ISABELA STATE UNIVERSITY- ANGADANAN, ISABELA

SIMPLIFIED EXPLANATION OF THE DIFFERENT CLAUSES OF ISO 9001:2015

STAGE 2 CERTIFICATION AUDIT (based on the audit plan), APRIL 3, 2019
By: JPG
AUDIT PROCESS/ LOCATION/ ORGANIZATIONAL UNIT REMARKS
CRITERIA/
CLAUSE (S)
4.1 Top Management, Management Team, 4.0 CONTEXT OF THE ORGANIZATION
Management Review  UNDERSTANDING THE ORGANIZATION & ITS CONTEXT
- Show evidence of strategy that makes diligence to
address issues internal and external. Eg. Before
making budget plan, make sure that there is an
analysis of those possible threats or opportunities
that will come out in achieving its goals and
objectives… SWOT ANALYSIS, STRATEGIC PLANNING
4.2 Top Management, Management Team,  UNDERSTANDING THE NEEDS & EXPECTATIONS OF
Management Review INTERESTED PARTIES
- Stakeholders, including faculty & their families,
client.
- Only those interested parties relevant to the QMS
4.3 Top Management, Management Team,  DETERMINING THE SCOPE OF THE QUALITY
Management Review MANAGEMENT SYSTEM
-requirements of interested parties
-applying RISK BASE THINKING
-provide JUSTIFICATION for any issues addressed
-geographical locations and functional departments can
also be documented

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4.4 Top Management, Management Team,  QUALITY MANAGEMENT SYSTEM AND ITS PROCESSES

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Management Review, Procurement Services -organization must have a documented system of

NOTE: For Internal Disclosure ONLY

 processes for quality management
4.4.1 Top Management, Management Team,  ORGANIZATION SHALL ESTABLISH, IMPLEMENT,
Management Review MAINTAIN AND CONTINUALLY IMPROVE A QUALITY
MANAGEMENT SYSTEM
- the documented QMS is the whole set of policies,
processes and procedures
4.4.2 Top Management, Management Team,  ORGANIZATION SHALL MAINTAIN AND RETAIN
Management Review DOCUMENTED INFORMATION
-the documented QMS is the whole set of policies,
processes and procedures
5.1 PROCUREMENT SERVICES 5 LEADERSHIP
 LEADERSHIP AND COMMITMENT
-roles and responsibilities
5.1.1 Top Management, Management Team,  GENERAL
Management Review -TOP Management SHALL demonstrate leadership and
commitment with respect to the QMS
-“not only must Justice be done; it must also be seen to
be done.”
- holding himself accountable and ensuring the
effectiveness in achieving intended result
-prudently using RISK BASED THINKING in the process
approach for continual improvement
-seek strategic directions supported by quality
objectives in accordance with the quality policy
-ensuring efficient resources, including competent
human resources
5.1.2 Top Management, Management Team,  CUSTOMER FOCUS
Management Review -CCS
5.2.1 Management Team, Management Review 5.2 POLICY

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ESTABLISHING QUALITY POLICY

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-quality policy

NOTE: For Internal Disclosure ONLY

 5.2.2 Management Team, Management Review
5.3 Top Management, Management Team,
Management Review
Human Resource, including GSO
(Transportation, Infrastructure, Work
Environment)
6.1 Management Team, Management Review,
Human Resource, including GSO
(Transportation, Infrastructure, Work
Environment)
Admission/ Enrolment Including Student
Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services
Instruction, Research and Extension – Across
ALL PROGRAMS
PROCUREMENT SERVICES
6.2 Management Team, Management Review,
Human Resource, including GSO
(Transportation, Infrastructure, Work
Environment)
Admission/ Enrolment Including Student
NOTE: For Internal Disclosure ONLY
5.2 POLICY
ESTABLISHING QUALITY POLICY
-quality policy
- it must be communicated and CULTURE of committing it
 ORGANIZATIONAL ROLES, RESPONSIBILITIES AND
AUTHORITIES
-its processes must manned by qualified and competent human
employee, and it must understand their roles and
responsibilities assigned
-QMS, SOI provides the Roles and Responsibilities
-PROCEES OWNERS
6 PLANNING
 ACTIONS TO ADDRESS RISKS AND OPPORTUNITIES
-RBT applied at various stages
- assessment of preventing bad things that might
happen
-RBT has applied during the planning stage
 QUALITY OBJECTIVES AND PLANNING TO ACHIEVE THEM
-QUALITY PLAN, SOI, QMS shall be presented
-monitoring report,… MANAGEMENT REVIEW results
-it must be SMART
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 Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services

