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Internal Auditor for ISO 9001 Based Standards - Face to Face

Our face-to-face training can be provided at our training venue or in-company at your site.
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Course overview

If you need to (i) understand the requirements of any QMS (Quality Management System) Standard, and (ii) conduct internal/supplier audits audits – then this is the course for you!

After completing this 2-day practical course & workshop participants will have the knowledge and skills to plan, undertake and report on internal and supplier audits using the process approach against any audit criteria (i.e. International 'sector-specific' Quality Management System standards, customer requirements, regulatory requirements, etc.). The aim is to evaluate both conformity (compliance) to requirements and overall system effectiveness – i.e. planned activities and planned results.

Specifically, this course is applicable to the following 'sector-specific' standards –

  • ISO 9001 – general manufacturing and service

  • AS9100 – aerospace and related defence

  • IATF 16949 – automotive and motorsport

  • AQAP 2110 – defence (NATO/UK MOD) supply chain

  • AQAP 2310 – aerospace defence (NATO/UK MOD) supply chain

  • IRIS (ISO 22163) – global rail supply chain

Participants obtain an understanding of the requirements by mapping them to an organization’s processes and activities, and then devising audit questions to evaluate the extent of conformity.

Particular attention is given to creating these 'evaluation questions' in situations where the auditee organization may not have documented procedures, or the auditor doesn't have the time to read their procedures! In addition, participants will learn how to assess the ‘active’ management of customer satisfaction, QMS and suppliers performance and process-level effectiveness – and how to audit the organization's Leadership!

This practical course contains many Team Exercises and Individual role-play scenarios that are structured to follow the key steps in preparing for, undertaking, reporting on and closing-off process-based conformity, compliance and performance audits. In this way participants gain an in-depth understanding of standard requirements – its learn-by-doing or 'Accelerated Learning'

The course timings are – 08:30 to 17:00 each day.

Course details

During the sessions, particpants will need to make reference to their personal copies of relevant ISO 9001-based QMS (quality management system) standards.

Within this course, the following sections are covered:

Auditing-related terms, definitions and methodologies

  • What is an internal audit?

  • Explanation of audit-related terms

  • Test: explanation of audit-related terms

  • Understanding interested parties and their requirements

  • Guidelines and Standards relating to auditing

Relationship between elements of the QMS

  • Understanding QMS processes

  • Test: identifying types of QMS process

  • Examples of QMS process types

  • Visualizing QMS processes – sequence and interaction

  • Test: evaluating an organization’s description of its QMS processes and their sequence and interaction

QMS business benefits

  • Understanding the organization and its context

  • Test: Organization purpose, strategic direction & scope

  • Audit questions focused on purpose, strategic direction & scope

  • Benefits of a formal QMS

  • Test: identifying the benefits of a formal QMS

QMS documentation

  • AS9100 QMS documentation requirements

  • Policy ~ Processes ~ Procedures

  • Identifying ISO 9001 need for documented information

  • Test: identifying ISO 9001 need for documented information

  • Determination of the processes needed for the QMS

  • Test: defining policy, processes & procedures

Auditing using a 'process-based' approach

  • Deriving process-based audit questions from applicable audit criteria

  • Deriving audit questions from audit criteria

  • Test: deriving audit questions from audit criteria

  • Turtle diagram – visualization tool for process-based QMS internal auditing

  • Test: identifying the ‘elements’ of a Turtle diagram

  • Deriving process-based audit questions from Turtle diagram ‘limbs’

  • Test: mapping audit questions to Turtle diagram 'limbs'

Content and structure of ISO 9001-based standards referring to the P-D-C-A cycle

  • ISO 9001 content: clauses and requirements

  • ISO 9001 HLS (high level structure): referring to the P-D-C-A cycle

  • Test: Locating requirements for OPERATION, SUPPORT and ANCILLARY processes

Understanding and auditing the ‘effectiveness’ of a QMS

  • Auditing QMS ‘effectiveness’

  • Requirements for QMS ‘performance’

  • Test: locating specific requirements for monitoring

  • Auditing process effectiveness – the ‘PEM’

  • Conducting an effectiveness audit

  • Test: scoring process effectiveness – the ‘PEAR’

Auditing conformity of a QMS

  • Understanding ‘conformity’ with QMS requirements

  • Test: locating ISO 9001 requirements for auditing purposes

  • Requirements for OPERATION processes

  • Test: locating ISO 9001 clauses applicable to OPERATION processes

  • Test: auditing MRB actions with customer-supplied nonconforming product

  • Requirements for SUPPORT processes

  • Test: locating ISO 9001 applicable to SUPPORT processes

  • Requirements for ANCILLARY processes

  • Test: locating ISO 9001 applicable to ANCILLARY processes

Auditing performance (P-D-C-A)

  • Quality objectives define QMS ‘performance’

  • Test: understanding quality objectives

  • Auditing quality objectives and the P-D-C-A cycle

  • Test: auditing customer satisfaction

  • Test: auditing supplier performance

Auditing risk-based thinking

  • Understanding/auditing risk-based thinking

  • Auditing risk-based thinking – “things to consider” ~ ISO 9001 clauses

  • Exercise: auditing risk-based thinking – “things to consider” ~ AS9100 clauses

  • Identifying and auditing risk sources and related methodologies

  • Test: operation process risks and things to look for

Audit planning

  • Audit planning considerations

  • Identifying ‘audit trails’

  • Test: establishing an internal audit plan

  • Different audit methods

  • Test: identifying different audit methods

  • Auditing the planning of an internal audit program

  • Guidance for estimating adequate time to conduct a full internal audit program

  • Test: estimating the time to conduct a full QMS internal audit

  • Justifying an audit program

  • Test: auditing the internal audit program

  • Planning and conducting a remote audit

Creating an audit work document

  • Creating an audit work document – format and contents

  • Personal assignment: creating an audit work document

  • Creating an audit work document from a Turtle diagram

  • You’re now ready to undertake an internal audit!

