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02 Slides - QMS04101ENGX - v6 (AD05) - Oct2021
02 Slides - QMS04101ENGX - v6 (AD05) - Oct2021
Training Academy
CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
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Copyright © 2021 BSI. All rights reserved. QMS04101ENGX v6.0(AD05) Oct 2021
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(Reminder to delegates)
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Delegates are expected to have the following prior knowledge:
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a) Management systems
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• The Plan, Do, Check, Act (PDCA) cycle
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• The core elements of a management system and the interrelationship between top
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b) Quality management
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c) ISO 9001
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• Knowledge of the requirements of ISO 9001 and the commonly used quality management
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QMS04101ENGX v6.0(AD05) Oct 2021 Copyright © 2021 BSI. All rights reserved. 1
CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Benefits to you
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To maintain credibility, organizations need competent auditors. Recognized and valued
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worldwide, this CQI and IRCA (Chartered Quality Institute and International Register of
Certificated Auditors) course is the accepted benchmark for management systems auditor
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training. 01
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Organizations recognize the value of using management systems to control business risk and
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add value to their business. They rely on skilled professionals to assess the performance of
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With increasing globalization and competitiveness, it is more important than ever for
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This course will give you the confidence to effectively audit a quality management system in
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You’ll be evaluated through the relevant CQI and IRCA examination and skills assessment. By
successfully completing your CQI and IRCA certified auditor training, you’ll demonstrate the
knowledge and necessary skills to undertake and lead an effective management systems
audit.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Welcome FIRE
EXIT
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For your personal safety, please be aware of the emergency exits from your classroom and
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the building, and assembly points and fire drill test times.
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The tutor will inform you of the nearest restrooms. 01
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Please do not leave valuable items unattended in the classroom. Keep them with you, or make
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Please be considerate of other delegates and avoid distractions from your personal electronic
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Please do not use recording devices since they may restrict free discussion.
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The tutor will inform you of the lunch and break schedule. Please return to class on time.
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The tutor will inform delegates of any area(s) known to be available for smoking.
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If there are any special needs (dietary, etc.) please confirm these now.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Delegate introductions
Introductions
10 minutes
Click here to start
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Your tutor(s) will introduce themselves.
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Your turn!
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• Delegate name?
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• Organization and product, or service?
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Course aim
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You may be unfamiliar with some of the terms above; please do not worry, these will be
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explained as the course progresses.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Learning objectives
Knowledge Skills
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Learning objectives describe in outline what delegates will know and be able to do by the
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end of the course.
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On completion, successful delegates should gain the displayed knowledge and skills. 01
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Course structure
Materials
Evaluation:
• Continuous assessment
• Exam
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This course includes a detailed delegate workbook, tutorial sessions, practical activities,
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continual evaluation and a two-hour written examination.
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There is also a course notepad, which should be used as a ‘Learning Diary’, for recording 01
self-marking of model answers and during later reflection. The contents of the Delegate
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Workbook include an agenda, slides and associated notes (like these), activities, references
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If any delegate has a question, which they feel might not be appropriate to ask at that
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particular point in the course, a recording facility (flipchart page) has been provided. This
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will be periodically reviewed by the tutor and questions dealt with at the appropriate time.
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Model answers (in references section) are included in the folder for reference only after
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completing the activity, and not for copying from during the activities (the only person you
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will be cheating if you do look is yourself!); as exams are closed book it’s the learning
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during the course and activities that will be important to you. However, if you manage to
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finish an Activity early then please review the model answer; also compare with your own
outputs and then feedback any gaps and learning gained.
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Delegates are expected and encouraged to participate, experiment, and question in a stress-
free environment.
Throughout this course, delegates will be assessed by the tutor against the criteria
contained within a personal continuous assessment record (PCAR), including:
• Participation in class and team activities, written assignments, attitude and personal
attributes, attendance and punctuality, communication skills and feedback
There is also an exam, on the last day, for 2 hours (70% to pass). Examination is ‘closed
book’, with four sections to complete. You may however re-sit the exam within a 12 month
period if you happen to be unsuccessful at the first attempt.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Delegates may use a ‘clean’ copy of the requirement standard (not annotated or marked)
during the exam – these are the only items normally permitted for reference.
Delegates, whose first language is not the language the course is presented in, may also use
an appropriate dictionary, and are also entitled to an extra 24 minutes (20%) for the
examination.
Dictionaries (for use in the exam) are also permitted for any delegate who has learning
difficulties; they are also entitled to an extra 36 minutes (30%) for the examination.
A specimen exam paper is provided, as part of the course materials, and you will have the
opportunity to work through this sample paper, before the actual exam.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Course methodology
Delegate
Interactive
centred
Activity
Collaborative
based
Realistic
case study
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As auditing is a practical activity, and involves finding things out, this course is very
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interactive in nature. Many activities have therefore been included where delegates will
collaborate in pairs/teams to create knowledge, rather than purely information
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provision/discussion sessions from the tutor. This will greatly enhance your knowledge01
retention, and provide an opportunity to discuss topics from other team members’
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perspectives. The tutor will facilitate this learning, as appropriate. Team members will also
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between delegates.
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Do not concern yourself with the size of the case study; as your tutor will explain how
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auditors would deal with this when auditing in a real life environment.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Enabling objectives
Knowledge
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In order for delegates to achieve the overall learning objectives, you will need to acquire and
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develop specific knowledge and skills. These are specified as ‘enabling objectives’ and can be
considered as steps to the achievement of learning objectives.
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We will start with the ‘knowledge’ elements.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
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Copyright © 2021 BSI. All rights reserved.
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First-party - Internal
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A first-party audit is an audit conducted by an organization on itself, to determine whether
their systems and processes are consistently improving their ability to provide products and/or
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services to customers and users, and as a means to evaluate conformance with their 01
processes and the standard. Internal audits are a requirement of ISO 9001 Clause 9.2.
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This is just one method of complying with ISO 9001 Clause 8.4. Purchasers must consider
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how much assurance is needed for a particular product, service or project. By consideration of
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a number of factors, a decision can be reached as to the relative importance of the external
provider having a fully compliant system. This could mean that even if an external provider
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had a very attractive price and delivery, they would not be given a contract where risk was
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similar audit
The third-party ISO 9001 certification scheme was designed to reduce, and perhaps remove
the need for many second-party audits, by providing a list of organizations whose systems
had been assessed and shown to be in conformance with ISO 9001. The assurance thus
provided to potential customers would mean that they might not have to audit external
providers themselves, providing that the assurance given by the third-party satisfied their
needs. It is becoming increasingly common that a purchasing organization will not even
consider a tender from an external provider unless they are certified to ISO 9001.
An organization may also invite an independent body (e.g. a consultancy) to audit their
management systems for a purpose other than certification, e.g. an evaluation of statutory
and regulatory requirements applicable to a product (8.2.2 a), or to assess the effectiveness
of a particular process etc. This could also be considered a third-party audit, from the
perspective of the consultancy and the organizations.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 1
10 minutes
Click here to start
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[Please keep in mind, for all activities on this course: There may be more than one ‘correct’
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answer. Try to identify the strongest or most direct answer in each case, and be prepared to
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consider, defend, or rebuke alternate answers raised during class discussions.]
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Activity 1: Differences between first, second and third-party audits
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Purpose:
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To explain the differences (approach, duration, formality, objective etc.) between first, second
and third-party certification audits of management systems.
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Duration:
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10 minutes in pairs
10 minutes classroom discussion/review model answers
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Directions:
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The tutor will label three flip charts with: ‘First Party Audits’, ‘Second Party Audits’ and ‘Third-
Party Audits’.
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In pairs, try and think of the differences between these audit types (approach, duration,
formality, objective etc.) Record, as many as you both can think of, onto ‘Post-it/Sticky Notes’,
and affix to the appropriate flipchart.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Accredited certification
Certificates Accredits
Accredits
Organization
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One of the benefits of operating to a standard is that it provides a common reference point
against which to assess performance. However, there is a difficulty in trying to make an
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objective assessment of that performance. This can best be achieved through an 01
independent audit process.
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Governments have authorized Accreditation Bodies to oversee the work and competence of
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If it does conform, the organization is able to claim that it is certificated to the standard and
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this provides a degree of assurance to other bodies in the organization’s competence of the
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given area.
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Accreditation reduces risk for business and its customers by assuring them that accredited
bodies are competent to carry out the work they undertake. Accreditation bodies that are
members of the International Accreditation Forum, Inc. (IAF) are required to operate at the
highest standard and to require the bodies they accredit to comply with appropriate
international standards and IAF Guidance to the application of those standards.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Therefore certificates in the fields of management systems, products, services, personnel and
other similar programs of conformity assessment issued by bodies accredited by members of
the IAF MLA are relied upon in international trade.
IAF publishes Guidance for the use of accreditation bodies when accrediting
certification/registration bodies to assure that they also operate their programs in a consistent
and equivalent manner. IAF Guidance documents are not intended to establish, interpret,
subtract from or add to the requirements of any ISO/IEC Guide but simply to assure
consistent application of those Guides.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
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ISO 9001 certification ISO 9001 certification
awarded by an accredited awarded by a
organization non-accredited organization
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Certification is an independent assessment of both an organization’s implementation and
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the effectiveness of a Management System, in accordance with an internationally agreed
standard of best practice i.e. ISO 9001.
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Certification may be awarded by an organization that is not accredited. In this case it is
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possible that no-one is auditing the auditor/organization. This organization could audit in any
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way they choose – even bad practice, or to undercut others on time/cost. This is not to say
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they would do so, but there is clearly a level of doubt and risk from a prospective customer.
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On the other hand, an accredited certification organization, has been assessed and
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provide a certification service. The accredited organization is then subject to compliance with
ISO 17021 (Conformity assessment. Requirements for bodies providing audit and certification
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of management systems), and are thus audited against this requirement by the awarding
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(The audited organization’s processes meet the requirement of the particular management
system, and are continually improving in line with their policy commitments and objectives i.e.
they can probably provide needed product or services, when needed).
