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BENDED Learning: ISO 9001: 2015 & AS9100 Lead Auditor Course (CQI & IRCA Certified)

Programme overview

This CQI & IRCA certified course is for individuals who want to develop the knowledge and skills to carry out audits within the aerospace/Defence supply chain and assess conformity with the demanding AS9100:2016 Rev D standard.

This course is for individuals who need to conduct effective audits of standards adding supplementary requirements to AS9100-series (e.g. AS13100)

It will also help to develop their wider understanding of modern (process-based) aerospace/Defence quality management systems documentation and implementation.

This CQI & IRCA Certified AS9100 Lead Auditor Course is applicable to the 2016 revisions of the AS9100, AS9110 and AS9120 standards - which includes ISO 9001:2015.

TEC are CQI & IRCA-approved Training Organisation (Reference: 01200706) and this is a CQI & IRCA-certified Training Course (Certification Number: A18173).

The auditing methodology is identical to that used by the Certification Bodies and is based on the process-based approach which places equal emphasis on:

  • assessing the effectiveness of QMS processes (PEARs), customer satisfaction and supplier performance
  • conformance with the stringent requirements of the AS9100:2016 series of standards and applicable customer, regulatory and statutory QMS requirements
  • exploiting the IAQG 9100:2016 Auditor Guidance Material to augment audit questions

Delegates who successfully complete the course and pass the 2-hour written examination (+90% pass rate) satisfy the formal training requirements of the IRCA scheme for registration as:

  • AS9100 Aerospace Lead Auditors
  • AS9100 Aerospace Principal Auditors
  • ISO 9001 Lead Auditors (if required)

The course is based on the principles of Accelerated Learning. It is highly interactive and uses quizzes, group exercises, individual audit role-play scenarios (with the Tutors) and a realistic (aviation) Case Study. The course timings are:

  • E-Learning module: Approximately 2-days/16 hours. The e-Learning module can be completed at your own pace and in your own time but must be successfully completed prior to your attendance at our face-to-face 3-day training course (on-site or public event);
  • Face-to-face training times (3 days): Approx. 08:30 start - 17:00 finish;
  • Examination: The examination will start at approximately 1.00pm on the final day.

Additional pre-course training materials are e-mailed to delegates to assess their understanding of AS9100 requirements.

Programme details

The course is delivered over 5 days, made up of 2-days e-Learning and 3-days face-to-face training, with the 2-hour written examination taking place on Day-5.

The public course fee includes a 3-course lunch and morning/afternoon refreshments each day you are with us. TEC's tutors are all IRCA-certified Lead Auditors or Principal Auditors with many years’ experience conducting audits in the aerospace and defence sectors. Our tutors are also IAQG Master Trainers who have been delivering the IAQG-sanctioned AATT Courses & Exam since 2009 - we train the certification Bodies!

2-Day e-Learning Module TEC's e-Learning is an interactive training platform in which students can complete their training at their own pace, at any time and using any device. Note: This 2-day e-Learning module must be successfully completed before you attend the face-to-face training section.

All our e-Learning courses are highly interactive with tests, quizzes, and exercises at every section of the course to ensure full understanding. Our trainers are available between the hours of 8am - 6pm, operating telephone/email remote support to delegates conducting their training via our e-Learning platform.

On completion of your training and all the related tests/quizzes, you will be able to download and print your training certificate within 48 hrs. Note: You will be required to bring this with you on the first day of your face-to-face training session, either as a hard or soft copy.

This 2-day e-Learning module also qualifies towards 16 hours of CPD Credits.

