"Proceso de gestión del riesgo basado en la norma ISO 9001:2015 para el cumplimiento del requisito 6.1, en la empresa Ceniteg Solutions”
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Date
2023
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Universidad Nacional de Trujillo
Abstract
En el presente trabajo de investigación se tuvo como objetivo general realizar el proceso de
gestión del riesgo basado en la norma ISO 9001:2015 en la empresa Ceniteg Solutions, como
parte del cumplimiento del requisito 6.1.
La investigación se realizó de acuerdo a los conceptos de gestión basada en procesos, el ciclo
de Deming (PHVA) así como los requisitos de la norma ISO 9001:2015 numeral 6.1, para
ello se utilizó una metodología de 11 pasos para el proceso de gestión del riesgo, que consta
de realizar una matriz de correspondencia de requisitos, caracterización del proceso,
procedimiento, flujo del proceso, escalas de probabilidades y consecuencias, análisis
evaluación y tratamiento de riesgos, monitoreo de riesgos, implementación de controles, plan
de auditoría, informe de auditoría e informe de medidas correctivas.
Los resultados obtenidos incluyen la matriz de correspondencia de proceso gestión del riesgo
vs ISO 9001:2015, caracterización del proceso gestión del riesgo, procedimiento del proceso
gestión del riesgo, flujo del proceso de gestión del riesgo, tablas de escalas de probabilidades
y consecuencias, formato de matriz identificación, valoración, análisis y tratamiento de los
riesgos y formato de plan de tratamiento y monitoreo de riesgos. Con el proceso de gestión
del riesgo, se identificaron 03 riesgos relacionados a los servicios anteriormente
mencionados: Pérdida de información, incumplimiento de plazos establecidos para la entrega
del servicio y desconocimiento del personal nuevo sobre las actividades a realizar. Los
controles planteados e implementados para los riesgos identificados en el proceso de gestión
del riesgo, una vez implementado, son: Control 1 implementación de las 5 S y Control 2
implementación de los 7 pasos. Para la implementación de dichos controles se generaron
documentación que incluye actas de aprobación, planes de implementación, procedimientos
detallados, matriz de roles, responsabilidades, cronograma de implementación, actas de
capacitación realizada al personal, plan de auditoría, informe de auditoría y formato de
acciones correctivas.
Del presente trabajo de investigación se llega a la conclusión de siguiendo la metodología
propuesta para el proceso de gestión del riesgo basado en la norma ISO 9001, se obtienen los
resultados que permiten el cumplimiento del requisito 6.1 en la empresa Ceniteg Solutions.
In this research work, the general objective was to carry out the risk management process based on the ISO 9001:2015 standard in the company Ceniteg Solutions, as part of compliance with requirement 6.1. The research was carried out according to the concepts of process-based management, the Deming cycle (PDCA) as well as the requirements of ISO 9001:2015 numeral 6.1, for which an 11-step methodology was used for the management process. of the risk, which consists of carrying out a correspondence matrix of requirements, characterization of the process, procedure, process flow, scales of probabilities and consequences, analysis, evaluation and risk treatment, risk monitoring, implementation of controls, audit plan, report audit and corrective action report. The results obtained include the correspondence matrix of the risk management process vs ISO 9001:2015, characterization of the risk management process, procedure of the risk management process, flow of the risk management process, tables of scales of probabilities and consequences, format matrix identification, assessment, analysis and treatment of risks and format of risk treatment and monitoring plan. With the risk management process, 03 risks related to the aforementioned services were identified: Loss of information, breach of deadlines established for the delivery of the service and ignorance of the new personnel about the activities to be carried out. The controls proposed and implemented for the risks identified in the risk management process, once implemented, are: Control 1 implementation of the 5 S and Control 2 implementation of the 7 steps. For the implementation of said controls, documentation was generated that includes approval records, implementation plans, detailed procedures, role matrix, responsibilities, implementation schedule, training records for staff, audit plan, audit report, and corrective action format. From this research work, it is concluded that following the proposed methodology for the risk management process based on the ISO 9001 standard, the results allow compliance with requirement 6.1 in the company Ceniteg Solutions are obtained.
In this research work, the general objective was to carry out the risk management process based on the ISO 9001:2015 standard in the company Ceniteg Solutions, as part of compliance with requirement 6.1. The research was carried out according to the concepts of process-based management, the Deming cycle (PDCA) as well as the requirements of ISO 9001:2015 numeral 6.1, for which an 11-step methodology was used for the management process. of the risk, which consists of carrying out a correspondence matrix of requirements, characterization of the process, procedure, process flow, scales of probabilities and consequences, analysis, evaluation and risk treatment, risk monitoring, implementation of controls, audit plan, report audit and corrective action report. The results obtained include the correspondence matrix of the risk management process vs ISO 9001:2015, characterization of the risk management process, procedure of the risk management process, flow of the risk management process, tables of scales of probabilities and consequences, format matrix identification, assessment, analysis and treatment of risks and format of risk treatment and monitoring plan. With the risk management process, 03 risks related to the aforementioned services were identified: Loss of information, breach of deadlines established for the delivery of the service and ignorance of the new personnel about the activities to be carried out. The controls proposed and implemented for the risks identified in the risk management process, once implemented, are: Control 1 implementation of the 5 S and Control 2 implementation of the 7 steps. For the implementation of said controls, documentation was generated that includes approval records, implementation plans, detailed procedures, role matrix, responsibilities, implementation schedule, training records for staff, audit plan, audit report, and corrective action format. From this research work, it is concluded that following the proposed methodology for the risk management process based on the ISO 9001 standard, the results allow compliance with requirement 6.1 in the company Ceniteg Solutions are obtained.
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Keywords
ISO 9001:2015, Gestión del riesgo, Proceso, Sistema de gestión