Other benefits
Independent assurance to insurers and other stakeholders of an effective quality management
system.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Accredited certification can be a differentiator from competitors, helping you to retain your
existing customer base, and attract new business. More and more invitations to tender require
accredited certified quality management systems to be in place.
Application of the principles of ISO 9001 and certification not only provides direct benefits, but
also makes an important contribution to managing cost and risks. Benefit, cost and risk
management considerations are important for the organization, its customers and other
interested parties. These considerations on overall performance of the organization may
impact customer loyalty and:
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• Cost and cycle times through efficient and effective use of resources
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• Alignment of processes which will best achieve desired results
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• Competitive advantages through improved organizational capabilities
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• Understanding and motivation of people towards the organizational goals and objectives,
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as well as participation in continual improvement
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• Confidence of interested parties in the effectiveness and efficiency of the organization, as
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demonstrated by the financial and social benefits from the organization’s performance,
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• Ability to create value for both the organization and its external providers by optimization
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of cost and resources; as well as flexibility and speed of joint responses to changing
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markets
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Audit process
Similarities – First, second and third-party
certification audit
EVALUATION
AUDIT CRITERIA
(REQUIREMENTS) Stage 1
Assessment Report .
AUDIT EVIDENCE
(OBJECTIVE EVIDENCE)
AUDIT
FINDINGS
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Audit Process, (Generic) to any management system audit, is shown above.
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Also there are three main dimensions to auditing:
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• Assessment of the documented management system (INTENT)
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• Assessment of the degree of implementation (IMPLEMENTATION)
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Intent
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Does Top Management intend to implement a QMS? If so, how is this intent demonstrated?
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auditors we need to know that the organization has planned to meet the requirements.
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Implementation
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Does the implementation of the QMS reflect the intent of Top Management?
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Conformance here is all about checking if activities are as they are supposed to be, following
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Effectiveness
Is the implementation effective (i.e. does it meet the parameters established by the intent?).
Conformance here is in the effectiveness of the management system – is it on target to
deliver the organization's policy, objectives and customer’s requirements?
Improvements - as auditors we want to see that the system is healthy and self-healing; if
there are problems they are addressed, and that there is a continual focus on how the system
could be improved for the purposes of customer satisfaction.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 2
10 minutes
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Activity 2: Typical audit activities
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Purpose:
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To explain the audit process. 01
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Duration:
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10 minutes in groups
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Directions:
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The tutor will provide each group with a pack of cards. Please try and arrange these into a
logical process to explain the sequence of activities that are involved in a generic
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THESE CARDS WILL BE USED AGAIN FOR THE NEXT ACTIVITY – SO PLEASE KEEP THE
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Header cards:
Conducting audit activities
Conducting audit follow-up
Completing audit
Initiating audit
Preparing and distributing audit report
Preparing audit activities
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Audit planning
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Audit planning details
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Collecting and verifying information
Communicating during audit
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Conducting closing meeting
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Conducting opening meeting
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Content of audit conclusions 01
Determining audit conclusions
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Determining feasibility of audit
Distributing audit report
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Audit process
Similarities – First, second and third-party audit
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The tutor will now explain in further detail the process steps just identified.
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Please ask questions on any step as they arise, with the tutor.
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Main areas of similarities include:
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Planning
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Execute
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Reporting
Close out/down findings
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6.7 Conducting audit follow-up
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The tutor will direct the class to ISO 19011 Clause 6, and also refer the class to the Terms
01
and definitions for: ‘3.1 Audit’ definition‘.
:2
For clarification: 01
The tutor will also refer the class to the definition of an ‘audit plan’: By reference to ISO
90
19011 3.6, and what an ‘audit programme’ is defined as: By reference to ISO 19011 3.4.
O
These will be covered in more depth later in the course, when you will be auditing a supplier’s
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‘audit programme. Please note that particular attention always needs to be paid to the design,
planning and validation of an audit programme in the case of multiple locations/sites or where
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 3
10 minutes
Click here to start
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Activity 3: Audit process differences
01
Purpose:
:2
To explain the differences in audit process between first-party, second-party and third-party
01
certification audits.
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Duration:
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10 minutes in pairs
10 minutes classroom discussion/review model answers
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Directions:
In pairs, review the cards on your desk from the previous activity. Identify where differences
to
may lie between first/second/third-party audits. Record, as many as you both can think of,
di
onto ‘Post-it/Sticky Notes’, and also affix to the flipcharts from Activity 1. Please mark the
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
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Three aspects need deciding:
01
The first is the objective of the audit. Is it to assess an organization for its degree of
:2
conformance to the Quality Management System standard? Is it to determine where the 01
greatest problems lie? Is it to determine the organization's ability to make a particular product
90
or to deliver on time? Or is it to follow-up on nonconformities reported at a previous audit?
O
The second aspect is the scope: Which relates to the ‘extent and boundaries’ of an audit. The
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audit scope generally includes a description of the physical locations, organizational units,
ou
activities and processes, as well as the time period covered. For a third-party audit this tends
rC
to cover the complete scope of the organization’s management system. A second-party audit
may also include this, but more probably only the area of interest. A first-party audit tends to
to
be just one item on the audit programme which itself will cover the complete management
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system scope.
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the audit is required to look at all departments associated with that product range from order
receipt through to delivery, that also will have a bearing on early decisions. For second-party
audits the scope is decided by the client. The audit scope should be consistent with the audit
programme and audit objectives.
The scope of a management system could be the same as the scope of a second/ third-party
audit, except for the omission of a time period.
The audit criteria are used as a reference against which conformity is determined.
Each individual audit should be based on documented audit objectives, scope and criteria.
These should be defined by the person managing the audit programme and be consistent with
the overall audit programme objectives.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
In summary:
Scope – What are the boundaries of the audit?
Criteria – What are you going to be assessing against?
Objectives – What are you auditing for/to achieve?
The significance for auditors (you) is that these are your terms of reference; your details of
works, which everything emanates from. These will dictate your document review, work
documents, appear in your audit plan, opening meeting, closing meeting and audit report.
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01
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 4
Determine objectives, scopes and criteria
10 minutes
Click here to start
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Activity 4: Determine objectives, scopes and criteria
01
Purpose:
:2
To determine possible audit objectives, scopes and criteria for QMS audits. 01
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Duration:
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10 minutes individually
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Directions:
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Working individually try and think of some audit objectives, scopes and criteria, and write
them on your notepads. Then explain these to your neighbour, and listen also to their
to
answers to this activity. Be ready to query the answers if you do not agree with their findings.
di
Discuss any where you are not sure with the tutor and class after.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Logistics / Infrastructure
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26
Copyright © 2021 BSI. All rights reserved. Audit Team
BS
5-
Resources for an audit could be split between:
01
Audit team – Availability of competent auditors for the sector/discipline – might include
:2
legal, culture and geographical considerations, interpreters, technical experts i.e. chemists, 01
security clearances – children/government.
90
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Technical experts – Availability: If the language of the auditee, or the auditee’s social and
IS
cultural characteristics are unknown to the auditor, or skills are lacking. If all the necessary
competence is not covered by the auditors in the audit team, technical experts with additional
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competence should be included in the team. Technical experts should operate under the
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direction of an auditor, but should not act as auditors. All communications should be through
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audited and actually carrying it out, top management availability, key functions –
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procurement, HR etc.
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access, PPE, guides, car parking, security and health and safety for your team, movement
within the site (transport - distances etc.)
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Resourcing: Competency
CV
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BS
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Resourcing the audit will include the importance of auditor and team competency, and the
01
selection of team members. This will be particularly important regarding personal
characteristics, generic knowledge and skills, the knowledge of the relevant management
:2
system discipline, industry sector, regulations, and auditor training. See ISO 19011 Clause 7.
01
90
For example:
Personal characteristics (Examples demonstrating an absence of competency)
O
• Ethical – Tell another department what a mess the last department you audited was –
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have a laugh about people getting nonconformities. Lie, or twist the facts to get someone
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• Diplomatic – If the auditee is worried about getting his/her department into trouble, but
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you find a major problem. Be tactful in dealing with this person – it’s not you I’m auditing,
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• Tenacious – The auditor asks to see a particular sample, but the auditee provides a
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• Decisive – The auditee keeps arguing and giving different excuses and the questioning is
going round and round, even though there is sufficient objective evidence to close the
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finding!
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• Culturally sensitive – shaking a woman’s hand when this would not be appropriate, or
continuing to audit when certain prayer times are normally adhered to. Offering
food/drink to the auditee when they are fasting, etc.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
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break; perhaps waiting for an activity to start, the Audit team leader not ensuring his
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team’s health and safety, or not resolving conflicts within the team or with the auditee’s
BS
management
5-
Clause 7 of ISO 19011 details very specific auditor knowledge and skills expectations. For
01
example: Understanding the types of risks and opportunities associated with auditing and the
:2
principles of the risk-based approach to auditing; auditing a process from start to finish,
01
including the interrelations with other processes and different functions, where appropriate;
90
relationships and interactions between the management system(s) processes; the needs and
expectations of relevant interested parties that impact the MS; principles, methods and
O
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techniques relevant to the discipline and sector, so the auditor can determine and evaluate
opportunities associated with the audit objectives; and discussing strategic issues with top
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management of the auditee to determine whether they have considered these issues when
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evaluating their risks and opportunities. Continual professional development activities should
also take into account changes in sector or discipline.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
For who?
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BS
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Clearly, defined and understood roles and responsibilities, for all parties involved in the audit,
01
need to be established.
