Resource Inspections Canada Incorporated (RICI)

Quality Management Systems Auditor/Lead Auditor Training

Course (ISO 9001:2015)

Pre-course Assessment

Note: Your performance assessment has already been started, please

complete the assignment at the end of the course and don’t forget to
bring it on your first day of the course. This will be the first topic which
will be discussed after introduction in the class!
Resource Inspections Canada Incorporated (RICI)
Quality Management Systems Auditor/Lead Auditor Training
Course (ISO 9001:2015)

CONTENTS

1. Introduction

2. Course Objective

3. Course Contents

4. Training Methodology

5. Continuous Assessment

6. Student Assessment, Examination and Results

7. Pre-course Reading Material

8. Questionnaire

RICI-QMS-02-ATC-05
Resource Inspections Canada Incorporated (RICI)
Quality Management Systems Auditor/Lead Auditor Training
Course (ISO 9001:2015)

1. INTRODUCTION

This course is designed and developed with the aim to provide students with the knowledge and skills
required to perform first, second and third party audits of management systems against ISO 9001, in
accordance with ISO 19011. All references in this document to ISO 9000, ISO 9001 and ISO 9004 are
for the latest release of the standard i.e. 2015 version.

1.1) Auditor certification. Students who successfully complete this QMS Auditor/ Lead Auditor
course will satisfy the training requirements for becoming an auditor and are eligible to apply
for certification to IRCA.

1.2) Pre-requisite: It is recommended that the students have a basic knowledge of the
requirements of ISO 9001 before they start this course.

a) Management systems

 The Plan, Do, Check, Act (PDCA) cycle

 The core elements of a management system and the Interrelationship between top
management responsibility, policy, objectives, planning, implementation,
measurement, review and continuous improvement.

b) Quality management

 The fundamental concepts and the seven quality management principles

 The relationship between quality management and customer satisfaction.

c) ISO 9001

 Knowledge of the requirements of ISO 9001 and the commonly used quality
management terms and definitions, as given in ISO 9000, which may be gained by
completing an IRCA Certified QMS Foundation Training course or equivalent.

1.3) It is a 5 days full-time class –room based course (i.e. over five consecutive working days).

2 & 3. COURSE OBJECTIVES / CONTENT

Courses comprises of lectures, interactive groups and individual workshops, case studies
and r e a l t i m e / s i m u l a t i o n b a s e d role play exercises.
It includes following topics:

 Purpose of a quality management system, quality management systems standards,

management system audit and third-party certification.
 Explain in detail the role of an auditor in planning, conducting, reporting and following
up quality management system audits in accordance with ISO 19011.
 Plan, perform, conduct, report and follow up an audit in conformance with ISO 9001
and in accordance with ISO 19011.

RICI-QMS-02-ATC-05
Resource Inspections Canada Incorporated (RICI)
Quality Management Systems Auditor/Lead Auditor Training
Course (ISO 9001:2015)

4. Training methodology

Classroom based training with innovative, interactive techniques.

5. Continuous assessment

Students will be continuously assessed during the training session, In order to check the knowledge
and skills of the students with reference to quality management system auditing.

6. Student assessment, Examination & Result

For successful completion of the course each student must:

 Complete/attend all learning objectives of the course.

 Pass the continuous assessment.
 Pass the Written Examination.

On completion of the training, students will be awarded;

 Certificate of successful completion (on passing the examination)

 Certificate of attendance (In case of not passing the examination based on full attendance)

RICI-QMS-02-ATC-05
Resource Inspections Canada Incorporated (RICI)
Quality Management Systems Auditor/Lead Auditor Training
Course (ISO 9001:2015)

7) CONTENT – For Reading

Management systems and Quality Management Systems

‘Management System’ is defined as a system to establish policy and objectives and to achieve
those objectives. There are various discipline specific management systems such as a quality
management system, environmental management system or an information security
management system.

‘Quality Management System’ is defined as a system to direct and control an organization with
regard to quality.

ISO 9000 Series of Standards:

Following are the list of most commonly used and popular standards for ISO 9000 branch.

ISO 9000 Quality management systems –Fundamentals and vocabulary

This standard covers the basics of Quality Management System and involves the definition of the
terms used within. The nature of this standard is informative and it was last revised in 2015.

ISO 9001 Quality management systems –requirements

This standard specifies the requirements for the establishment, implementation, operation,
monitoring, measurement, analysis and evaluation of the Quality Management System. The
nature of this standard is normative, its latest revision was published in 2015.

ISO 9004:2009 Managing for the sustained success of an organization - A quality

management approach
ISO 9004:2009 International Standard provides guidance to support the achievement of
sustained success for any organization in a complex, demanding, and ever-changing
environment, by a quality management approach. The sustained success of an organization is
achieved by its ability to meet the needs and expectations of its customers and other interested
parties, over the long term and in a balanced way.

ISO 19011:2011 Guidelines for auditing management systems.

ISO 19011:2011 is a guidance document; This International Standard provides guidance on
auditing management systems, including the principles of auditing, managing an audit
programme and conducting management system audits, as well as guidance on the evaluation of
competence of individuals involved in the audit process, including the person managing the
audit programme, auditors and audit teams.

Since ISO 9001 is an auditable standard which means companies can be certified to this
standard, throughout the remaining sessions our main focus will be on ISO 9001:2015.

Quality Management System Principles

ISO 9001 was based on eight principles of quality management system. Now the quality
management system principles have been reduced to seven and have been rephrased for better
understanding.
RICI-QMS-02-ATC-05
Resource Inspections Canada Incorporated (RICI)
Quality Management Systems Auditor/Lead Auditor Training
Course (ISO 9001:2015)
The new quality management system principles are listed below:

1. Customer Focus
2. Leadership
3. Engagement of People
4. Process Approach
5. Relationship management
6. Evidence based decision making
7. Improvement

1. Customer Focus:
Organization is required to maintain focus on its customers by understanding the needs
and requirements of its customers and meeting and exceeding the customer
expectations and ensuring customer satisfaction.

2. Leadership:
Leaders direct the organization towards achievement of a common goal. This principle
focuses on establishment of vision, mission, values and setting a sense of direction for
the people to achieve organizational goals.

3. Engagement of People
People are the most important asset of any organization. People are required to be
empowered, motivated and engaged at all levels to achieve improvement in overall
performance of the system.

4. Process Approach
Process approach includes identification of processes within the organization including
inputs, outputs, activities and their interaction and interrelation with other processes
to form a system.

5. Relationship management
It involves establishing and managing relationships with relevant interested parties
such as service providers, customers, stakeholders and business partners to achieve
sustained success.

6. Evidence based decision making

Decisions should be made based on analysis and evaluation of data, facts and figures.
This approach highlights the need to consider appropriate data analysis and
verification in order to make effective decisions.

7. Improvement
This principle focuses on bringing improvement to organizational performance.

RICI-QMS-02-ATC-05
Resource Inspections Canada Incorporated (RICI)
Quality Management Systems Auditor/Lead Auditor Training
Course (ISO 9001:2015)

8. QUESTIONAIRRE / QUIZ

1) How will you define a process and a system?

2) State the difference between policy and objectives.

3) What is meant by continual improvement?

4) What is non-conformity?

5) What is your understanding of ‘Quality Management System’?

6) What do you understand by ‘ISO’?

RICI-QMS-02-ATC-05
Resource Inspections Canada Incorporated (RICI)
Quality Management Systems Auditor/Lead Auditor Training
Course (ISO 9001:2015)

7) Define briefly mission, vision and value?

8) What is the significance of auditing?

9) What is the meaning of term context?

RICI-QMS-02-ATC-05