Modules covered in the e-learning course are:

  • Quality management system related terms & definitions
  • Requirements of the Quality Management System
  • Customer, Statutory and Regulatory requirements
  • Competence, authority, responsibility and accountability
  • The quality management system
  • QMS realization the core concepts and quality management principles
  • Organization Context
  • Auditing QMS planning, policy, objectives, change and benefits
  • QMS requirements for documented information
  • Audits and their objectives, scope, criteria, evidence and findings
  • QMS audits - guidance, types and requirements
  • QMS certification and accreditation
  • Audit process – risks and principles
  • Audit participants, auditor competence & responsibilities and auditee roles
  • Auditor qualities and (positive) personal behaviour
  • Understanding the audit process and programme
  • Scheduling audit programmes
  • Auditing the ‘process approach’
  • Types of QMS processes & their requirements
  • Locating and understanding AS9100 requirements
  • Understanding the structure of ISO 9001-based standards
  • Locating operation/support requirements with Turtle diagrams
  • Auditing monitoring, measuring, analysis and evaluation processes
  • Understanding and auditing process effectiveness (PEARs)
  • Understanding and auditing quality policy
  • Understanding and auditing continual improvement
  • Understanding and auditing risk-based thinking
  • Identifying job roles and auditing people
  • The IAQG’s evaluation guidance material
  • Basic elements of audit questions
  • Auditing top management
  • How to ask audit questions
  • Preparing documented information for an audit
  • Finish – Print out certificate

Day-3

Introduction to the face-to-face activities Learning objectives:

  • Class introductions and Q & A session focused on the e-Learning sessions.
  • Explanation of the exercises based on a Case Study and simulated audit scenarios. Focus on the third-party (certification) process and the need for active learner involvement, teamwork and team leadership!
  • Learners’ introductions
  • Questions relating to the e-Learning Sessions
  • Practicing auditor skills
  • Third-party focus
  • Active learner involvement
  • Teamwork and team leadership

Audit work documents – skill test

Learning objective:

  • Understand the purpose and contents of an audit work document. Learn about retention times for audit records and the importance of safeguarding recorded information.
  • Practice creating an audit work documents for design & development.
  • Appreciate the ‘stages’ of the certification process.
  • Purpose of an audit work document
  • Contents of an audit work document
  • Retention times and safeguarding of recorded information
  • Individual exercise: creating audit work documents for design & development
  • Stages of the certification process

Pre-audit activities

Learning objective: - Understand the pre-audit activities: (i) information provided to the auditee, and (ii) information provided by the auditee. - Practice initial CB–auditee communication, application review and risk avoidance/mitigation strategies. - Information provided to the auditee - Team exercise: initial CB – auditee communication - Application review - Risk-based approach to audit planning - Individual exercise: risk avoidance/mitigation strategies

Audit time calculation

Learning objective:

  • Learn how to compute audit days requirement, reduction criteria and practice calculating certification audit time.
  • Understand aerospace QMS risk analysis and its impact on certification audit time.
  • Computing audit-days using AS91904/1 requirements
  • Individual exercise: calculating certification audit time
  • Aerospace QMS risk analysis
  • Risk input
  • Risk output

Stage 1 audit

Learning objective:

  • Learn how to select audit personnel.
  • Understand the stage 1 audit activities & objectives, the collection of information and the contents of the Stage 1 audit report – ‘concerns’ only!
  • Practice performing a stage 1 audit using information contained in the Case Study.
  • Audit personnel confirmation
  • Stage 1 activities
  • Stage 1 audit objectives
  • Collection of Information
  • Stage 1 audit report
  • Individual exercise: stage 1 audit – areas of concern

Planning an audit

Learning objective:

  • Learn how to establish an audit plan based on the auditee’s QMS processes.
  • Understand the importance of pursuing relevant audit trails.
  • Practice creating a stage 2 audit plan for the Case Study.
  • Appreciate the mandatory time interval between stage 1 and stage 2 audits – determine the interval for the case Study.
  • The audit plan
  • Audit trails
  • Individual exercise: creating a stage 2 audit plan
  • Time interval stage 1 & stage 2
  • Team quiz: time interval between stage 1 and stage 2  

Stage 2 Audit

Learning objective:

  • Appreciate the purpose of the stage 2 (certification) audit. Practice dealing with QMS scope changes.
  • Learn how to prepare for an opening. Practice delivering the opening meeting for the Case Study.
  • Understand the Stage 2 audit activities, obtaining/verifying information and the use of sampling methods.
  • Practice the selection of appropriate sampling approaches.
  • Purpose of the stage 2 audit
  • Team quiz: dealing with possible QMS scope changes
  • Opening meeting
  • Team exercise: delivering the opening meeting
  • Stage 2 audit activities
  • Obtaining and verifying information
  • Sampling
  • Haphazard Sampling
  • Judgmental Sampling
  • Quiz: choosing an appropriate sample focus

