Professional Documents
Culture Documents
INTERNALQMSAUDITORTRAININGCOURSECRITERIA
________________________________________________________________________________________
CONTENTS
1.
INTRODUCTION
2.
LEARNINGOBJECTIVES
3.
ENABLINGOBJECTIVESKNOWLEDGE&SKILLS
4.
TRAININGMETHODS
5.
COURSECONTENT
6.
COURSEDURATION
7.
TUTORSANDSTUDENTS
8.
VARIATIONS
9.
STUDENTASSESSMENT
10.
COURSEPUBLICITYANDADVERTISING
APPENDIX1: INTERNALAUDITORSTUDENTASSESSMENT:GUIDANCEAND
EXAMPLES
CopyrightIRCA2004
Allrightsreserved.Nopartofthispublicationmaybereproduced,storedinaretrievalsystemor
transmitted in any form or by any means electronic, mechanical, photocopying, recording or
otherwise without prior permission of the CQI International Register of Certificated Auditors
(IRCA)
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1.
INTRODUCTION
1.1
We,theInternationalRegisterofCertificatedAuditors(IRCA),havedevelopedthis
documenttohelpyou,theapprovedTrainingOrganisation,achievecertificationof
yourInternalQMSAuditortrainingcourse.
1.2
BeforedesigninganInternalQMSAuditortrainingcoursetomeettherequirements
ofthisdocumentyoushouldconsiderthefollowing:
1.2.1 TheIRCAQMS2000program.ISO9001:2000provides industrywitha
useful model for business process improvement. Within this model ISO
9001:2000 identifies the internal audit process as a vital tool in the
maintenance and continual improvement of a customerfocused, process
basedqualitymanagementsystem.
1.2.2
Aimofthiscourse.TheaimoftheInternalQMSAuditortrainingcourse
is to provide students who intend to perform internal audits with the
knowledgeandskillsneededtoassessandreportontheconformanceand
effective implementation of processes, through internal audit, and to
contribute to the continual improvement of the managementsystem. For
studentsfromorganisationsintendingtoregistertheirqualitymanagement
systems againstISO9001:2000,this coursemeets theminimumtraining
requiredbyISO19011forinternalauditors.
1.2.3
QMSAuditorCertification(IRCA/602).Forstudentsfrom
organizationsintendingtoregistertheirqualitymanagementsystems
againstISO9001,thiscoursemeetstheminimumauditorskillstraining
requiredbyISO19011forinternalauditors.Inordertosatisfythetraining
requirementtobecomeanIRCAcertifiedInternalQMSAuditorhowever,
studentswillneedtocompletethe1dayQMSFoundationcourse
(IRCA/2001)inadditiontothiscourse.
1.2.4
1.2.5
Referencedocuments.ThisdocumentreferencesISO9001:2000asthe
management system standard that provides the context for the internal
audit.However,thiscoursedoesnotaddressISO9001:2000indetail,and
studentswillnotbeabletoauditagainstallISO9001:2000requirements
on completing this course alone. Where students are required to have a
detailed knowledge of ISO 9001:2000, we recommend that the Internal
QMS Auditor course is presented in conjunction with the ISO 9000:2000
SeriesFoundationCourse,(IRCA/2001).
1.2.6 TrainingvsAssessment.Theremustbetwodistinctaspectstocourses
basedonthesecriteria:
a) Effectivetrainingtohelpstudentsdeveloptheknowledgeandskills
definedinthisdocument.
b) Effectiveassessmentofeachindividualstudentsachievementofthe
learningobjectivesthroughobjectivetestingbasedondefined
outputs.
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1.2.7 Flexibilityincoursedesign.Yourtrainingcoursemustbedesignedand
deliveredinaccordancewiththecriteriainthisdocument,althoughyou
mayexerciseflexibilityintheinclusionofadditionallearningobjectives,
additionalmaterial,andinthestructureandselectionofspecifictraining
methodsusedduringthecourse.Manyofthecertificationrequirements
commontothemanagementandcontrolofcoursesaredetailedin
IRCA/2000RequirementsforTrainingOrganizationApproval.These
requirementsareinadditiontotherequirementsofIRCA/2180andare
mandatory.Itisessential,therefore,thatyouarefamiliarwiththe
requirementsofIRCA/2000.
1.2.8 Trainingmethods.Thiscoursemaybedesignedtobepresentedina
varietyofways:
a) Classroombasedover2daysfulltime(i.e.overtwoconsecutive
workingdays).
b) Classroombasedasaseriesofparttimemodulesoveralonger
period.
c) Blendedasacombinationofselfstudy(i.e.elearningcourse,
correspondencecourseetc)andclassroombasedlearning.