:2
The main parties involved will be the: 01
• Audit client
90
• Individual(s) managing the audit programme – establish its extent, audit objectives, scope
O
and criteria for individual audits, determine necessary resource, responsibilities, audit
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methods, selecting the audit team, evaluating auditors, audit records, improve the
programme and inform top management of its contents. The individual(s) managing the
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audit programme should also identify and present to the audit client the risks and
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requirements, so that they can be addressed appropriately, and review the audit
programme to identify opportunities for its improvement
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• Auditor(s)
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 5
Roles and responsibilities
10 minutes
Click here to start
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BS
5-
Activity 5: Roles and responsibilities
01
Purpose:
:2
To describe the main responsibilities of the auditee(s) management, auditors, audit team 01
leaders, auditees, guides and observers.
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Duration:
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10 minutes in groups
10 minutes classroom discussion/review model answers
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Directions:
The tutor will allocate a sheet of sticky labels to each group detailing the main responsibilities
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In your groups:
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• Peel each label from the sheet and place on a flipchart, matching the main responsibilities
to the functions concerned
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Management responsibilities
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The Audit Team Leader is effectively the team captain. Their specific management
01
responsibilities are discussed below.
:2
Throughout the audit the team leader needs to prepare for the next stage of the audit and 01
manage the audit and the audit team. This will include:
90
• Following up on any ‘leads' which have become apparent as the audit progresses, and
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• Deciding whether the audit is progressing to plan, and whether audit objectives can still be
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achieved
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• Co-ordinating review sessions with client management and audit team meetings
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• Planning and management of the opening and closing meetings – specifically time
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• Assisting and managing the audit team if major concerns are found
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• Ensuring the ‘tone’ and ‘conduct’ of the audit is appropriate in their team: In line with
looking for conformance, not just searching for things that are wrong
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The audit team leader is ultimately responsible for all phases of the audit. The audit team
leader should have management capabilities and experience and should be given
authority to make final decisions regarding the conduct of the audit and any audit
observations and conclusions.
Please note: Assigning work to the audit team should include assigning, as appropriate,
authority for decision-making.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Auditor confidentiality
Confidentiality
Is there a
need? and
Regulators
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5-
An audit is confidential between the two parties, as is any information raised before, during or
01
thereafter. This confidentiality binds management system auditors. CQI and IRCA
registered auditors/audit team leaders are also bound by a Code of Conduct stipulating this.
:2
A statement to this effect should therefore be made by the leader auditor; normally in the
01
opening/closing meetings and audit report.
90
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The format of notes and the medium on which to write them are matters for each auditor to
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decide. Many use clipboards with loose sheets, which are then clipped together, others find a
notebook more practical. Whichever format they use, auditors must safeguard the
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The very fact that an audit has taken place is confidential between the two parties, and the
information must not be disclosed to another party without the permission of both parties.
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There are of course two exceptions; firstly, during an audit which is determining the way one
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organization audits its external providers, and secondly, if the audit is for the purpose of
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certification and the auditee is successful. Then they can give permission to advertise the fact.
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A second-party audit is also a matter between the two parties, and any breach of
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confidentiality is not only a serious breach of trust but may also result in legal proceedings.
A first-party internal audit is in effect, no different to the above, in that it is a matter between
the auditor/employee and the organization. Any unauthorized disclosure of sensitive
information may result in disciplinary proceedings.
In keeping with the ethics of auditing, if requested to do so, an auditor should have no
hesitation in signing a confidentiality agreement.
QMS04101ENGX v6.0(AD05) Oct 2021 Copyright © 2021 BSI. All rights reserved. 32
CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 6
Audit methods
15 minutes
Click here to start
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Activity 6: Audit methods
01
Purpose:
:2
To outline different audit methods. 01
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Duration:
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15 minutes individually
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Directions:
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Individually – provide one advantage and disadvantage for each of the methods detailed in
Table A.1 - Audit methods of ISO 19011 (Page 35).
to
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Please note: Audit methods also need to be determined based on where, when, and how to
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access audit information. This is crucial to the outcome of a successful audit and is
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independent of where the information is created and used etc. Audit methods may need to
change as audit circumstances change during the audit (to access audit information) See A.1.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Assess organizational
readiness for an audit
Plan the audit Gain an understanding
of the organization
Purposes
Establish the of Define process flow
adequacy
of documentation Stage 1 and interaction
audit
Identify layout of
company/plant
Identify any special
needs, skills, Agree processes
protective clothing to be used
Resolve any during audit
misunderstandings
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BS
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Stage 1: As defined by ISO 17021 (Conformity assessment. Requirements for bodies
01
providing audit and certification of management systems), has the purposes of:
:2
• Confirming the duration of the audit 01
• Confirming the competence of the team
90
• Clarifying the scope and objective of an audit
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• Evaluate the internal audits and management review are being planned and performed
• Review the clients status and understanding regarding with respect to identification of key
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• Establish the adequacy of documentation – The key word here is ‘establish’. This is just an
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Third-party certification audits include a stage 1 site visit, and the costs are built into the initial
proposal. The visits can be of great value. They allow the team leader to meet various
members of the auditee's staff, and they are a good opportunity for the team leader to be
given a ‘quick tour’ of the site, and thus appreciate the scale, layout and geography involved.
Should transport around the site, or special protective clothing be necessary, it also gives the
team leader time before the audit to ensure these will be available, thus saving valuable audit
time. The meeting obviously provides the auditee with an opportunity to ask the team leader
about the way the audit will be conducted.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
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Stage 1 audit process and outputs.
01
See diagram overleaf.
:2
01
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Inputs
• Audit objectives, scope, criteria
• Audit methods, duration, location
• Audit team members (including
team leader - responsibilities)
Activities:
• Establish initial contact with the auditee
• Determine feasibility of the audit
• Request documentation relevant to the scope,
objective and criteria.
Outputs/Inputs:
Contact is established and audit is feasible
(or not as the case may be – inform audit client),
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relevant documentation.
BS
Activity:
5-
Perform document review
01
:2
Outputs/Inputs: 01
• Documentation meets criteria (or not)
90
• Areas or concern/risk identified
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Activity:
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Outputs/Inputs:
Audit plan to achieve audit objective and consider
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Activity:
Assign work to the audit team
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Outputs/Inputs:
Auditor communicated and referenced in
the audit plan
Activity:
Prepare work documents according to the audit plan
Output
Ready for stage 2
QMS04101ENGX v6.0(AD05) Oct 2021 Copyright © 2021 BSI. All rights reserved. 36
CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Prepare
and agree
Contact Assign
audit plan
Auditee and work to the
agree date(s) audit team
Brief the
audit team
Consider report from
Stage 1 site visit Prepare
work
documents
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Copyright © 2021 BSI. All rights reserved.
BS
5-
01
Stage 2: As defined by ISO 17021:2015 (Conformity assessment. Requirements for
bodies providing audit and certification of management systems), has the purposes of:
:2
01
Assessing the ‘implementation’ and ‘effectiveness’ of the management system.
90
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•
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•
• Determining the setting and importance/risk (including legislation)
ad
•
• Assigning work to the audit team
• Audit team briefing
• Prepare work documents
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Stage 1
Audit
Closing Meeting
Corrective Actions
Continuing Assessment Visits
3 Yearly Recertification
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Copyright © 2021 BSI. All rights reserved.
BS
5-
01
This slide establishes the context of an initial certification audit and its outcomes. Use it as the
course progresses, and to show the broad architecture of the audit process.
:2
01
There is an opening meeting, summary report, nonconformities if applicable, closing meeting
90
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to
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 7
Audit plan template
20 minutes
Click here to start
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BS
5-
Activity 7: Audit plan template
01
Purpose:
:2
To prepare an audit plan structure (template). 01
90
Duration:
O
20 minutes in groups
IS
Directions:
rC
Individually, read ISO 19011 Clause 6.3.2 (Audit planning). Then, in groups try and create an
audit plan structure (template) on a flipchart, that could be populated later. Ensure it includes
to
2 auditors (Lead and Auditor) with space to cover a duration over 2 days (use 2 sheets in
di
landscape view).
Au
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The tutor will then invite other groups to critique your template during feedback.
After the activity, please read the notes on ‘The Audit Plan’ in your References section.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Work documents
Preparing
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BS
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Audit team members should collect and review the information relevant to their audit
01
assignments, and prepare work documents as necessary for reference and for recording audit
evidence. Such work documents may include the following:
:2
01
• Checklists
90
• Audit sampling plans
O
• Forms for recording information (such as supporting evidence, audit findings and
IS
records of meetings)
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The use of checklists and forms should not restrict the extent of audit activities, which can
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Work documents may also include: Nonconformity report forms, audit summary report
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An Aide Memoire approach may be more beneficial for experienced auditors; who are then
ad
able to follow audit trails and use their own experience to verify conformity. However these
could also have disadvantages; such as auditor bias and skewing the sampling from the audit
Le
criteria.
Please note: Preparing documented information for audit can include digital checklists, and
audio visual information.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Audit sampling takes place when it is not practical, or cost effective, to examine all available
information during an audit, e.g. records are too numerous or too dispersed geographically to
justify the examination of every item in the population. Audit sampling typically involves the
following steps:
Departments/Records available?
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01
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01
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What would you do if n/c is found in one of them, or risk is higher, or lots of n/c’s at the last
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audit?
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Samples should test the effectiveness of the system and should be:
• Representative with an equal probability of being picked by you
• Structured
• Independently selected
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Work documents
Advantages and disadvantages
of using checklists
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Advantages and disadvantages of using checklists.
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Checklist benefits
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• Sample relevant to audit objectives 01
• Formality: Defines the audit processes
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• Requires research and thought
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Disadvantages
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Opening meeting
Main purpose?
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The purpose of the opening meeting is to:
01
1. Confirm the agreement of all parties to the audit plan
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2. Introduce the audit team 01
3. Ensure that all planned audit activities can be performed
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 8
Opening meeting
15 minutes
Click here to start
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Activity 8: Opening meeting
01
Purpose:
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To identify agenda items for use in an opening meeting and their purpose. 01
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Duration:
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Directions:
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Whole class, please shout out the possible agenda items for an opening meeting. The tutor
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will record these on a flipchart, and ask the purpose/meaning behind them.
