO 2016-01-13
measuring resources MonitoringMeasureme 9001:2015
nt2015

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23. Making effective use APG- New 2004-05-05
of ISO 19011 EffectiveUseofISO190
11
Aligned to ISO 9001:2008 2009-06-05
Significant revision of section “Competence and evaluation of 2013-01-16
auditors”, to align with ISO 19011:2011
Effective use of ISO APG-ISO19011_2015 Re-titled “Effective use of ISO 19011” 2016-01-13
19011
APG- Edited to align with ISO 19011:2018 2020-09-21
ISO_19011_2018

24. Auditing Customer APG- New 2004-05-05

Feedback processes CustomerFeedback
Aligned to ISO 9001:2008 2009-06-05
Customer Feedback APG- Re-titled “Customer Feedback”, and aligned to ISO 9001:2015 2016-01-13
CustomerFeedback20
15

25 Documenting a APG- New 2004-11-24

Nonconformity DocumentNonconfor
mity
Aligned to ISO 9001:2008 2009-06-05
Nonconformity – APG- Re-titled “Nonconformity – Documenting” and aligned to ISO 2016-01-13
Documenting DocumentNonconfor 9001:2015
mity2015

26 Review of Actions in - New 2004-11-24

response to a
Nonconformity
Guidance for APG- Revised, re-titled and re-focussed 2005-02-10
reviewing and closing ReviewNonconformity
nonconformities
Aligned to ISO 9001:2008 2009-06-05
Paragraphs on systemic versus one-off nonconformities and the text 2010-12-01
and table on the "5 Whys" added
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Nonconformity – APG- Re-titled “Nonconformity – Review and closing” and aligned to ISO 2016-01-13
Review and closing ReviewNonconformity 9001:2015
2015

27 Auditing Internal APG- New 2005-02-10

Communications InternalCommunicatio
ns
Aligned to ISO 9001:2008 2009-06-05
Revision of section 2.3 2010-07-12
Amendment of section 2.3 2011-04-21
Internal APG- Re-titled “Internal communication” and aligned with ISO 9001:2015 2016-01-13
communication InternalCommunicatio
n2015
Edited and cross references updated Ed2, Amd1
2020-07-19

28 Auditing Preventive APG-PreventiveAction New 2005-02-10

Action
Aligned to ISO 9001:2008 2009-06-05
Revision of section 2.2a) bullets 9 and 10 2010-07-12
Revision of section 2.2a) 2011-04-21
Withdrawn

29 Auditing service APG- New 2005-07-30

organizations AuditingServiceOrgani
zations
Aligned to ISO 9001:2008 2009-06-05
Service organizations APG- Re-titled “Service organizations” and aligned to ISO 9001:2015 2016-01-13
ServiceOrganizations
2015

30 THIRD PARTY APG- New 2005-07-30

Auditor impartiality AuditorImpartiality
and
conflict of interest
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Impartiality APG-Impartiality2015 Re-titled “Impartiality” and aligned to ISO 9001:2015 2016-01-13

31 Auditing the APG- New 2005-07-30

effectiveness of the InternalAuditEffectivn
internal audit ess
Aligned to ISO 9001:2008 2009-06-05
Revision of section 2.2 2010-07-12
Revision of section 2.2 2011-04-21
Internal audit APG- Re-titled “Internal audit” and aligned to ISO 9001:2015 2016-01-13
InternalAudit2015
Edited and Cross references updated Ed1, Amd1
2020-07-19

32 Auditing Electronic- APG- New 2005-08-25

Based Management AuditingElectronicBas
Systems (EBMS) edMS
Electronic APG- Re-titled “Electronic documented information systems” and aligned to 2016-01-13
documented DocumentedInformati ISO 9001:2015
information systems on2015
Withdrawn. Superseded by the paper on Digital Processes 2020-09-21

33 Auditing the APG- New 2005-12-12

Management of ManagementOfResou
Resources rces
Resources APG-Resources2015 Re-titled “Resources” and aligned to ISO 9001:2015 2016-01-13