Howeveritisdesigned,studentsmustcompletethewholecourseof
studywithyourorganization.Note:wewillnotacceptcoursesthatare
whollybasedonselfstudylearning.
2.
LEARNINGOBJECTIVES
2.1
LearningObjectivesdescribeinoutlinewhatsuccessfulstudentswillknowandbe
abletodobytheendofthecourse.Bytheendofthecoursestudentswillbeable
to:
Knowledge
2.1.1 Describetheresponsibilitiesofaninternalauditoranddescribetheroleof
internalauditinthemaintenanceandimprovementofmanagement
systems(see3.1).
2.1.2 Describe with referenceto the Plan, Do,Check, Act (PDCA) cycleand the
Model of a Processbased Quality Management System, the purpose and
structureofISO9001:2000(see3.2).
Skills
2.1.3 Plan,conductandreportaninternalauditofpartofqualitymanagement
systeminaccordancewithISO19011(see3.3).
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3.
ENABLINGOBJECTIVES SKILLS&KNOWLEDGE
InorderforstudentstoachievetheoverallLearningObjectives,theywillneedtoacquire
anddevelopspecificknowledgeandskills. ThesearespecifiedbelowasEnabling
ObjectivesandcanbeconsideredasstepstotheachievementofLearningObjectives.
3.1
Describetheresponsibilitiesofaninternalauditoranddescribetheroleof
internal audit in the maintenance and improvement of management
systems.
Knowledge
3.1.1 Definewhatamanagementsystemis,including:
a)
Thepurposeandtypicalstructureofmanagementsystems.
b)
3.1.2 Defineaninternalaudit,including:
a)
b)
c)
Theauditcycle.
d)
Theresponsibilitiesofauditors,andprinciplesofauditing.
3.1.3 Planning,conductingandfollowingupanaudit:
a)
Explainthesignificanceofauditcriteriaandgiveexamplesoftypes
ofdifferentauditcriteria.
b)
Explaintheneedforpreauditcontactwiththeauditee.
c)
Suggestapproachesandmethodsfor:
o
Planningandconductinganauditofaprocessforwhichthere
arenodocumentedprocedures.
d)
Explainthepurposeandtypicalcontentofaninternalauditreport.
e)
Explainthepurposeofandmethodsforfollowupofauditfindings.
3.1.4 ExplaintheroleofIRCAinthecertificationofauditors.
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3.2
Explain with reference to the Plan, Do, Check, Act (PDCA) cycle and the
Model of a Processbased Quality Management System, the purpose and
structureofISO9001:2000.
Knowledge
3.2.1 ExplainwhyorganisationsuseISO9001:2000,including:
a)
ThepurposeandstructureofISO9001:2000,withreferencetothe
PDCAcycleandtheModelofaProcessbasedQualityManagement
System.
b)
c)
3.2.2 ExplaintherequirementsforInternalAuditasdescribedinclause8.2.2of
ISO9001:2000.
3.2.3 Explain how audits can be used as a tool for the maintenance and
improvementofmanagementsystems.
3.3
Whattoaudit(documents,records,activities).
b)
Whotoselectforinterview.
c)
Whereandwhentoaudit(includinglocations,sequence,audittrails
etc).
d)
3.3.3 Produce an audit plan and audit checklist (or alternative) appropriate for
the scope, objective and audit criteria for use in the practical audit
exercise(s).
3.3.4 Applytheauditchecklist(oralternative)inapracticalauditsituationto:
a)
Gatherobjectiveevidencetoachievetheauditobjectivesthrougha
structured audit interview and the sampling of documents and
records.
b)
Followaudittrailstodeterminetheeffectivenessofprocesses.
c)
Takeappropriatenotes.
d)
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3.3.5 Reviewauditevidenceagainstcriteriaanddetermine:
a)
b)
Conformancetodefinedauditcriteria.
c)
Opportunitiesforimprovement.
3.3.6 Linkauditfindingstoestablishrootcauseofnonconformance.
3.3.7 Writeclear,actionableauditreports.
3.3.8 Plan a followup audit including methods to be used to obtain objective
evidencethatcorrectiveactioniseffective.
3.3.9 Determinetheeffectivenessofcorrectiveactionstakeningivensituations.
4.
TRAININGMETHODS
4.1
Yourcoursemaybepresentedasawhollyclassroombasedcourseorasablended
course (in other words part selfstudy and part classroombased). You may also
presentthecourseasaseriesofseparatemodules,eitherasfulltimeorparttime
study.