Instruction, Research and Extension – Across

ALL PROGRAMS

PROCUREMENT SERVICES
6.3 Top Management, Management Team,  PLANNING OF CHANGES
Management Review -during the planning, changes to PRODUCTS, SERVICES
AND PROCESSES MUST ALSO BE PLANNED.
-it shows on the ACTION PLAN in the RBT process
7.1 Human Resource, including GSO 7. SUPPORT
(Transportation, Infrastructure, Work * RESOURCES
Environment) -determine resources
-provide resources
PROCUREMENT SERVICES
7.1.1 Management Team, Management Review  GENERAL
-determine resources
Admission/ Enrolment Including Student -provide resources
Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services

Instruction, Research and Extension – Across

ALL PROGRAMS
7.1.2 Management Team, Management Review  PEOPLE
-human power, there must be people that perform
Admission/ Enrolment Including Student to achieve the goals

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Services (Library Services, OSA, Health, -demonstrate that the org. have people to

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Guidance, Publications, Sports, Dormitory) and effectively operate and control processes

NOTE: For Internal Disclosure ONLY

 Finance Services

Instruction, Research and Extension – Across

ALL PROGRAMS
7.1.3 Management Team, Management Review  INFRASTRUCTURE
- Demonstrate that the organization have determine
Admission/ Enrolment Including Student all the end resource all the buildings, equipment,
Services (Library Services, OSA, Health, utilities, technology needed to achieve the processes
Guidance, Publications, Sports, Dormitory) and effectively
Finance Services

Instruction, Research and Extension – Across

ALL PROGRAMS
7.1.4 Admission/ Enrolment Including Student  ENVIRONMENT FOR THE OPERATION OF PROCESSES
Services (Library Services, OSA, Health, -5S
Guidance, Publications, Sports, Dormitory) and
Finance Services

Instruction, Research and Extension – Across

ALL PROGRAMS
7.1.6 Top Management, Management Team,  ORGANIZATIONAL KNOWLEDGE
Management Review

Admission/ Enrolment Including Student

Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services

Instruction, Research and Extension – Across

ALL PROGRAMS

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

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7.2 Human Resource, including GSO COMPETENCE

NOTE: For Internal Disclosure ONLY

 (Transportation, Infrastructure, Work -HIRING, EVALUATION OF EFFECTIVENESS, TRAINING
Environment) RECORDS

7.3 Human Resource, including GSO  AWARENESS

(Transportation, Infrastructure, Work -aware of the quality policy and quality objectives
Environment) -all must know parts of the QMS

7.4 Management Team, Management Review  COMMUNICATION

-internal and external communications are evident
Human Resource, including GSO -distribution list
(Transportation, Infrastructure, Work
Environment)

7.5 Human Resource, including GSO  DOCUMENTED INFORMATION

(Transportation, Infrastructure, Work -maintaining= documentation
Environment) -retaining= records
-GOOD DOCUMENTATION PRACTICE (GDP)
PROCUREMENT SERVICES - unique identification
-dates
-history of changes
-protection
- review and approval
- access control
-distribution list
7.5.1 Top Management, Management Team,  DOCUMENTED INFORMATION
Management Review -maintaining= documentation
-retaining= records
Admission/ Enrolment Including Student -GOOD DOCUMENTATION PRACTICE (GDP)
Services (Library Services, OSA, Health, - unique identification

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Guidance, Publications, Sports, Dormitory) and -dates

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Finance Services -history of changes