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Opening meeting
Problems/issues encountered?
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Problems encountered during an opening meeting might include:
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01
• MD proposes an hour’s long video of the organization
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• Suggested two hour lunch at a five star restaurant 01
• Each departmental head will give a 15 minute presentation
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• Samples have been pre-prepared by the auditee
Best staff are available who have been audited many times
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•
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• Dept ‘x’ is off limits due to manager just coming back after sick leave for stress
• Lots in internal audit nonconformity, so there is no need for you to look at it again
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• Records not on site, so have preselected ones for you to save time etc…
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These issues will be looked at again tomorrow and how to respond to them.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 9
Audit evidence
10 minutes
Click here to start
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Activity 9: Audit evidence
01
Purpose:
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To explain how audit evidence is collected and how this can become objective. 01
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Duration:
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10 minutes in groups
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Directions:
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In groups, please draw a large triangle on a flipchart and try and label the sides with three
different methods for collecting audit evidence. Then, for each side, consider how to make
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this evidence objective (data supporting the existence or verity of something – i.e. not your
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Effective communication
Eye contact
Facial expression
Gestures
Posture
Haptic/Touch
Personal ` ` ` Culture
space ` `
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Perhaps the biggest challenge for the auditor is the fact that finding out information depends,
01
amongst other things, on communication skills. Within a very short time of meeting
someone the auditor needs to have developed a degree of rapport with that person to
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obtain the facts essential to the investigation whilst remaining objective. If these facts are
01
indicative of a lack of management control in the area, then the auditor needs to be tactful in
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the way these findings are presented.
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have an ability to listen or hear what is being said. By combining this with the right kind of
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attitude and tone, the auditors generate an atmosphere in which good communication can
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take place.
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The interviewee (the auditee) must not feel threatened by the auditor. Many people are
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easily intimidated by auditors. The auditor can avoid generating this by being polite,
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patient, slightly informal and not afraid to smile. Showing interest in what people say is
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essential. Holding a degree of eye contact, small verbal acknowledgements, ‘I see’, ‘ah’,
‘yes’, and so on will show that the ‘transmission is being received’, as will the right facial
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expression and head movement. There are no standard expressions and head movements
recommended to elicit information, each auditor will develop their own style.
It often happens that the auditee, (because the majority of them are human), misunderstands
a question or is determined to tell the auditor about some other matter. They may even say
something which the auditor knows not to be true. If the auditor interrupts abruptly, or
directly contradicts the auditee, easy communication will not continue.
At the end of the ‘interview’ the auditor should thank all auditees for their help and time,
regardless of whether it was beneficial or otherwise.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Opinion questions are often neglected. There is a danger in straying too far from fact, but this
type of question can be very useful for gaining someone's attention or for gaining new
approaches to problem solving. They indicate that the auditor regards the auditee's view as
important, thus raising the auditee's self image, and encourages auditees who regard
themselves as the ‘local expert' to say more. They can also encourage junior people in an
organization to say more: ‘What do you think would be the most effective . . . ?', ‘How would
you go about . . . ?’.
Please note: When conducting interviews, the careful selection of the types of question used
is therefore important (including appreciative inquiry).
Non-verbal questions may seem to be a contradiction in terms, but questions do exist in this
form. For example, the raising of the eyebrows whilst maintaining eye contact can indicate a
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wish for the auditee to continue.
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Please note: An awareness of limited non-verbal communication in virtual settings should be
remembered, with perhaps then more focus applied on the type of questions to use in finding
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objective evidence.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 10
Effective communications
5 minutes
Click here to start
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Activity 10: Effective communications
01
Purpose:
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To recognize examples of effective communications, during an audit. 01
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OPTION 1: e-learning module on ‘Questioning Techniques’
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Duration:
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Directions:
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The tutor will now run an e-learning module for the rest of the class; please listen and take
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notes. If the tutor is going too fast for you: Please slow him/her down!
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When this is finished, please reflect on what you have learnt, and discuss any learning points
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with your neighbour. Think of questions (in your pairs) that you could ask - to test the other
groups learning i.e. provide example of different questions and then ask other groups what
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
OPTION 2:
Duration:
10 minutes in pairs
15 minutes classroom discussion/review model answers
5 minutes reflection/application to own workplace
Directions:
In pairs, the tutor will provide you with two types of questions from the below:
1st pair – Open and Specific
2nd pair – Leading and Closed
3rd pair – Hypothetical and Reflective
4th pair – Probing and Rhetorical
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Please think of one statement to demonstrate the questions above for a real life audit
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situation. Get ready to feed these back to the rest of the class.
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5th pair – How could you funnel these questions to come up with an audit finding? Which
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ones would you start with etc. and end with?
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Audit findings
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Conformance and positive audit findings – Such as those areas or processes which were
01
found to be meeting the audit criteria requirements and were perhaps very effective, or
indeed good practice found. Also, to thank the auditees for their cooperation and courtesy.
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01
Opportunities for improvement or potential risks (OFI’s) – While a particular process
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may be effective, it might not be as efficient as it could be. It might be the case that the
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auditor has specialist knowledge, or has explored best practice with the auditee. However,
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third-party auditors should exercise caution; as identifying OFI’s could be construed as giving
advice/consultancy. There may also be areas of concern, but for which there is insufficient
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process meets the requirements today, it is likely that it will not should either: (i) if the same
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state of affairs is to continue e.g. deterioration, or (ii) if there is a change in the situation e.g.
an expected or unexpected demand is made of the process. An OFI could therefore be
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deficiencies in a management system. It can also provide a rationale for improvement, and
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generic information about industrial best practice, without providing a specific solution. BSI
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assessors may also use a finding called an ‘Observation’, for specific schemes where
accreditation rules prohibit the certifying body from issuing an OFI.
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As soon as the objective evidence points to a nonconformity, the auditor should immediately
voice their thoughts to the auditee to seek clarification, and verification. This is not a cause
for rejoicing, but total openness from auditors will hopefully encourage the same from the
auditee. It is essential that both parties fully understand what the problem is and how serious
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it is. Auditors will often need a little help from the auditee to do that. Once the facts of the
matter are established, they should be written down by the auditor and agreed with the
auditee.
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Audit meetings
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Auditors should be focused on the intended result of the management system throughout the
01
audit process. While processes and what they achieve are important, the result of the
management system and its performance are what counts.
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01
It may be helpful to the auditee, and management, to provide a summary of the days
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auditing progress – in particular progress against the audit plan, positives encountered,
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areas of non-conformance encountered, and anything that is/could affect the audit objective,
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Before the closing meeting, but immediately after the actual auditing process is
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completed, an audit team meeting should be held so that the team leader can plan the closing
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meeting in detail, and ensure the team knows what is going to be presented to the
organization in the way of conformance, nonconformities and conclusion. The team meeting
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needs to be at least an hour before the closing meeting, less if some of the work has already
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Some auditors try to ‘squeeze in’ a bit more auditing at this point. The law of diminishing
returns operates, and very little will be gained by trying to rush through some more auditing.
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The team leader chairs the audit team meeting and only the audit team is present. The team
completes any nonconformity reports and reviews all findings. The team leader prepares the
audit report and final conclusions.
There is no set rule about who presents the information. The team leader may present
everything – all nonconformities and the report – or the team members may be asked to
present the nonconformities they have found. The review of nonconformities is
important, and members should be rigorous in their review of one another's statements. Are
all the facts there? Is it clear that it is a nonconformity? Can it be read easily? Is it
grammatically correct?
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As a result of the ‘review team’ findings the team leader prepares an audit report. This
report reflects the degree to which an organization is complying with its own QMS and the
relevant audit criteria.
As a suggestion, a team leader could do worse than answer three questions asked about the
system in any audit:
• Is there a system intending to address all the clauses of the relevant standard? To what
extent? (audit of intent)
• Has this system been put into practice? To what extent? (audit of implementation)
• Is the system achieving its intent/objectives? To what extent? (audit of effectiveness).
To answer these questions, the nonconformities raised will give some guide.
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• Do the nonconformities raised indicate weakness in any particular area(s) of the
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organization?
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• Do the nonconformities raised indicate weaknesses in any particular sections of the
management system?
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Please note: The content of audit conclusions should also address issues such as the
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identification of risks and the effectiveness of actions taken by the auditee to address risks
01
and consider the level of the integration of different management systems and their intended
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results. The absence of a process or documentation can be important in a high risk, or
complex organisation, but not so significant in other organizations.
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The team leader will also prepare an agenda for the closing meeting and arranges, either
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through a team member or a guide, for copies of each nonconformity to be passed over to
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the organization's management at the appropriate time. It is ideal, but by no means possible
on every audit, for the team leader to organize the seating arrangements for the closing
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meeting. This is not for any underhand reason, but they should try to ensure that the
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arrangements suit the purpose, and, that no one is in an awkward position. Often, the closing
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meeting may be in the very room the auditors are using for their team meeting.
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Closing meeting
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The closing meeting is the concluding meeting of the audit, and is the formal presentation by
01
the team of the findings and conclusions of the audit.
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The way the meeting is carried out is by conventions which have been drawn up over the 01
years in which audits have been carried out. As long as the auditee management understands
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the findings and agrees the facts surrounding them, before the team leaves, the team leader
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At the pre-agreed time the team should make themselves available for the meeting. The team
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leader chairs the meeting. The team leader should take the initiative and work through the
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The team leader or second auditor passes around a headed list with name and position to be
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Please note: The closing meeting can be attended by, as applicable, other relevant interested
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Thanks
The team leader should thank the organization on behalf of the team for their help and time
etc. If the audit was carried out in an open fashion by the organization, the team leader
should say so and thank them for it. If it was not, then silence is the preferred method. The
team leader should also thank the guides.
