IQA Course Outline, 2023

ISO 9001:2015
Certificate in Internal Quality Auditing

“Process, Risk and Performance Based Approach”
OVERVIEW
This programme addresses internationally proven auditing principles, techniques and methods used in process
audits, based on risk and opportunity planning to determine if an internal quality management system
complies with the requirements of ISO 9001:2015 using the guidance of ISO 19011:2018 International
Standard. It has been designed not only to address conformance with ISO 9001:2015 but also to allow
organizations to drive continual improvement and gain “business value” from this key management tool.
Focusing on audit programs, planning, preparation, performance and reporting, this programme is aimed at
enhancing the skills of the individuals assigned to conduct 1st and 2nd party ISO 9001:2015 QMS audits in any
business sector.
Participants will learn the requirements for documented information, how to write audit reports and approve
corrective actions, and participate in a full-simulated audit to develop and refine integrated auditing skills.
Through highly interactive learning, participants should also be able to demonstrate effective questioning and
audit communication skills.
TOPICS INCLUDE
Audit Responsibilities and Skills Qualifications
 Role of the Auditor

 The Ethics of Auditing “do no harm” – Auditing Principles
 Qualification Criteria
Audit Programs and Planning
 Understanding Processes and Management Systems

 Quality Concepts Applied to Management Processes
 The Interrelationship of QMS Documents
 Deciding what to audit and how to audit - Subject matter, type, depth and scope – Programs
- The Purpose and Benefits of Audits
- Types of Audits
- Difference between System and Process Auditing
- Audit Objectives and Scope - depth and breath
- Audit Program and Planning - considerations, resources
IQA-21 1
Copyright@2022 Commitment Towards Business Excellence
Telephone: (868) 352-5852/470-1007/318-1593
Email: marketing2@ciqinternational; [email protected]; [email protected]
ISO 9001:2015 – Audit Criteria for the Quality Management System
 Overview of ISO 9001:2015 International Standard

 Regulatory Standards
 Level One Policy Documents
 Documents and Records
 Company Specific Standards
Audit Preparation, Performance and Reporting
 Acquiring information, preparing plans, checklists and other approaches

- Acquiring and reviewing relevant information
- Generating efficient audit plans
- Use of the audit checklist as a guide and to record audit findings
- Developing effective checklists
 The Opening Meeting

- Opening meeting process outline
- Protocol
- Issues to be communicated
 Managing the audit process for effectiveness and efficiency

- Auditor characteristics, attributes and behavior
- Audit team meetings
- Understanding auditee issues
- Dealing with auditee personnel
 Collection and review of audit evidence – methods and techniques

- Collecting audit evidence to satisfy audit criteria
- Interview techniques for different circumstances
- Auditing processes and their interaction with other processes
- Appropriate evidence associated with the increased focus on process management
- Risk based approach
- Sampling audit evidence
- Other audit techniques and tools
 Effective communication of audit conclusions and recommendations

- Concluding the audit
- Final team meeting purpose and activities
- Analyzing and categorizing audit findings and non-conformances
- Recording clear and concise nonconformities and observations statements
- Issue of corrective action requests
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Telephone: (868) 352-5852/470-1007/318-1593
 The closing meeting
- Planning and protocol
- Closing meeting process outline
 Audit reporting and follow-up

- Audit report – responsibility, content
- Audit follow-up – timing, process and methodology
 The Process of Certification

- Steps in the Certification Process
- Key issues looked for by Auditors and Registration Bodies
PRACTICAL AUDIT OF AN EXISTING QMS
Participants will be provided with an opportunity/reinforcement to conduct a QMS desktop audit utilizing
either an organization’s existing QMS or a case study scenario.
Each participant is expected to act as a member of the internal audit team. Where appropriate, CIQ’s Auditor
will provide feedback to the trainee auditors on how to improve identified deficiencies in auditing skills,
techniques and methods. The culmination of the course is a presentation of the findings by each audit team.
This approach will provide an invaluable opportunity for Internal Auditors to gain confidence and experience
in auditing.
LEARNING OBJECTIVES
At the end of this programme, participants will be able to:

 Understand the relationship between processes and management systems
 Understand the application of the principles, procedures and clauses on the audit process and be able to
apply them to management processes to determine the effectiveness of the Quality Management System
 Understand the differences between system and process audits, how to conduct process auditing and how
the process approach can drive continual improvement
 Understand the documented Management System to control ISO 9001:2015 Quality Management System
 Use document review, interviews and observation to collect objective evidence
IQA-21 3
Telephone: (868) 352-5852/470-1007/318-1593
 Understand the methodologies for auditing the requirements for Risk Management (Risk Based Thinking)
and Organizational Knowledge
 Recognize the role and responsibilities of an internal auditor and be able to conduct 1st Party and 2nd Party
Audits
 Participate in the development of an effective audit program and be able to communicate audit
findings effectively in a clear and useful way
 Independently assess the performance of any designated process or activity and evaluate the significance
of audit findings and identify when actions need to be taken to ensure continued compliance of the
management system with ISO 9001:2015
 Facilitate continual improvement in the efficiency and effectiveness of the quality management system
through the use of the quality triad (audits, corrective and prevention actions, and management review)
 Effectively plan, execute, report and close-out non-conformities in accordance with ISO 9001 and the
criteria for Auditing “ISO 19011” in a manner that will add value to the organization
METHODOLOGIES
The programme will employ a mixture of training methodologies with emphasis on practical applications
through skill building techniques that help reinforce learning objectives:
 Lectures
 Open Forum Discussions
 Experiential Exercises
 Workshops
 Practice Audits – Desktop audit using checklists already prepared in Workshops
Workshops Include:
 Using and Interpreting ISO 9001:2015

 Audit Planning (preparation of checklists)
 Case Studies dealing with Conduct of the Audit
 The Writing up of Non-Conformity Statements
 A Desktop Audit of a Quality Management System against the requirements of ISO 9001:2015 (with
feedback)
IQA-21 4
Telephone: (868) 352-5852/470-1007/318-1593
PRE-REQUISITE
Participants must complete a pre-course assignment prior to attending this course. This is to afford familiarity
with the ISO 9001:2015 International Standard so that learning takes place with advantage.
TARGET GROUP
 Internal Quality Management System Auditors

 Quality Management System Representatives
 Those interested in conducting and/or managing internal audits
 Those responsible for maintaining achieving certification to ISO 9001:2015
THE AWARD OF CERTIFICATES
Participants must complete 85% or more of the training to receive certificates endorsed by the Caribbean
Institute for Quality Ltd. Participants who do not meet this criterion will not receive certificates.
Signatories include:
 Mr. Thomas Berstene – Fellow, American Society for Quality (ASQ); Chair – ASQ Carolina High Country
Section 1103, USA; Director of CIQ
 Dr. Keith L. Jones – Past Principal Examiner - Chartered Quality Institute, UK; President - The Audit
and Compliance Executive Ltd., UK; Director of CIQ
ADMINISTRATIVE DETAILS
Date : April 10 – 12, 2023
Duration : 8:30 a.m. – 4:00 p.m.
Method of Delivery : Online Learning Platform
Course Fee : TT$3,600.00 (plus VAT)
Contact : Saranna Moonasar - Programme Specialist

Salma Hosein – Marketing Specialist
Telephone: (868) 352-5852/470-1007
Email:[email protected]; [email protected]
IQA-21 5
Telephone: (868) 352-5852/470-1007/318-1593

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ISO 9001:2015

Certificate in Internal Quality Auditing

Audit Responsibilities and Skills Qualifications

 Role of the Auditor

Audit Programs and Planning

 Understanding Processes and Management Systems

 Overview of ISO 9001:2015 International Standard

Audit Preparation, Performance and Reporting

 Acquiring information, preparing plans, checklists and other approaches

 The Opening Meeting

 Managing the audit process for effectiveness and efficiency

 Collection and review of audit evidence – methods and techniques

 Effective communication of audit conclusions and recommendations

 Audit reporting and follow-up

 The Process of Certification

PRACTICAL AUDIT OF AN EXISTING QMS

At the end of this programme, participants will be able to:

 Use document review, interviews and observation to collect objective evidence

 Using and Interpreting ISO 9001:2015

 Internal Quality Management System Auditors

THE AWARD OF CERTIFICATES

Date : April 10 – 12, 2023

Duration : 8:30 a.m. – 4:00 p.m.

Method of Delivery : Online Learning Platform

Course Fee : TT$3,600.00 (plus VAT)

Contact : Saranna Moonasar - Programme Specialist

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