34 Auditing of Customer APG- New 2005-12-12

Communications CustomerCommunicat
ions
Aligned to ISO 9001:2008 2009-06-05
Revision of section 2.4 2010-07-12
Revision of section 2.4 2011-04-21
Customer APG- Re-titled “Customer Communications” and aligned to ISO 9001:2015 2016-01-13
Communications CustomerCommunicat
ions2015
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35 Auditing the Design APG- New 2006-05-15

and Development Design&Development
Process
Significant revision of Introduction section. 2006-12-08
Correction to Fig 1, to show link between Verification and input, not
planning.
Aligned to ISO 9001:2008 2009-06-05
Reference to ISO 9000, clause 3.4.1 corrected to 3.5.1 2009-06-30
Design and APG- Re-titled “Design and Development Process”, aligned to ISO 2016-01-13
Development Process Design&Development 9001:2015
2015

36 Auditor Code of APG-Code-of- New 2006-05-15

Conduct and Ethics Conduct-&-Ethics
Code of Conduct and APG-Code-of- Title changed to: Code of Conduct and Ethics, and other very minor 2016-01-13
Ethics Conduct-&- editorial changes
Ethics2015

37 Guidance on Cultural APG-CulturalAspects New 2006-12-08

Aspects of Auditing
Cultural Aspects APG- Title changed to: Cultural Aspects, and minor editorial changes 2016-01-13
CulturalAspects2015

38 Output Matters APG-OutputMatters New 2006-12-08

Aligned to ISO 9001:2008 2009-06-05
Withdrawn

39 Auditing the APG- New 2007-07-02

Procurement and AuditProcurement&Su
Supply Chain pplyChain
Processes
- New paragraph inserted prior to the Introduction 2007-07-13
- Introduction edited
Aligned to ISO 9001:2008 2009-06-05
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External providers APG- Re-titled “External providers”, and aligned to ISO 9001:2015 2016-01-13
ExternalProviders201
5

40 Added Value Audits APG- New 2008-07-15

versus Consultancy ADDED_VALUE_AU
DITS_VS_CONSULT
ANCY
APG- Aligned to ISO 9001:2015 2016-01-13
ValueVsConsultancy2
015

41 Writing Audit Reports APG- New 2009-03-20

WritingAuditReports
Small amendment to section 3a), to align to ISO 19011:2011 2013-01-16
Audit Reports APG- Re-titled “Audit reports” and aligned to ISO 9001:2015 2016-01-13
AuditReports2015

42 Audit Trail APG-AuditTrail.doc New 2009-12-10

APGAuditTrail2015 One correction made 2016-01-13
Withdrawn 2022-05-09

43 Approach to APG- New 2009-12-10

Demonstration of MeasurementTraceab
Traceability of ility
Measurement Results
Measurement APG- Re-titled “Measurement traceability” and aligned to ISO 9001:2015 2016-01-13
traceability MeasurementTraceab
ility2015

44 Deployment of the APG- New 2010-08-20

Expected Outcomes ExpectedOutcomes
documents
Expected Outcomes APG- Title changed to: Expected Outcomes. 2016-01-13
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ExpectedOutcomes20 References to “product” changed to “products and services”
15

45 How to deal with APG-Consultants New 2010-12-01

Consultants
Deal with consultants APG-Consultants2015 Re-titled “Deal with Consultants” and aligned to ISO 9001:2015 2016-01-13

46 Auditing Customer APG- New 2011-04-21

Complaints CustomerComplaints
Customer Complaints APG- Re-titled “Customer Complaints” and edited to be consistent with ISO 2016-01-13
CustomerComplaints2 9001:2015
015

47 Using Technical APG- New 2011-04-21

Experts on an audit TechnicalExperts
team
Technical Experts APG- Title changed to: Technical experts, and some minor editing 2016-01-13
TechnicalExperts2015

48 Audit Evidence APG- New 2013-01-16

collection EvidenceCollection
Evidence collection APG- Re-titled “Evidence collection” and aligned to ISO 9001:2015 2016-01-13
EvidenceCollection20
15

49 Context APG-Context2015 New 2016-01-13

50 Organizational APG- New 2016-01-13

Knowledge OrganizationalKnowle
dge2015

51 Risk Based Thinking APG- New 2016-01-13

RiskBasedThinking20
15

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52 Audit Planning APG-Audit_Planning New 2017-01-13

53 Remote Audits APG-Remote_Audits New 2020-04-16

54 Digital Processes APG- New 2020-09-21

Digital_Processes

55 During disruptive APG-Disruptive_event New 2021-01-21

events

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