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have been present at the opening meeting, or are not necessarily aware of everything that
has happened in between. Audits cover a lot of ground, some of it (not too much in a well-
planned audit) irrelevant. The objectives can become hazy. Therefore this statement by the
team leader resets the context of the audit. It is also important to state whether the audit
objective has been accomplished (or not), as the case may be. This is important when
activities/processes, or responsible key personnel were not available during the audit
(although planned to be). This may reduce the reliance on the conclusion (through sampling),
and hence in certain instances make the conclusion unreliable.
Report
The outline of how the audit will be formally reported and the results sent to the auditee
should be described. Ask who the report should be distributed to, within the auditee’s
organization.
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Limitations
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It bears repetition that the audit was a sample of activities, and is therefore subject to the
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risks associated with sampling. Not every conforming or nonconforming area was seen, only a
representative selection. Therefore the possibility exists that there are nonconformities in
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areas not covered by this audit.
01
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It is recommended that the auditors develop a standard statement covering the essence of
01
the above in their own words, although many certification bodies include the appropriate
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wording in their report documents.
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As appropriate, an explanation of the fact that an audit is not necessarily fully representative
of the overall effectiveness of the auditee’s processes should also be covered.
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Presentation of findings
It is recommended that positive findings (good practice etc.) are covered first, then
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nonconformities (if any) are communicated, one after the other, until they have all been
to
In some cases the auditee representatives will have copies of the nonconformities if some
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were agreed earlier. There are different schools of thought about giving copies of the
nonconformities to the auditees at the time of the closing meeting. Generally there are few
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disadvantages, and it is recommended here as good practice. There is then no need for
auditees to try to make notes. It is also recommended that the nonconformities are read out
from the report, rather than trying to describe them. This limits the tendency to add
unnecessary words and comments, which should not be necessary if the nonconformity
statement is complete in all respects.
Reading the statements also encourages perhaps less experienced auditors to present the
nonconformities in a clear, firm voice not in an apologetic manner.
Any diverging opinions should be discussed and, if possible, resolved. If not resolved, this
should be recorded. If specified by the audit objectives, recommendations for improvements
may be presented. It should be emphasized that recommendations are not binding.
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The degree of detail should take into account consideration of its context and risks and
opportunities.
Summarize
The team leader is responsible for presenting the conclusion that the audit results have led
the team to reach. This is the ‘informed judgement' of the auditors and must consider the
seriousness of any nonconformity, and whether they indicate a departmental or organization
wide breakdown of systems. They must be balanced with positive findings made during the
audit.
Agreement
Each of the nonconformities presented was raised on the basis of the facts being agreed with
a departmental representative at the time. Having reached agreement at the time, the
wording of the nonconformity is unlikely to have been at its most complete and concise. Either
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at review meetings, or at the closing meeting, these nonconformities are sometimes signed by
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the auditee to acknowledge receipt and understanding of the content.
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Clarification
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The auditee must have an opportunity to ask questions about the nonconformities, or the
01
summary, and it would normally come at this point. The facts as stated should not be in
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dispute. Assuming all the nonconformities or the audit report are accepted by the auditee, the
01
auditor may be asked what response is necessary by the auditee to the points raised. The
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auditors would expect the auditees to propose some corrective action in a given time. The
closing meeting is not the place to discuss any actual corrective actions necessary. That
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should be given very careful consideration by the auditee. The team leader should therefore
state that a response in writing is necessary within a number of days or weeks after receipt of
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the report, with a proposed plan of corrective action. However, if the recommendation is for a
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full re-audit then it will not be necessary to submit a corrective action plan.
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Departure
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Having presented the findings and discussed them to the auditee's satisfaction, the audit team
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can depart, once again thanking the auditee for their time etc.
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Audit report
Contents
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The audit report should provide a complete, accurate, concise and clear record of
01
the audit and should include or refer to the following:
:2
• The audit objectives, scope and criteria
• Identification of the audit client 01
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• Audit team and auditee’s participants
• Dates and locations where conducted
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• Audit conclusions
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Please note: Preparing the audit report should also include, or refer to the fact, that audits by
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nature are a sampling exercise; as such there is a risk that the audit evidence examined is not
to
representative. Any unresolved diverging opinions between the audit team and the auditee
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Audit report
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The report ‘may’ also include or refer to the following, as appropriate:
01
• Audit plan
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• Summary of the audit process including any obstacles
• Confirmation that the audit objectives have been achieved in accordance with the audit 01
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plan
• Areas within scope not covered
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• Statement of confidentiality
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• Distribution list
to
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Please note: Preparing the audit report can also include or refer to any issues of availability of
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Additional notes
As the audit moves towards the concluding stages the auditors could be gradually building up
a picture of areas of systems exhibiting conformance, or the most failures. This is the
composite picture the auditors are required to present at the closing meeting and in their
written report. The team leader has the responsibility for generating this composite picture as
their informed judgement of the degree to which working systems comply with stated systems
(and the standard). The information to provide this comes from the audit findings, but it is
necessary to ‘sort' these, so that a reasonable conclusion can be thus sought (assuming
nonconformities have been found).
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Based on this, a picture emerges of the types of failure found, relative frequency, where they
were found in the organization, and the management system requirement, (clause of the
standard), which is weakest.
If auditors find information which indicates a distinct lack of management support for the
QMS, then they should say so in their report. Their task is to collate the evidence as fairly and
objectively as they can, and to highlight areas where greatest risk and least assurance lie.
The audit report must also reflect what effect the results of the audit will have on the future
relationship between the two organizations. If it is a second-party audit, the auditors will have
to make recommendations to their own organization about conducting business with the
auditee. The auditors are often limited in what they are allowed to say to the auditee. For
example, few auditors actually make the purchasing decision. However, they should leave the
auditees with a clear idea of where they stand.
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As with any record, audit reports should be retained on file for a prescribed time. All the other
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records from the audit should also be retained, e.g. checklists, which are useful for re-audits,
and the auditor's own notes made during the audit investigation. As corrective action is taken
5-
the documented information of this will be kept to satisfy the ‘close out’ requirements of each
01
nonconformity.
:2
01
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Audit report
AUDIT REPORT RELEASE
DATE:
REVIEW:
APPROVAL:
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5-
The audit report should be issued within an agreed period of time. If it is delayed, the
01
reasons should be communicated to the auditee and the person managing the audit
programme.
:2
01
The audit report should be dated, reviewed and approved, as appropriate, in accordance
90
with audit programme procedures.
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The audit report should then be distributed to the recipients, as defined in the audit
processes, audit plan or closing meeting.
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Please note: When distributing the audit report, appropriate measures should be considered
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to ensure confidentiality.
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Completing audit: When completing the audit, lessons learned from the audit can identify
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risks and opportunities for the audit programme and the auditee.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 11
Audit follow-up
10 minutes
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Activity 11: Audit follow-up
01
Purpose:
:2
To recognize the purpose of audit follow-up, and the activities involved. 01
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Duration:
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10 minutes individually
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Directions:
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Individually, please refer to ISO 19011 Clause 6.7 and decide what the purpose of this phase
is, and what you would do/check, as the audit team leader.
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Knowledge
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In order for delegates to achieve the overall learning objectives, you will need to acquire and
01
develop specific knowledge and skills. These are specified as ‘enabling objectives’ and can be
considered as steps to the achievement of learning objectives.
:2
01
We will now continue with the ‘knowledge’ elements.
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 12
20 minutes
Click here to start
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Activity 12: Start of day 2 quiz
01
Purpose:
:2
To review and revise the 7 Quality Management Principles (QMP’s). 01
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Duration:
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20 minutes in groups
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Directions:
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In groups, lay out the 7 QMP flash cards (red) in front of you. For each of the 7 QMP’s there
are ‘benefit’ cards (blue), and ‘how to apply cards’ (yellow). Please match the benefits, and
to
When you have completed the activity please refer to the references section for activity 12,
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Get ready to feedback any differences found, and your conclusions to the rest of the class.
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Purpose
01
It can help an organization to improve its overall performance and forms an integral
component of sustainable development initiatives. It can be used by internal and external
:2
parties to assess the organization’s ability to consistently meet customer, statutory and 01
regulatory requirements applicable to the product and services it provides, the organizations
90
own requirements, and its aim to enhance customer satisfaction.
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It specifies requirements aimed primarily at giving confidence in the products and services
provided by an organization and thereby improving customer satisfaction.
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It can be used for demonstrating an organization’s ability to consistently provide products and
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services that meet customer and applicable statutory and regulatory requirements, and aims
to enhance customer satisfaction through the effective application of the system, including
to
processes for improvement of the system and the assurance of conformity to customer and
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Organizational benefits
(0.1) The potential benefits to an organization of implementing a quality management system
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a) The ability to consistently provide products and services that meet customer and applicable
statutory and regulatory requirements
b) Facilitating opportunities to enhance customer satisfaction
c) Addressing risks and opportunities associated with its context and objectives
d) The ability to demonstrate conformity to specified quality management system
requirements
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Terminology
There are three generic product categories in ISO 9000
Goods
PROCESSED
SERVICE SOFTWARE HARDWARE
MATERIALS
PRODUCTS
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5-
01
ISO 9000 describes the fundamentals and vocabulary of quality management systems.
:2
Terms relating to ‘Service’ and ‘Products’:
01
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Service is defined as: An ‘output of an organization with at least one activity necessarily
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A service is usually experienced by the customer, with its dominant elements being generally
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intangible.
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Product is defined as: An ‘output of an organization that can be produced without any
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transaction taking place between the organization and the customer’. The dominant elements
di
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 13
Terminology
10 minutes
Click here to start
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Activity 13: Terminology
01
Purpose:
:2
To explain the terminology used in ISO 9001. 01
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Duration:
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10 minutes individually
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Directions:
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Individually, please match the ISO 9001 term up with its correct definition: Place the definition
letter next to the term it describes. Once you have done this, compare and discuss any
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differences with your neighbour. Please feedback to the class any differences found.
