ISO 13485 2003 Internal Audit Program

This web page will introduce our ISO 13485 2003 Internal Audit Program.
However, it will not present the complete program. Instead, it will show you
how our Audit Program is organized and it will explain how it works. Once
you've examined our approach, we hope you'll consider purchasing
our complete ISO 13485 2003 Internal Audit Program.

Our ISO 13485 Internal Audit Program (Title 47) is 189 pages
long, and is available in both pdf and MS doc file formats.

ISO 13485 2003 INTERNAL AUDIT PROGRAM
TABLE OF CONTENTS
PART	INTRODUCTION	PAGE
1	Introduction to ISO 13485	2
2	Introduction to Audit Program	4
A	ISO 13485 COMPLIANCE AUDIT PROGRAM	13
1	Compliance Audit Procedure	13
2	Compliance Audit Profile	14
3	Compliance Audit Questions	SAMPLE HTML
4	Compliance Audit Scores	89
5	Compliance Audit Summary	90
6	Compliance Audit Conclusions	91
7	Compliance Audit Recommendations	92
8	Compliance Audit Implementation Record	93
B	ISO 13485 POLICY AUDIT PROGRAM	94
1	Policy Audit Procedure	94
2	Policy Audit Profile	95
3	Policy Audit Questions	96
4	Policy Audit Scores	99
5	Policy Audit Summary	101
6	Policy Audit Conclusions	102
7	Policy Audit Recommendations	103
8	Policy Audit Implementation Record	104
C	ISO 13485 PROCEDURES AUDIT PROGRAM	105
1	Procedures Audit Procedure	105
2	Procedures Audit Profile	106
3	Procedures Audit Questions	107
4	Procedures Audit Scores	113
5	Procedures Audit Summary	115
6	Procedures Audit Conclusions	116
7	Procedures Audit Recommendations	117
8	Procedures Audit Implementation Record	118
D	ISO 13485 PROCESS AUDIT PROGRAM	119
1	Process Audit Procedure	119
2	Process Audit Profile	120
3	Process Audit Questions	SAMPLE PDF
4	Process Audit Scores	164
5	Process Audit Summary	166
6	Process Audit Conclusions	167
7	Process Audit Recommendations	168
8	Process Audit Implementation Record	169
E	ISO 13485 RECORDS AUDIT PROGRAM	170
1	Records Audit Procedure	170
2	Records Audit Profile	171
3	Records Audit Questions	172
4	Records Audit Scores	180
5	Records Audit Summary	182
6	Records Audit Conclusions	183
7	Records Audit Recommendations	184
8	Records Audit Implementation Record	185
F	ADMINISTRATIVE INFORMATION	186
MAY 2007	COPYRIGHT Ó 2007 BY PRAXIOM RESEARCH GROUP LIMITED	VER 1.0

Overview of Compliance Audit Program

Our Compliance Audit Program uses questions to list the ISO 13485 quality
management system requirements. Like ISO’s five sets of requirements, our
Audit Program consists of five separate questionnaires (which start with the
number 4 because ISO’s requirements start in section 4):

Systemic Audit Questionnaire
Management Audit Questionnaire
Resource Audit Questionnaire
Realization Audit Questionnaire
Remedial Audit Questionnaire >>> SAMPLE

ISO 13485:2003 is based on the ISO 9001:2000 quality management
standard. Both standards are organized in the same way and use basically
the same numbering system. In addition, most of the ISO 13485 requirements
are taken directly from ISO 9001 without modification. In order to distinguish
between ISO 9001 and the new ISO 13485 requirements we use two different
fonts and colors. A black font will be used to present ISO 9001 audit
questions, while a blue font will be used to present audit questions
that are unique to ISO 13485.

In general, our Compliance Audit Program asks two types of questions:
questions that specify ISO 13485 mandatory quality management system
requirements and questions that specify requirements that may be excluded
or ignored under some circumstances. Questions that point to mandatory
requirements allow two response options: YES or NO, while questions that
specify requirements that may be excluded offer three response options:
YES, NO, or N/A. An N/A response option is provided because you may
exclude or ignore some requirements if you can justify doing so.

You can exclude ISO 13485 section 7 product realization requirements
if you cannot apply them because of the nature of your organization and
its products. Similarly, ISO 13485 says that you can exclude section 7
requirements if they are not applicable in your situation because of
the nature of your medical devices.