4.2
Classroombasedtraining
4.2.1
4.2.2
Experiencenewideasandskills.(Notethattutorledslide
presentationsasasolemethodtohelpstudentslearnnew
knowledgeisnotacceptable).
Reflectontheirlearningandidentifystrengthsandweaknesses.
(Notethatyourcoursemustincludemethodsformonitoringand
providingtimefortutorsandstudentstoreviewtasksand
activitiesandeachstudentsachievementofthelearning
objectives).
Addressandimproveonareasofweakness.(Notethatyour
coursemustincludeprovisionforreviewandremedialwork,and
individualcoaching,wherenecessary.)
4.2.3
4.2.4
4.2.5
INTERNALQMSAUDITORTRAININGCOURSECRITERIA
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4.2.6
4.2.7
You must submit session plans or tutor notes for each individual
trainingsession.Sessionplansmustspecify:
learningobjectivesanddurationforthesession
natureoftheactivityandtrainingmethodtobeused
organizationalarrangements,tutorandstudentbriefingdetails
deliverablesrequiredfromstudentsforpracticalsessions
materials,exercisesandequipmentrequiredtorunthesession
wheretrainingmethodsoruseofexercisesetc.areoptional,this
mustbeclearlyindicatedinsessionplans.
Notethattheformatofyoursessionplanswilldependonyourapproach
totutorcompetenceandtrainingandthesizeandcomplexityofyour
organization.Mediumandhighcomplexitytrainingorganizations(see
IRCA/3000appendix)willrequiremorecomprehensivetutornotesto
ensurethattraininginnewandamendedmaterialsiscontrolledand
effective.
4.3
4.3.2
4.3.3
4.3.4
Selfstudycoursematerialsmustbeclearlypresentedandstructuredfor
ease of use, with appropriate navigational aids. You must make the
followingcleartostudentstohelpthemmanagetheirlearning:
The learning objectives for the overall selfstudy element of the
course.
Thelearningobjectivesforeachsectionwithinthecourse.
Howthe selfstudyelementofthecourselinks withtheclassroom
component
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Thestructureandsuggestedorintendedsequenceofthematerials.
Instructions for the students use of the materials, including
realistictimescales.
Examplesoftypicaldocuments,reports,formsetc.
How, when and how often students may contact tutors for help,
guidanceandfeedback.
Methods for students to assess their learning and to seek timely
feedbackandcoachingfromthetutor(s).
4.3.5
5.
6.
COURSECONTENT
5.1
Atthebeginningofthecourseyoumustprovidethestudentswithadescriptionof
the Learning Objectives, course structure, format, their responsibilities, student
assessmentprocessesandcriteria.
5.2
The course must cover all aspects defined in clause 2, Learning Objectives, and
clause3,EnablingObjectives.
5.3
The course must cover the benefits of certification as an IRCA Internal QMS
Auditor, includingbriefdetails ofthe IRCAQMS auditor certification scheme,and
provide students with details of how to contact IRCA and apply for certification.
YoumustuseIRCA/190andIRCA/167(orequivalents)forthispurpose.
COURSEDURATION
6.1
Classroombasedlearning
6.1.1 Wherethecourseis whollyclassroombased,thetotalcoursemustbeat
least14hoursnet,calculatedasdetailedinIRCA/2000.
6.1.2 Thiscoursemaybepresentedoveraminimumof2consecutivedaysfull
timeoronaparttime(modular)basisoveramaximumof4weeks.
Note: although not mandatory, we recommend that this course be residential if
presentedoverconsecutivedays.
6.2
Blendedlearning
6.2.1 Elements of the courses that are delivered through selfstudy will allow
studentsthreetimeslongerthanclassroomtraining(i.e.approximately18
hoursforlearningobjectives2.1.1&2.1.2).
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6.2.2 The classroom element (i.e. the skills learning objective 2.1.3 as a
minimum) must be timed to allow each student to practise and be
assessedontheskillslearningobjective.Theamountoftimegiventothe
classroom element will depend on the learning objectives being covered.
Asaguideweexpectaminimumof7hoursover1daytobespentonthe
practice and assessment of the learning objective 2.13. Courses with a
reduction in classroom time may be allowed if agreed in advance with
IRCA. See the Appendix for guidance for instances where reduced
classroomtimemaybeallowed.
6.2.3 Each student must complete the both the selfstudy and the classroom
partofthetrainingcourseinnomorethan90days.
6.2.4 Students must complete each element of blended courses in the correct
sequence. For example, for courses designed with a selfstudy element
that is to be followed by a classroom element, you must ensure that
studentswhodonotcompletetheselfstudyelementofthecoursearenot
acceptedontotheclassroombasedelement.Youmusthaveaprocessfor
recording and validating each students completion of each element of
blended courses to ensure students complete the course in the correct
order.