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2. Continual Improvement B Person or group of people that has its own functions
with responsibilities, authorities and relationships to
achieve its objectives
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5. Process E Ability to apply knowledge and skills to achieve
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intended results
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01
6. Interested Party F Action to eliminate the cause of a nonconformity and
to prevent recurrence
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7. Management System
01
G Effect of uncertainty
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or obligatory
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contained
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Plan-Do-Check-Act framework
Explanation
ACT PLAN
CHECK
DO
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The clauses of ISO 9001 broadly follow the Plan-Do-Check-Act (PDCA) cycle.
01
PDCA can be applied to all processes, and to the quality management system as a
:2
whole. The cycle can be briefly described as follows. 01
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Plan: Establish the objectives of the system and its processes, and the resources needed to
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deliver results in accordance with customers’ requirements and the organization’s policies.
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Check: Monitor and (where applicable) measure processes and the resulting products and
services against policies, objectives and requirements and report the results.
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QMS processes
Significance
for auditors
QMS
context
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Auditors should understand that auditing a management system is auditing an organization’s
01
processes and their interactions in relation to one or more management system standard(s),
and NOT auditing a management system standard (i.e. clauses of the standard) in relation to
:2
an organization’s processes. 01
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Auditors should recognize that ISO 9001 promotes the adoption of a process approach, and
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hence rather than taking a piecemeal approach to auditing processes and work instructions
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etc. (in isolation), the auditor should take a more holistic approach to testing a ‘coherent
system’ and follow how the product/service is realized throughout the organization. This might
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contrast to a more risk based management system, like: OH&S or Environmental etc. In these
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systems the auditor focuses in the main where risk is, and not necessarily following a
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influenced by its organizational context (issues and requirements), changes in that context,
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An auditor, therefore, may take the approach of following the defined process, but where
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risks/opportunities are encountered: The auditor may wish to spend much longer in that part
of the process – perhaps by reviewing processes, competence and documented information
etc. Once conformity has been established: To then continue in the process.
ISO 19011 - 7.2.3.2 c) Refers to the auditor comprehending the auditee’s structure, purpose
and management practices, and should cover the following: Needs and expectations of
interested parties that impact the management system; types of organization, governance,
size, structure, functions and relationships; general business and management concepts,
processes and related terminology, including planning, budgeting and management of
individuals; cultural and social aspects of the auditee.
Don’t forget also: The processes are there to achieve the intended result(s) of its quality
management system – which introduces you to the next activity…
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 14
QMS elements and interactions
10 minutes
Click here to start
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Activity 14: QMS elements and interactions
01
Purpose:
:2
To outline the processes involved in establishing, implementing, operating, monitoring, 01
reviewing, maintaining and improving a quality management system.
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Duration:
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10 minutes in pairs
5 minutes classroom discussion/review model answers
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Directions:
In pairs, please try and create a logical flow of activities from the items listed overleaf, by
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populating the diagram. Various entries have been added to assist you.
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Then, locate the respective clauses from ISO 9001 for each activity, and write these into the
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diagram.
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QMS intended
result(s) Customer focus
QMS Scope
Management review
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01
Determine and provide competent
:2
resources
01
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Operation
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1. Awareness/Communications/Documented information
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• Customer
• Statutory and
regulatory
• Organization’s own
requirements
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The Auditor's Role
01
A summary of certain points is fitting here. The major duty of auditors is to look at an
organization’s processes, and the controls on their external providers/ outputs.
:2
This is so they can determine conformance and effectiveness with the organization’s intended 01
result(s), the Standard, and perhaps specific contract requirements.
90
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With regard to the product or service it provides, ISO 9001 also requires an organization to
IS
demonstrate the ability to meet applicable statutory and regulatory requirements (which
can be expressed as legal requirements). For example 8.2.2 a) – applicable to the
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product and service, and 8.3.3 c) – design and development inputs etc. Also ISO
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17021 9.1.2.2 Determining audit objectives, scope and criteria, specifically 9.1.2.2.2, states
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‘The audit objectives shall describe what is to be accomplished by the audit and shall include
the following.... b) evaluation of the ability of the management system to ensure the client
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Auditing legal requirements might in some cases require a level of knowledge e.g. possibly CE
Marking, Technical files etc. perhaps even a legal expert or specialist in the area. Other
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ISO 19011 - 7.2.3.2 d) The auditor should be aware of, and work within, the organization’s
legal and contractual requirements. Knowledge and skills should cover the following: Laws
and regulations and their governing agencies; basic legal terminology; and, contracting and
liability.
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The major requirement though is to only use objective evidence: Unsubstantiated information
is not admissible, and it is the management system that is being audited and not a legal
compliance audit.
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QMS documentation
Documented information
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Documented information is defined as:
01
‘Information required to be controlled and maintained by an organization and the medium on
which it is contained’.
:2
01
Documented information can be in any format and media and from any source, and can refer
90
to: The quality management system, including related processes; information created in order
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As part of the alignment with other management system standards a common clause on
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The terms ‘documented procedure’ and ‘record’ have both been replaced throughout the
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Where ISO 9001:2008 would have referred to documented procedures (e.g. to define, control
ad
Where ISO 9001:2008 would have referred to records this is now expressed as a requirement
to retain documented information.
Clause 8.1 also refers now to ‘determining, maintaining and retaining documented
information’.
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Documentation requirements
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01
Requirements for QMS documentation:
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ISO 9001
01
Documented Information Requirements
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Clause:
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4.2
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4.4
necessary to have confidence that the processes are being carried out as
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planned
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5.1
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5.3
6.1
6.3
Retained evidence of fitness for its purpose, as a monitoring and
measurement resource (7.1.5.1)
7.1
Where no such standard exists (measurement standards), the basis used for
calibration or verification (7.1.5.2 a) – retained
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ISO 9001
Documented Information Requirements
Clause:
7.3
7.4
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necessary to have confidence that the processes have been carried out as
8.1
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planned, and to demonstrate conformity of products and services to
requirements (8.1 e)
5-
01
Retained the results of the review, including any new requirements for the
:2
8.2 products and services, relevant amended documented information
(8.2.3.2/8.2.4)
01
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(8.3.2 j)
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(8.3.5)
to
8.4
evaluations of external providers, and any necessary actions (8.4.1)
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ISO 9001
Documented Information Requirements
Clause:
Describing the: nonconformity, actions taken, concessions obtained, and on
8.7 the authority that decided the action in respect of the nonconformity –
retained (8.7.2)
Retained evidence of the results of monitoring, measurement, analysis and
9.1
evaluation activities (9.1.1)
Audit programme (9.2.2)
9.2
Retained evidence of the implementation of the audit programme and the
audit results (9.2.2 f)
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Retained evidence of the nature of the nonconformities and any subsequent
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10.2
actions taken and the results of any corrective action (10.2.2)
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10.3
01
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01
*** The underlined text forms the key decisions to be taken ***
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Enabling objectives
Skills
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In order for delegates to achieve the overall learning objectives, you will now need to acquire
01
and develop specific skills; by practising and testing the knowledge gained in real/simulated
audit situations. These are also specified as ‘enabling objectives’, and can be considered as
:2
steps to the achievement of learning objectives. 01
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We will now look at the ‘skills’ elements.
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Activity 15
15 minutes
Click here to start
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Activity 15: Initiating the audit
01
Purpose:
:2
To practise and test the skills for initiating an audit. 01
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Duration:
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Directions:
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You are currently working for a renowned manufacturing supplier that makes plastic panels
for the car industry. This involves plastic injection moulding equipment which utilizes high
to
Whole class, please ask the tutor questions to complete this stage. This includes speaking to
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your audit client (Purchasing Director), your programme manager (Quality Manager) and then
the auditee’s management.
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Please note: Initial contact with the auditee should also include requesting access to
information on the risks and opportunities the organization has identified, and how these are
addressed; also the determination of any areas of risk to the auditee, in relation to the specific
audit. Resolution of any issues regarding the composition of the audit team, with the auditee
or audit client, will also be necessary.
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Activity 16
Document review
60 minutes
Click here to start
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Activity 16: Document review
01
Purpose:
:2
To practise and test the skills for carrying out a document review, in preparation for an audit.
01
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Duration:
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60 minutes groups
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Directions:
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In groups, please now perform a document review of the case study organization. Please also
include in your desktop review an audit of their Quality Policy, Scope and gain a basic
to
understanding of their business processes. Be prepared to feedback your findings to the other
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Please note: Delegates might wish to either allocate sections of the complete documented
information to each group member, or limit reading to the Managing Director’s introduction to
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LLL and the organization’s ‘Quality Management System Overview – QM001’. As long as a
sufficient document review is carried out in preparation for your audit.
Please note: Performing review of documented information should take into account the
context of the auditee’s organization, and its related risks and opportunities.
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4.1
4.2
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have confidence that the processes are
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being carried out as planned
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01
5.1
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01
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5.2 - Maintained quality policy (5.2.2)
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5.3
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6.1
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6.3
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7.3
7.4
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8.1 – Determining, maintaining and retaining
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documented information to the extent
5-
necessary to have confidence that the
01
processes have been carried out as
planned, and to demonstrate conformity
:2
of products and services to requirements 01
(8.1 e)
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– retained (8.3.4 f)
Retained documented information on
design and development outputs (8.3.5)
Design and development changes, results
of reviews, authorizations and actions
taken (8.3.6)
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(8.5.3)
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Retained description of the results of the
review of changes, the persons authorizing
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the change, and any necessary actions
01
(8.5.6)
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01
8.6 - Retained evidence of conformity with the
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acceptance criteria
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10.1
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10.3
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***The underlined text above forms the key decisions taken by the organization***
01
:2
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01
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Activity 17
Audit plan
45 minutes
Click here to start
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Activity 17: Audit plan
01
Purpose:
:2
To practise and test the skills for preparing an on-site audit plan that is appropriate to the
01
defined objectives, scope, criteria, and the organization’s context and processes.
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Duration:
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45 minutes groups
15 minutes classroom discussion/review model answers
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Directions:
Working in groups, use the template from Activity 7 to create an audit plan that will achieve
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the audit objectives, discovered in Activity 15, for LifeLong Learning (LLL).