You can also exclude subsection 7.3 design and development if
official regulations allow you to do so and if you have made alternative
arrangements that comply with these regulations. In addition, ISO 13485
occasionally uses the phrase “if appropriate” or “where appropriate”.
When a requirement uses this phrase, you may ignore it if you can
justify doing so. In all of these cases all three YES, NO, and N/A
response options will be available.

YES answers mean you’re in compliance with the standard, NO answers
mean you’re not in compliance, and N/A answers mean that a question is
not applicable in your case. NO answers to Compliance Audit questions
point to compliance problems (also known as nonconformities or
noncompliances).

Once you’ve answered all the Compliance Audit Questions, you’re ready
to summarize your audit, calculate compliance scores, draw general audit
conclusions, and make and implement recommendations to address your
compliance problems.

Overview of Policy Audit Program

Our Policy Audit covers the following topics:

Management
Documentation
Usability
Training
Implementation
Changes

Start by selecting a policy that you want to audit. Then prepare your Policy
Audit Profile. Before you begin answering policy audit questions, please
record the name of this policy at the top of the Policy Audit questionnaire.
This will help to maintain the focus of your audit.

Three response options are provided: YES, NO, and N/A. NO answers point
to policy performance problems, YES answers identify positive areas, while
N/A responses identify questions that are not applicable in your situation.

Once you’ve answered all the audit questions, you’re ready to summarize
your internal audit, calculate policy performance scores, draw general audit
conclusions, and make and implement recommendations to address your
policy performance problems.

Overview of Procedures Audit Program

Our Procedures Audit covers the following topics:

Management
Documentation
Content
Compliance
Usability
Training
Control
Records
Changes

Start by selecting a procedure that you want to audit. Then prepare
your Procedures Audit Profile. Define the scope of your audit, identify
the participants, and prepare a brief audit plan.

Before you begin answering procedures audit questions, please record
the name of this procedure at the top of the Audit questionnaire. This
will help auditors to maintain the focus of their audit.

Three response options are provided: YES, NO, and N/A. NO answers point
to procedural performance problems, YES answers identify positive areas,
while N/A responses identify questions that are not applicable in your
situation.

Once you’ve answered all the audit questions, you’re ready to summarize
your audit, calculate procedural performance scores, draw general audit
conclusions, and make and implement recommendations to address your
procedural performance problems.

Overview of Process Audit Program

Our Process Audit covers the following topics:

Develop Process >>> SAMPLE PDF
1. Organization
2. Documents
3. Outputs
4. Inputs
5. Information
6. Monitoring
7. Measurement
8. Training
9. Resources
Implement Process
1. Management
2. Competence
3. Communication
4. Infrastructure
5. Records
Maintain Process
1. Management
2. Competence
3. Information
4. Communication
5. Infrastructure
6. Records
Control Process
1. Management
2. Outputs
3. Inputs
4. Monitoring
5. Measurement
Evaluate Process
1. Scope
2. Focus
3. Methods
Improve Process
1. Information
2. Methods
3. Implementation
4. Management

Clause 4.1 of ISO 13485 makes it clear that organizations must identify
and manage the processes that make up their quality management
systems. Therefore, the process approach is now a requirement.

The process approach is a management strategy. When managers use a
process approach, it means that they manage the processes that make up
their organization, the interaction between these processes, and the inputs
and outputs that “glue” these processes together.

But, what’s a process, and what are inputs and outputs? Briefly put, a
process uses inputs to generate outputs. Or, more precisely, a process is
an integrated set of activities that uses resources to transform inputs into
outputs. A system exists whenever several processes are interconnected
using such input-output relationships.

Processes are interconnected because the output from one process
becomes the input for another process. In effect, processes are “glued”
together by means of such input-output relationships. And because the
output of one process becomes the input of another process, inputs and
outputs are really the same thing. In general, there are three basic types
of inputs/outputs: products, services, and information.

Below you will find a list of some of the processes that can
be audited using our Audit Program:

Production process
Assembly process
Purchasing process
Design process
Delivery process
Marketing process
Management process
Manufacturing process
Service provision process
Communications process
Record keeping process
Document control process
Measurement process
Monitoring process
Planning process
Training process

Of course, this does not exhaust the list of possible processes that could
be audited using our approach. Your organization’s processes will certainly
include many more processes that we have failed to mention.