6.3
Translators
6.3.1 Ifthecourseis giventhroughtranslators,the timemustbeincreasedas
necessarytosatisfythelearningobjectives.
7.
TUTORSANDSTUDENTS
7.1
Studentnumbers:
7.1.1 Themaximumnumberofstudentspercourseis20.
7.1.2 Theminimumnumberofstudentspercourseis4.
7.2
7.3
7.4
Tutorsforthiscoursemustdemonstratecompetenceinkeyattributes:
7.4.1 Competence in Training by satisfying the Tutor requirements as
appropriate(seeIRCA/2000).
7.4.2 Competence in Auditing against quality management systems by
demonstrating auditing competence as a currently certified Internal QMS
2000 Auditor as described in IRCA/602 or meeting the requirements for
suchcertification.
7.4.3 Competence to deliver training and student assessment on your specific
course.
7.4.4 Knowledgeofthespecificlocalregulatoryrequirementsinwhichthecourse
ispresented,orhavealocalexpertattendingatthenecessarytimes.
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7.5
You must specify the tutor resource for all parts of the course, and be able to
demonstrate to us that this is adequate for the effective delivery of the Course
Content (clause 4) and the effective implementation of the Student Assessment
(clause9).
Although we have not prescribed student:tutor ratios for elements of the course
where students audit skills are assessed/tested (see clause 9), we consider it
unlikelythatonetutorwouldbeabletoassesseffectivelytheperformanceofmore
than12students.Therefore,forgroupslargerthan12,youareadvisedtoprovide
additional tutor resource during elements of the course where audit skills are
assessed.Wewillreviewtheeffectivenessofthespecifiedtutorresourcespecified
duringtheapplicationprocess,andreviewitseffectiveimplementationduringthe
surveillanceprocess.
8.
9.
VARIATIONS
8.1
Wewillconsiderrequestsforvariationstoanyofthesecriteria,orinrespectofany
specialcircumstances.Inthissituationyoushouldsubmitawrittenrequesttous
immediatelytherequirementforthevariationbecomesapparent.
8.2
Wewillconsiderthefollowingwhenevaluatinganyrequestforvariation:
Reasonsfortherequestedvariation.
Proposedmodificationstothetraining.
STUDENTASSESSMENT
9.1
Inordertosatisfactorilycompletethecourseeachstudentmust:
9.1.1 Complete all elements of the course, covering all Learning and Enabling
Objectives.
9.1.2 Passthestudentassessment.
9.2
Studentassessment:
9.2.1 Students must demonstrate acceptable performance in the Learning
Objectives(clause2.1)tosuccessfullycompletethecourse.
9.2.2 Youmustprovideeachstudentwithfeedbackonhisorherachievementof
theselearningobjectivesasdescribedinIRCA/2000.
9.2.3 Youmust specifyhoweachLearningObjectivewillbeassessedwithinthe
followingminimumrequirements:
a)
b)
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10.
COURSEPUBLICITY&ADVERTISING
10.1
Yourtrainingcourseadvertisingandpromotionalmaterialmustnotstatenorimply
thatthiscoursefulfilsmorethanpartofthetrainingrequirementsforcertification
asaQMS2000InternalAuditor.
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APPENDIX: NOTESFORGUIDANCE
Helpingstudentslearnnewknowledge&skills
Wepromotetheuseofacceleratedlearningapproachesbecausetheyaremoreefficient,interms
ofspeedanddepthofcomprehension,andmoreeffective,intermsoflongtermretentionofnew
knowledge.Therefore,youshouldemploypracticaltasksandactivitiestohelpstudentsto
understandnewconceptsandideas.Youshouldnotrelyontutorfocusedlecture/presentationto
transfernewideasandconcepts.
1.TheLearningcycle
ThereisaclearlinkbetweenDeming'sfamiliarPlanDoCheckActandthelearningcycle:
a. studentsexperiencesomething(e.g.completeatasktofindoutaboutthe
requirementsofISO9001)
b. studentsreflectonwhattheydid&identifywhattheylearnedandwhat
theystilldon'tfullyunderstandorcan'tdo(e.g.feedbacktocomparetheir
answerstootherstudentsanswersand/ormodelanswers,andidentifyany
problems)
c. studentstakeactiontoaddressweakareas.(e.g.asktutorforhelporcomplete
task/activityagainorcompleteanothertask)
Ensuringthatyourtrainingsessionsfollowthissimplemodelwillmakestudents'learning
moreeffective.WereferencedthelearningcycledescribedbyDavidAKolbindeveloping
thesecriteriaandyoumightfinditusefultoconsiderthiswhendevelopingyourcourse.