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The tutor will provide more help to one group, so that an typical example (from practice) can
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The tutor will then invite other groups to critique each group’s answers during feedback, and
then recap the main learning points.
Please note: The audit team leader should take a risk-based approach to planning, based on
the audit programme and the documented information provided. The audit team leader
should also consider opportunities to improve the effectiveness and efficiency of the audit
activities, and the risks to achieving the audit objectives created by ineffective audit planning.
Audit planning should also address or reference: The processes to be audited; the locations
(physical and virtual); the need to familiarise themselves with the auditee’s facilities and
processes; reviewing information and communication technology; allocation of resources
based on risks and opportunities; and follow-up actions (e.g. lessons learned, project
reviews).
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Activity 18
Work documents
30 minutes
Click here to start
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Activity 18: Work documents
01
Purpose:
:2
To practice and test the skills for preparing the necessary work documents: Checklists, sampling
01
plans and forms.
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Duration:
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30 minutes in groups
(This will be used for the audit of top management – tested in Activity 21)
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Directions:
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Working in groups, please create checklists for your interview with top management. (You may
wish to split the question topics up for each team member to focus on)
to
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Audit Criteria – ISO 9001 (Clauses of possible note: 5, 6 (Top level), 9.3, and elements of 4 -
Au
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 19
Opening meeting
30 minutes
Click here to start
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Activity 19: Opening meeting
01
Purpose:
:2
To practise and test the skills to conduct an opening meeting for a QMS audit. 01
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Duration:
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Directions:
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1. Whole class, your tutor will now talk you through a second party opening meeting from the
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point of view of an auditor. Based on the scenarios given what do you think is not correct,
and if you were the lead auditor, what would you consider and do differently.
to
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2. Then, in groups, plan and carry out an opening meeting, in accordance with your audit
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plan for LLL. The tutor will then select one group to carry out the actual opening meeting.
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Activity 20
Observations
20 minutes
Click here to start
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Activity 20: Observations
01
Purpose:
:2
To practise and test the skills required for a site tour, and collect evidence through 01
observations.
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Duration:
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20 minutes in pairs
15 minutes classroom discussion/review model answers
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Directions:
Please refer to Section 3 of your References section. There you will find 22 photographs. The
to
tutor will allocate sections of photos to different groups, so that all photographs can be
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Assume you are making these observations as you walk around the organization’s site. Please
record what questions you might ask: In relation to the observations made.
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Your tutor will talk through some of the typical observations, for one photograph, to start you
off.
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Please review the script of an audit with top management
01
In your teams, please identify the following:
:2
01
1. What clauses of the Standard are being audited?
90
2. What are the audit trails you would follow when auditing the organization?
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3. What is the purpose and the intended result(s) of the management system, and the
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Activity 21
Auditing ‘top management’
45 minutes
Click here to start
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Activity 21: Auditing ‘top management’
01
Purpose:
:2
To practice and test the skills required, as an auditor, in a review of top management at an
01
organization.
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Time is normally very limited for this audit with top management – so focus on the important
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questions and evidence expected. Assume all your samples are already contained in your case
study documented information.
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Duration:
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Report).
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Directions:
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In your allocated teams (using your output from Activity 18), interview the Managing Director
of ‘LifeLong Learning Ltd (LLL)’ who will be played by the tutor. Each group will be allowed to
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ask questions in turn. When you are not asking questions please follow the audit and take
notes of evidence provided. These may provide further useful audit trails for yourself.
You should note the information given to you, and be prepared to discuss in class what this is
and how you might use this during the audit.
You and your team should also be prepared to discuss auditor/auditee body language issues
and tone and language used for top management.
Please note: Auditors should also aim to interview top management to confirm that they have
an adequate understanding of the discipline-specific issues relevant to their management
system, together with the context their organization operates within, so that they can ensure
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
that the management system achieves its intended results. Auditors should not only focus on
leadership at the top management level but should also audit leadership and commitment at
other levels of management, as appropriate.
*An example Quality Policy has been added to Section 4 of your References section.*
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Activity 22
15 minutes
Click here to start
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01
Activity 22: Auditing ‘Context of the organization’
:2
01
Purpose:
90
To practice and test the skills required, as an auditor, in a review of the overleaf audit criteria
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at an organization.
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Assume all your samples are already contained in your case study documented information.
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Duration:
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Directions: (Part A)
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In your allocated teams, create work documents for the areas allocated, then start auditing.
Each group will be allowed to ask questions in turn. When you are not asking questions
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please follow the audit and take notes of evidence provided. These may provide further
useful audit trails for yourself.
Audit Criteria – The organization’s ‘Context of the organization’ documented information, ISO
9001 Clause 4, and audit trails from the top management interview.
Please note: Auditors should have relevant sector-specific knowledge and understanding of
the management tools that organizations can use in order to make a judgement regarding
the effectiveness of the processes used to determine context.
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Directions: (Part B)
After the audit, spend 10 minutes reflecting on your audit and summarize the main findings
(good and bad) in preparation for Activity 30 (Audit Report).
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Activity 23
40 minutes
Click here to start
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01
Activity 23: Auditing ‘Planning for the QMS’
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Purpose:
01
90
To practice and test the skills required, as an auditor, in a review of the overleaf audit
criteria at an organization.
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Assume all your samples are already contained in your case study documented information.
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Duration:
40 minutes work documents preparation
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Directions: (Part A)
In your allocated teams, create work documents for the areas allocated, then start
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auditing. Each group will be allowed to ask questions in turn. When you are not asking
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questions please follow the audit and take notes of evidence provided. These may provide
further useful audit trails for yourself.
Audit Criteria – Organization’s planning for the QMS processes, ISO 9001 Clause: 6, and
audit trails from your previous audits.
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The organization’s treatment of its risks and opportunities, including the level of risk it wishes
to accept and how it is controlled, will require the application of professional judgement by the
auditor.
Directions: (Part B)
After the audit, spend 10 minutes reflecting on your audit and summarize the main findings
(good and bad) in preparation for Activity 30 (Audit Report)
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Activity 24
10 minutes
Click here to start
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Activity 24: Risks and opportunities
01
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Purpose: 01
To consolidate understanding of risks and opportunities.
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Duration:
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10 minutes individually
10 minutes review
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Directions:
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Overleaf are 10 statements relating to risks and opportunities. Individually consider whether
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you believe these statements to be true or false in relation to Clause 6.1, Actions to address
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Statement T/F
Using a traffic light system to assess your risks is the best way to
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keep on top of your issues
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There is no requirement to have a documented risk assessment
5-
process as part of the standard
01
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Opportunities may include launching a new service or adopting a
01
new technology
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it
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Inputs?
(what, Outputs?
from PROCESS (what,
whom) to whom)
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Auditors should apply professional judgement during the audit process and avoid
01
concentrating on the specific requirements of each clause of the standard at the expense of
achieving the intended outcome of the management system. Some ISO management system
:2
standard clauses do not readily lend themselves to audit in terms of comparison between a 01
set of criteria and the content of a procedure or work instruction. In these situations, auditors
90
should use their professional judgement to determine whether the intent of the clause has
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been met. Please remember though: Auditors should be focused on the intended result of the
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management system throughout the audit process. While processes and what they achieve
are important, the result of the management system and its performance are what
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counts.
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A process is defined as a: ‘set of interrelated or interacting activities that use inputs to deliver
an intended result’.
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Identifying the processes that drive an organization’s activities, products and services helps to
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understand the ‘coherent System’, and thus the risks incurred and the appropriate controls.
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Whether you are attempting to audit existing processes or you are auditing new ones, an
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important stage is the accurate identification of inputs, outputs, controls and resources. In
order to capture the information, it is useful to construct a diagram to identify all the elements
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of a process, as on the slide. Creating the diagram will also help focus attention on the need
for the process in the first place – you may find that it has evolved rather than been designed.
During this sort of analysis, it is sometimes hard to know whether you are auditing a process
or a series of processes, where the output of one process is the input into the next process.
Note, in some processes, some inputs become outputs without any transformation e.g. a
blueprint used in a manufacturing process or a catalyst in a chemical process. A process
where the conformity of the resulting output cannot be readily or economically validated is
frequently referred to as a ‘special process’.
Note that a ‘procedure’ is a ‘specified way to carry out an activity or a process’, which may be
a documented set of instructions, or simply an established way of doing a specific task that
itself forms part of a larger process. In ISO 9001 this might be considered captured, in the
main, by ‘the availability of documented information that defines the activities to be
performed and the results to be achieved’ 8.5.1 a) Control of production and service
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provision.
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01
:2
01
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to
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
**Please now refer to your References section for a template that may assist you when
preparing for the process audits coming up next**
‘Planned Activities’ are considered as the means, methods, and internal requirements by which
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the organization intends to achieve planned results of a given process to meet requirements.
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Planned activities include conformity to process requirements and processes.
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Please note, ‘Process Effectiveness’ includes a consideration of both:
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Process realization - the extent to which planned activities are realized; and
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Process results - the extent to which planned results are achieved.
:2
01
(An EXAMPLE therefore, from an auditor’s findings, which has taken into
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consideration process effectiveness)
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Process: Tendering
Reviewed documents/evidence:
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Methods for determining process results are: Returned on time on-going target (98%),
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……etc.
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Results: Weekly review minutes (wk 34, 36 and 40) state on-going sales team’s concern with
the timely completion of tenders (currently 78%), although no investigation/action has yet
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been taken…..etc.
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Remembering this should help all auditors when structuring their documented evidence, to
include process effectiveness i.e.
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Activity 25
Auditing the organization’s
processes (1)
20 minutes
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Activity 25: Auditing the organization’s processes (1)
01
Purpose:
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To practice and test the skills required, as an auditor, in a review of the audit criteria below,
01
and specifically practice process auditing skills. Assume all your samples are already contained
90
in your case study documented information.