NOTE: For Internal Disclosure ONLY

 -protection
Instruction, Research and Extension – Across - review and approval
ALL PROGRAMS - access control
-distribution list
7.5.2 Top Management, Management Team,  DOCUMENTED INFORMATION
Management Review -maintaining= documentation
-retaining= records
-GOOD DOCUMENTATION PRACTICE (GDP)
- unique identification
-dates
-history of changes
-protection
- review and approval
- access control
-distribution list
7.5.3 Management Team, Management Review  DOCUMENTED INFORMATION
-maintaining= documentation
-retaining= records
-GOOD DOCUMENTATION PRACTICE (GDP)
- unique identification
-dates
-history of changes
-protection
- review and approval
- access control
-distribution list
7.5.3.1 Top Management  DOCUMENTED INFORMATION
-maintaining= documentation
-retaining= records

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-GOOD DOCUMENTATION PRACTICE (GDP)

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- unique identification

NOTE: For Internal Disclosure ONLY

 -dates
-history of changes
-protection
- review and approval
- access control
-distribution list
7.5.3.2 Top Management  DOCUMENTED INFORMATION
-maintaining= documentation
-retaining= records
-GOOD DOCUMENTATION PRACTICE (GDP)
- unique identification
-dates
-history of changes
-protection
- review and approval
- access control
-distribution list
8.1 Management Team, Management Review  OPERATIONAL PLANNING AND CONTROLS
-action plan, strategic plan
Admission/ Enrolment Including Student -consider RBT
Services (Library Services, OSA, Health, -controls to the risk and opportuinities
Guidance, Publications, Sports, Dormitory) and
Finance Services

Instruction, Research and Extension – Across

ALL PROGRAMS
8.2.1 Management Team, Management Review 8.2 REQUIREMENTS FOR PRODUCTS AND SERVICES
* CUSTOMER COMMUNICATION
-required elements of customer communication

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-citizens charter

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-CSS FORMS

NOTE: For Internal Disclosure ONLY


8.3 Admission/ Enrolment Including Student
Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services
Instruction, Research and Extension – Across
ALL PROGRAMS
8.4 Management Team, Management Review
Admission/ Enrolment Including Student
Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services
Instruction, Research and Extension – Across
ALL PROGRAMS
Human Resource, including GSO
(Transportation, Infrastructure, Work
Environment)
PROCUREMENT SERVICES
8.5 Human Resource, including GSO
(Transportation, Infrastructure, Work
Environment)
PROCUREMENT SERVICES
NOTE: For Internal Disclosure ONLY
-FLYERS, CUSTOMER FEEDBACKS AND COMPLAINTS
 DESIGN AND DEVELOPMENT OF PRODUCTS AND
SERVICES
-design and development planning
-design and development inputs
-design and development outputs
-design and development controls
-design and development changes
e.g. curriculum revision, etc.
 CONTROL OF EXTERNALLY PROVIDED PROCESSES,
PRODUCTS AND SERVICES
-suppliers, feedback,
-evaluate, select and monitor
-RBT must be applied also
 PRODUCTION AND SERVICE PROVISION
-services provided
-control of production and service provision
-process validation
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-RBT must be applied
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-records must be kept
 8.5.1 Admission/ Enrolment Including Student  PRODUCTION AND SERVICE PROVISION
Services (Library Services, OSA, Health, -services provided
Guidance, Publications, Sports, Dormitory) and -control of production and service provision
Finance Services -process validation
-RBT must be applied
Instruction, Research and Extension – Across -records must be kept
ALL PROGRAMS

8.5.2 Admission/ Enrolment Including Student  IDENTIFICATION AND TRACEABILITY

Services (Library Services, OSA, Health, -tracing our products or services
Guidance, Publications, Sports, Dormitory) and -identifying products and services
Finance Services -tracer study, placement, enrolment, admission

Instruction, Research and Extension – Across

ALL PROGRAMS

8.5.3 Admission/ Enrolment Including Student  PROPERTY BELONGING TO CUSTOMERS OR EXTERNAL

Services (Library Services, OSA, Health, PROVIDERS
Guidance, Publications, Sports, Dormitory) and -eg. Intellectual Property
Finance Services -taking care of all the property