2.Learningstyles
Wepromoteavarietyoftrainingmethodsinyourcoursedesign.Differentpeoplelearnin
differentwayssoyoursessionsshouldfollowthelearningcycleandyourcourseshould
includeavarietyofdifferentlearningactivitiestocaterforallneedsasfaraspossible.
HoneyandMumford(LearningStyleQuestionnaire,PeterHoneyPublications,ISBN1
902899075)provideonemodelfordescribingdifferentlearningstylesthatyoumayfind
usefulasabasis.
3.Sessionplans
Developingsessionplansisanaturalpartofdesigninglearningandtrainingprocesses.
Sessionplansshouldbesimpleandeasytouseworkingdocumentstohelpyourtutors
manageeffectivelearning.Fororganizationswithonlyafewtutors,outlinesessionplans
areacceptable.Forlargerorganizationswithanumberofbranchesorsubcontractors,and
theconsequentnumberandturnoveroftutors,wewillrequiremorecomprehensive
sessionplans.Asamplesessionplanisprovidedbelow.
4.Continuousassessment
Continuousassessmentshouldhaveaclearlinkbetween:sessionplans(fortutors),clear
task/activityinstructionswithdefinedandmeasurableoutputs(forstudentsandtutors),
activitymarkingschemes/modelanswers(fortutors),modelanswers(forstudents),
individualstudentcontinuousassessmentrecord(forrecordingstudentperformance).
BlendedLearningcourseduration&tutor:studentratios
Wewillconsidercoursesdesignedwithlessthan60%ofthecourseduration(ascalculatedin
IRCA/2000)devotedtoclassroomactivityincircumstanceswhere,forexample,thereisasmaller
tutor:studentratio:forexample2tutorsandamaximumof6students.
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SelfStudy
Werecommendthatyouconsiderthefollowingdocumentswhendevelopingtrainingbasedon
informationtechnologysolutions:
BS7988:2002ACodeofPracticefortheuseofinformationtechnologyforthedeliveryof
assessments
BS8426:2003ACodeofPracticeforesupportinelearningsystems
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Examplecontinuousassessmentoptions
The following tableprovides examples of how you could assess/test student achievement of the
Learning Objectives and how feedback and followup work could be approached: the items in
whiteboxesareexamplesonly.
LearningObjective
IRCA
requirement
fortesting
Example
arrangementfor
testing
ExamplePass
Criteria
ExampleFeedback
tostudents
Describethe
responsibilitiesofan
internalauditorand
describetheroleof
internalauditinthe
maintenanceand
improvementof
managementsystems.
Written(Quiz/
exametc)
Quizattheendof
themorningof
day1.
Minpassmark70%
Verbalduringreview
ofquiz.
Explainwithreference
tothePDCAcycleand
modelofaprocess
basedquality
managementsystem
thepurposeand
structureofISO9001
Written(Quiz/
exametc)
Quizattheendof
day1.
Minpassmark70%
Planandpreparefor
aninternalaudit,
includingpreparinga
checklist
Practicalactivity
withwritten
output.
Writtennotificationof
mark.
Verbalduringreview
ofquiz.
Writtennotificationof
mark.Remedialwork
withanyfailures.
Day1:preparation
ofchecklist
exercise.
Seemarking
scheme.Minscore
7outof10
Tutorstoreview
progressandcoach
studentsas
appropriateduringthe
exercise.
Writtencommentsand
scoretobeprovided
day2a.m.
Gatherobjective
evidencethrough
interviewand
samplingof
documents.
Observed
practical
activity.
Writefactualaudit
reportsthathelpto
improvethe
effectivenessofthe
managementsystem
Practicalactivity
withwritten
output.
Suggestwaysin
whichthe
effectivenessof
correctiveactions
mightbeverified.
Quiz/exam
Day2:auditrole
play.
Tutorstoallocatea
competentornot
yetcompetent
marktoeach
studentforeachof
theenabling
objectivesin
section3.4
Verbalfeedback
followingtheexercise.
Remedialworkwith
anyfailures.
Day2:reporting
ontheauditrole
playexercise.
Seemarking
scheme.Minscore
7outof10
Verbalfeedback
followingtheexercise.
Remedialworkwith
anyfailures.Scoreto
benotifiedtostudents
attheendofthe
course.
ShortTestday2.
Minpassmark7
outof10
Paperstobemarked
afterthecourseand
resultnotifiedto
studentsafterthe
course.
Markstobeallocated
attheendofthe
course.
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