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Duration:
20 minutes work documents preparation
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Directions: (Part A)
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In your allocated teams, create work documents for the areas allocated, then start auditing.
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Each group will be allowed to ask questions in turn. When you are not asking questions please
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follow the audit and take notes of evidence provided. These may provide further useful audit
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Audit Criteria – Organization’s processes: PD1-3 (and relevant parts of PD7-9), ISO 9001
(Typical clauses that may be applicable include: 7, 8.1, 8.5.1-3, 8.4.1/2, 9.1), and audit trails
from your previous audits.
Directions: (Part B)
After the audit, spend 10 minutes reflecting on your audit and summarize the main findings
(good and bad) in preparation for Activity 30 (Audit Report).
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Activity 26
25 minutes
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Activity 26: Auditing the organization’s processes (2)
01
Purpose:
:2
To practice and test the skills required, as an auditor, in a review of the audit criteria below, 01
and specifically practice process auditing skills. Assume all your samples are already contained
90
in your case study documented information.
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Duration:
25 minutes work documents preparation
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rs
Directions: (Part A)
to
In your allocated teams, create work documents for the areas allocated, then start auditing.
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Each group will be allowed to ask questions in turn. When you are not asking questions please
Au
follow the audit and take notes of evidence provided. These may provide further useful audit
ad
Audit Criteria – Organization’s processes: QPR1 – PD5 (and relevant parts of PD7-9), ISO
9001 (Typical clauses that may be applicable include: 8.2, 8.4.3, 8.5.4, 8.5.6, 8.6, 8.7, 9.1),
and audit trails from your previous audits.
Directions: (Part B)
After the audit, spend 10 minutes reflecting on your audit and summarize the main findings
(good and bad) in preparation for Activity 30 (Audit Report).
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Activity 27
Auditing the organization’s
processes (3)
30 minutes
Click here to start
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BS
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Activity 27: Auditing the organization’s processes (3)
01
Purpose:
:2
To practice and test the skills required, as an auditor, in a review of the audit criteria below,
01
and specifically practice process auditing skills. Assume all your samples are already contained
90
in your case study documented information.
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IS
Duration:
30 minutes work documents preparation
e
rs
Directions: (Part A)
to
In your allocated teams, create work documents for the areas allocated, then start auditing.
di
Each group will be allowed to ask questions in turn. When you are not asking questions please
Au
follow the audit and take notes of evidence provided. These may provide further useful audit
ad
Audit Criteria – Organization’s processes: PD6 and Customer feedback (and relevant parts of
PD8-9), ISO 9001 (Typical clauses that may be applicable include: 8.5.5, 9.1/2, 10), and audit
trails from your previous audits.
Directions: (Part B)
After the audit, spend 10 minutes reflecting on your audit and summarize the main findings
(good and bad) in preparation for Activity 30 (Audit Report).
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Nonconformity (Knowledge)
Minor
Major
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Nonconformities can be graded depending on the context of the organization and its risks.
01
The grading can be quantitative (e.g. 1-5) and qualitative (e.g. minor, major).
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01
Minor nonconformity: Nonconformity that does not affect the capability of the management
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system to achieve the intended results (ISO/IEC 17021-1:2015 3.13)
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Example: Nonconformity: Training is not being evaluated for effectiveness as required by ISO
9001. During the audit the personnel manager stated (admissible statement) that monitoring
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of training effectiveness has not been performed on training activity ‘123’ (required for
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necessary competence).
ISO 9001 Clause 7.2.c) requires that training (necessary for competence) is evaluated for
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effectiveness.
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Major nonconformity: Nonconformity that affects the capability of the management system
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• If there is a significant doubt that effective process control is in place, or that products or
services will meet specified requirements
• A number of minor nonconformities associated with the same requirement or issue could
demonstrate a systemic failure and thus constitute a major nonconformity
ISO 9001 Clause 8.3.4 requires documented information of the design and development
control activities to be retained.
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Activity 28
Nonconformities
30 minutes
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Activity 28: Nonconformities
01
Purpose:
:2
To practise and test the skills required, as an auditor, to recognize nonconformity and 01
write/grade nonconformity reports correctly.
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Duration:
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30 minutes individually
10 minutes classroom discussion
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20 minutes in groups
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Directions:
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1. Individually, review the scenarios contained in your references section (for this activity) and
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2. The tutor will select a nonconformity(ies). In groups, please each write a nonconformance
statement on a flipchart for all groups to then review (groups will assess to ensure the
statement is: Complete, concise and correct). Please use the format covered on the last
slide (examples), and in the specimen exam paper.
……………………………………………………………………………………………………………………………
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Activity 29
Closing meeting
45 minutes
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Activity 29: Closing meeting
01
Purpose:
:2
To practise and test the skills to present audit conclusions and recommendations clearly in a
01
closing meeting.
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Duration:
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Directions:
1. Whole class, your tutor will now talk you through a second party closing meeting from the
to
point of view of an auditor and your opening meeting workshop from Tuesday. Based on
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the scenarios given what do you think is not correct, and if you were the lead auditor, what
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2. Then, whole class, plan and carry out a closing meeting: Concluding on your recent audit
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activities of the case study this week. The tutor will select one delegate to act as the team
leader and all other delegates are then to write one (different) nonconformity statement
out (from your audit of LLL) and be ready to present it during the meeting – as prompted
by your team leader.
Note/ If there are more than 10 delegates your tutor may split the class into two, for the
purpose of ensuring the meeting runs effectively.
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Activity 30
Audit report
60 minutes
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Activity 30: Audit report
01
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Purpose:
To practise and test the skills to present audit conclusions and recommendations. 01
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Duration:
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Directions:
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Working individually, prepare an audit summary report - to be given to the tutor for marking.
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Please record no more than 2-3 sides of A4 paper please (or equivalent).
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Please include:
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Auditee’s interviewed
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Activity 31
Audit follow-up
30 minutes
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Activity 31: Audit follow-up
01
Purpose: To practise and test the skills to evaluate proposals for corrective action, and
:2
differentiate between correction and corrective action. 01
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**Correction – action to eliminate a detected nonconformity
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Duration:
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30 minutes in pairs
10 minutes classroom discussion/review model answers
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Directions:
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Following a recent audit your team conducted, five nonconformities (contained in your
references section for this activity) have been raised.
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First, review the nonconformities raised with your neighbour; also the proposed corrective
actions sent to you from the organization. Then, you can accept the actions proposed by the
organization, or if you do not, then note down why it would not be acceptable and what might
be acceptable proposals. This will then be discussed with the tutor.
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Activity 32
50 minutes
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Activity 32: Specimen exam paper
01
Purpose:
:2
To practise and test the skills required (for section 4 of the exam): To analyse audit situations,
01
evaluate audit evidence and apply knowledge of the audit criteria correctly.
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Duration:
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50 minutes individually
15 minutes classroom discussion/review model answers
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Directions:
Individually, complete section 4 of the specimen exam paper.
to
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……………………………………………………………………………………………………………………………
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CQI and IRCA (Chartered Quality Institute and The International Register of Certificated
01
Auditors) are internationally recognized as a certification body providing auditor registration.
:2
See CQI and IRCA website (www.quality.org), for details of the QMS Auditor scheme 01
requirements and guidance.
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Code of conduct - All CQI and IRCA certified auditors are required to agree in accordance
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with, and be bound by, the Code of Conduct found within the ‘CQI professional code of
conduct’ document, available in your References section.
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to
……………………………………………………………………………………………………………………………
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01
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
?
• Knowledge
?
• Skills
? ? ? ?
?
?
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COURSE REVIEW
01
Learning objectives describe in outline what delegates will know and be able to do by the
:2
end of the course. 01
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On completion, successful delegates will have the knowledge and skills to perform first,
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second and third-party audits of quality management systems against ISO 9001, in
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Knowledge:
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• A QMS
• QMS standards
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• Third-party certification
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• Business benefits
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• Explain the role and responsibilities of an auditor to plan, conduct, report and follow-up a
QMS audit in accordance with ISO 19011, and ISO/IEC 17021, as applicable
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Skills:
Have the skills to:
• Plan
• Conduct
• Report, and
• Follow-up an audit of a QMS to establish conformity (or otherwise) with ISO 9001 and in
accordance with ISO 19011, and ISO/IEC 17021, as applicable
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CQI and IRCA Certified ISO 9001:2015 Lead Auditor Training Course
Contact information
Address: BSI
Telephone:
Fax:
Email: <general training email>@bsigroup.com
Links: http://<local web address>
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Complaints and appeals
01
Delegates have the right to make a complaint or appeal before the exam and at the time of their
:2
results issue. Your tutor will cover these details with you.
01
BSI has in place procedures and processes to safeguard against malpractice and maladministration
90
by BSI staff, tutors, invigilators and markers. In the event of an issue being identified there are
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• Arranging for someone else to sit a CQI & IRCA examination on his/her behalf
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• Being in possession of materials not permitted in the examination room, e.g. notes, books,
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dictionaries/calculators (when prohibited), blank paper, mobile phones, smart watches. Possession
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of such materials will be considered to be malpractice whether or not the delegate uses them, or
the information contained within the materials is relevant to the examination being sat
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• Communicating with other delegates in the examination room in breach of CQI & IRCA
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examination regulations
• Copying the work of another delegate or knowingly allowing a delegate to copy from his/her own
work
• Working collaboratively with any other delegate(s) by whatever means during examinations:
Including inappropriate, offensive material in examination scripts
• Plagiarism or misrepresentation of delegates work
• Failure to adhere to the published CQI & IRCA examination regulations
• Failure to adhere to instructions given by an examination invigilator in relation to the examination
regulations, e.g. continuing to work beyond the allotted examination time, refusing to hand in the
examination script and/or examination paper when requested, not adhering to warnings relating
to conduct during the examination
• Disrupting the examination venue
• Tampering with, or forgery of, results documentation, including certificates
Any of the above will result in action being taken against the delegate by BSI.
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