Start your audit by selecting a process. Then prepare your Process Audit
Profile. Define the scope of your audit, prepare a brief audit plan, and identify
the inputs that are used by this process and the outputs that are generated.

Before you begin answering process audit questions, please enter
the name of your process at the top of the Process Audit questionnaire.
Three response options are provided: YES, NO, and N/A. NO answers
point to process performance problems, YES answers identify positive
areas, while N/A responses identify questions that are not applicable
in your situation.

Once you’ve answered all the audit questions, you’re ready to summarize
your audit, calculate process performance scores, draw general audit
conclusions, and make and implement recommendations to address
your process performance problems.

Overview of Records Audit Program

Our Records Audit Program is partly based on the ISO 15489-1
records management standard and covers the following topics:

Management
Initiation
Recording
Revisions
Access
Maintenance
Retention
Destruction
Reporting
Usability
Authenticity
Protection
Continuity
Training
Auditing
Compliance

Start by selecting a set of records. Our Audit Program can be used to audit
virtually any type of record keeping system. Examples that you may wish to
consider include the following: training records, design records, production
records, service delivery records, measurement records, product traceability
records, audit records, manufacturing records, management review records,
and calibration records.

Once you’ve chosen which records to audit, you’re ready to prepare your
Records Audit Profile. Specify the scope of your audit, its location, the
participants, and prepare a brief audit plan.

Before you begin answering record keeping audit questions, please enter
the name of the records being audited at the top of the audit questionnaire.
This will help to ensure that the focus of the internal audit is maintained.
Three response options are provided: YES, NO, and N/A. NO answers
point to record keeping performance problems, YES answers identify
positive areas, while N/A responses identify questions that are not
applicable.

Once you’ve answered all the audit questions, you’re ready to summarize
your audit, calculate record keeping performance scores, draw general audit
conclusions, and make and implement recommendations to address your
record keeping performance problems.

8.5.1 MAINTAIN QUALITY MANAGEMENT SYSTEM				NOTES	N
164	Do you maintain the effectiveness of your quality management system?	YES	NO
165	Do you maintain the suitability of your quality management system?	YES	NO
166	Do you use your quality data to maintain the effectiveness and suitability of your quality management system?	YES	NO
167	Do you use your quality policy to maintain the effectiveness and suitability of your quality management system?	YES	NO
168	Do you use your quality objectives to maintain the effectiveness and suitability of your quality management system?	YES	NO
169	Do you use your quality audits to maintain the effectiveness and suitability of your quality management system?	YES	NO
170	Do you use your management reviews to maintain the effectiveness and suitability of your quality management system?	YES	NO
171	Do you use your corrective actions to maintain the effectiveness and suitability of your quality management system?	YES	NO
172	Do you use your preventive actions to maintain the effectiveness and suitability of your quality management system?	YES	NO
173	Have you established procedures that you can use to implement advisory notices?	YES	NO
174	Have you documented your advisory notice procedures?	YES	NO
175	Do you use your procedures whenever an advisory notice must be issued?	YES	NO
176	Do you maintain your organization's advisory notice procedures?	YES	NO
177	Do you maintain a record of your customer complaint investigations?	YES	NO
178	Do you exchange information with external organizations whenever an investigation shows that the activities of those organizations have contributed to the receipt of a customer complaint?	YES	NO
179	Do you formally authorize decisions not to take corrective or preventive actions in response to customer complaints?	YES	NO
180	Do you record all decisions not to take corrective or preventive actions in response to customer complaints?	YES	NO
181	Do you record why you chose not to take corrective or preventive actions in response to a customer complaint?	YES	NO
182	Have you established procedures to notify regulatory authorities about adverse events if national or regional regulations require special reporting rules to be followed?	YES	NO	N/A
183	Have you documented your notification procedures?	YES	NO	N/A
184	Do you use your notification procedures whenever adverse events must be reported to regulatory authorities?	YES	NO	N/A
185	Do you maintain your notification procedures?	YES	NO	N/A
	*Etcetera ...*

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Updated on October 20, 2008. On the Web since May 25, 1997.

ISO 13485 2003

INTERNAL AUDIT PROGRAM