Instruction, Research and Extension – Across

ALL PROGRAMS

8.5.4 Admission/ Enrolment Including Student  PRESERVATION

Services (Library Services, OSA, Health, -preserving products and services to depict its
Guidance, Publications, Sports, Dormitory) and continuing conformity to the standards
Finance Services

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Instruction, Research and Extension – Across

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ALL PROGRAMS

NOTE: For Internal Disclosure ONLY

 8.5.5 Admission/ Enrolment Including Student
Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services
Instruction, Research and Extension – Across
ALL PROGRAMS
8.6 Admission/ Enrolment Including Student
Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services
Instruction, Research and Extension – Across
ALL PROGRAMS
9.1 Human Resource, including GSO
(Transportation, Infrastructure, Work
Environment)
9.1.1 Top Management, Management Team,
Management Review
Admission/ Enrolment Including Student
Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services
Instruction, Research and Extension – Across
ALL PROGRAMS
NOTE: For Internal Disclosure ONLY
 POST DELIVERY
-CSS
-CUSTOMER FEEDBAK
-IS THE ORG. DELIVERS ITS PURPOSE
 RELEASE OF PRODUCTS AND SERVICES
-Documentary evidence that the plan has been
accomplished.
Eg. Accomplishment report, IPCR/OPCR
 PERFORMANCE EVALUATION
-evaluation of performance and effectiveness
-monitoring reports, CCS, FACULTY EVALUATION OR
OBSERVATIONS ETC.
 GENERAL
-evaluation of performance and effectiveness
-monitoring reports, CCS, FACULTY EVALUATION OR
OBSERVATIONS ETC. performance of the external
suppliers, effectiveness of products and services,
customer satisfaction, effectiveness of RBT
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 9.1.2 Management Team, Management Review
9.1.3 Top Management, Management Team,
Management Review
9.2 Management Team, Management Review
9.3 Management Team, Management Review
10.1 Top Management, Management Team,
Management Review
Admission/ Enrolment Including Student
Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services
Human Resource, including GSO
(Transportation, Infrastructure, Work
Environment)
NOTE: For Internal Disclosure ONLY
 CUSTOMER SATISFACTION
-evaluation of performance and effectiveness
-monitoring reports, CCS, FACULTY EVALUATION OR
OBSERVATIONS ETC. performance of the external
suppliers, effectiveness of products and services,
customer satisfaction, effectiveness of RBT
 ANALYSIS AND EVALUATION
-evaluation of performance and effectiveness
-monitoring reports, CCS, FACULTY EVALUATION OR
OBSERVATIONS ETC. performance of the external
suppliers, effectiveness of products and services,
customer satisfaction, effectiveness of RBT
 INTERNAL AUDIT
-if the Processes Conforms with the QMS
-IF effective execution is delivers
-audit program
-impartial auditors
-audit reports
-corrections/ corrective actions
 MANAGEMENT REVIEW
-Management review proceedings.
10 IMPROVEMENTS
 GENERAL
-meet customer requirements
-enhance customer satisfaction
-corrections and corrective action
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 Instruction, Research and Extension – Across
ALL PROGRAMS
10.2 Management Team, Management Review  NONCOFORMITY AND CORRECTIVE ACTIONS
-status of NC and corrective actions
Admission/ Enrolment Including Student
-control it, correct it, address consequences
Services (Library Services, OSA, Health,
-management review minutes
Guidance, Publications, Sports, Dormitory) and
Finance Services
Human Resource, including GSO
(Transportation, Infrastructure, Work
Environment)

Instruction, Research and Extension – Across

ALL PROGRAMS
PROCUREMENT SERVICES
10.3 Top Management, Management Team,  CONTINUAL IMPROVEMENT
Management Review -organization must keep in improving its QMS
Admission/ Enrolment Including Student - MANAGEMENT REVIEW PROCEEDINGS.
Services (Library Services, OSA, Health,
Guidance, Publications, Sports, Dormitory) and
Finance Services
Human Resource, including GSO
(Transportation, Infrastructure, Work
Environment)
Instruction, Research and Extension – Across
ALL PROGRAMS

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PROCUREMENT SERVICES

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NOTE: For Internal Disclosure ONLY