Conducting an opening meeting

  • Purpose of an opening meeting

  • Agenda items for an opening meeting

  • Personal assignment: creating an opening meeting agenda

  • Conducting an opening meeting

  • Test: opening meeting dos & don'ts

Performing the internal audit

  • The ‘evidence-based approach’ to auditing

  • Audit sample size determination

  • Test: choosing an appropriate sample focus (operators)

  • Test: choosing an appropriate sample criteria (POs – purchase orders)

  • Test: choosing an appropriate sample size (FAIRs – First Article Inspection Reports)

Managing interviews and recording evidence

  • Format and style of audit questions

  • Test: turning closed questions into open questions

  • Building rapport with the auditee

  • Auditing top management ~ “don’t be intimidated!”

  • Personal assignment: auditing top management and management review*

  • Collecting, evaluating, and recording objective evidence

  • Audit process summary – auditor & auditee activities

  • Test: dealing with auditee disagreements

Evaluating audit evidence and creating effective NCRs

  • Criteria for determining nonconformities

  • Reporting nonconformity using a nonconformity report (NCR)

  • Test: sections of the 'NCR Template'

  • Recording multiple instances of nonconformities on a single NCR

  • Test 1: identifying the applicable clause and formulating an effective NCR

  • Test 2: identifying the applicable clause and formulating a effective NCR

  • What if there’s insufficient evidence to determine – conformity? Or nonconformity?

  • Grading NCRs

  • Test: grading NCRs (minor/MAJOR)

The ‘mock’ audit’ (Case Study material)

  • Mock audit of major operation process

  • Preparation for/conducting the mock audit (120-min)

  • Exercise: On-site/Human interaction

  • 30-min per team face-to-face with tutor

  • 10-min to 15-min per student with tutor

  • Concurrent team activities – simulated audit scenarios

Preparing for, and presenting, a closing meeting

  • Reviewing the audit findings and preparing conclusions

  • Conducting closing meeting

  • Personal assignment: creating a closing meeting agenda

Reporting the audit results

  • Audit report purpose and content

  • CB audit report contents

  • Test: Key items in the internal audit report

Conducting audit follow-up

  • Reminder: correction vs. corrective action

  • Responsibility for corrective actions

  • Test: NCR terminology and actions

  • Verifying the effectiveness of corrections and corrective actions

  • Test: verification of actions/corrective actions

Auditor selection, competence, and personal qualities

  • Responsibility for the internal audit program

  • Auditor competence – methodology and sector/discipline

  • Auditor competence – methodology

  • Auditor competence – sector/discipline

  • Selection of people for internal auditors

  • Quiz: identifying internal ‘auditor qualities’

This face-to-face course incorporates Quizzes, Tests and individual assessments to ensure students’ knowledge and skills are properly evaluated. The majority of the time is given over to these activities.

On successful completion of the course and its quizzes/tests/ individual assessments, students will be presented with their Training Certificate.


Who should attend

The course is primarily aimed at individuals who are required to conduct conformity, compliance and performance audits internally and at all levels in the supply chain. Participants are not required to have any previous experience of auditing.

The course was originally designed for the UK MoD's supplier auditing teams to ensure a common approach to auditing confomity against a variety of standards and perfomance in terms of delivered quality and on-time in-full delivery.

The course is specifically suited for auditing where -

  • multiple international quality management system standards and customer-specific QMS requirements are involved

  • organizations do not necessarily have documented procedures

  • it is simply required to establish the degree of conformity/compliance with customer-specific requirements

Delegates need to have a basic knowledge of ISO 9001:2015 or other ISO 9001-based standards and/or customer-specific requirements they need to audit.

Attendees use their own copies of relevant international standards during the training course.

Deliverables & benefits

Assessment of learning is achieved through structured exercises and real-world audit scenarios undertaken by the participants. The tutors provide feedback and advisement to ensure that best practice is fully understood in the context of sector-specific industry.

Participants will be -

  • be better equipped to maintain their organization's compliance with international standards (e.g. ISO 9001, AS9100 series, IATF 16949, AQAP 2110, AQAP 2310, IRIS, etc.)

  • evaluate supplier quality management systems (even when the supplier has no documented QMS)

  • be confident in knowing that their audit questions address all important issues - including the organization's Leadership!

  • identify weaknesses in management system performance (e.g. quality and delivery), process-level effectiveness, supplier Q & D, and top management commitment

  • identify risks and opportunities within the QMS including the supply chain

  • be able to accrue IRCA & IAQG CPD points because of the highly structured nature of this course

All students successfully completing the 2-day course will receive an individual training certificate containing the TEC's internationally-recognized logo.

The organization will -

  • be confident that their auditors are empowered to undertake effective internal (and supplier) audits

  • know that the outcomes of the audits will meet the expectations of all industrial sectors and CBs (Certification Bodies)

  • be able to assess both conformity to requirements and effectiveness of operational processes


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