Developing and using audit questions

Learning objective:

  • Appreciate the need to ask basic ‘process-based’ audit questions.
  • Learn how to verbalize effective audit questions and build a rapport with auditees.
  • Understand the different methods of collecting information and the importance of recording evidence ‘as-you-go’.
  • Contents of effective audit questions
  • Verbalizing effective audit questions
  • Building rapport with the auditee
  • Collecting objective evidence

Understanding and recording nonconformities

Learning objective:

  • Understand the criteria for determining nonconformities.
  • Learn how to identify, record and justify findings of nonconformity.
  • Appreciate the need to formalize the documentation of nonconformities and recording multiple instances of nonconformities on one NCR.
  • Practice creating NCR (nonconformity reports).
  • Criteria for determining nonconformities
  • Identifying, recording and justifying audit findings
  • Formally documenting nonconformities
  • Individual exercise: recording a nonconformity
  • Recording multiple instances of nonconformities on one NCR

Classifying nonconformities

Learning objective:

  • Understand the criteria for classifying nonconformities as major/minor. Practice classifying NCRs.
  • Learn how to deal with ‘recurrences’ of nonconformities.
  • Appreciate the need to deal with auditee disagreements. Practice responding to auditee disagreements.
  • Major nonconformities
  • Minor nonconformities
  • Dealing with ‘recurrences’
  • Individual exercise: classifying nonconformities
  • Dealing with auditee disagreements
  • Individual test: dealing with auditee disagreements

Handling communication throughout the audit process

Learning objective:

  • Understand the importance of setting up formal communications channels.
  • Learn how to set-up and use intra-team and team-auditee (‘wash-up’) communications.
  • Appreciate the need to anticipate how to handle ‘containments’.
  • Communication channels
  • Audit team leader to auditor(s) communications
  • Audit team leader to auditee communications
  • Handling ‘containments’

Auditing unanticipated situations

Learning objective:

  • Understand the need for asking additional questions during the audit and how to handle unanticipated 'situations'
  • Practice creating ad hoc audit questions to respond to such unanticipated changes.
  • Adding questions during an audit
  • Individual exercise: creating ad hoc audit questions  

Day-4

Conducting the ‘mock’ stage 2 audit

Learning objective:

  • Today will involve individual audit of the Case Study and the tutors(s) who will be role playing all levels of auditee personnel.
  • The objective is to uncover a minimum of 5 (five) clear nonconformities.
  • Different audit methods will be practiced, and individual feedback will be given throughout the day.
  • As the face-to-face audits will be undertake in teams, the teams not actively participating will be asked to evaluate ‘simulated audit scenarios’ assigned by the tutor(s) in parallel – these exercises to be individually undertaken.
  • For each simulated audit scenario, learners will either declare a nonconformity or create an investigation template
  • Individual face-to-face audit
  • On-site/Remote No human interaction
  • On-site/Human interaction
  • Concurrent activities
  • Teams not actively participating in the role play exercise must evaluate ‘simulated audit scenarios’ assigned by the tutor(s) in parallel

Creating NCRs resulting from the stage 2 audit

Learning objective:

  • This is an individual exercise aimed at evaluating how well NCRs based on the Case Study audit findings are documented.
  • Learners are required to create 4 (four) NCRs classified as major or minor.
  • The tutor(s) will check the work and provide individual feedback.
  • Reminder: the NCR template
  • Individual exercise: creating NCRs identified during the ‘mock audit’   Preparing audit conclusions (Certification decision)

Learning objective:

  • This is a team exercise to review the individual NCRs and agree on audit conclusions.
  • A ‘certification decision’ must be made by each team and presented to the class and tutor(s) for their reactions!
  • Reviewing the audit team findings
  • Agreeing on audit conclusions
  • Certification decision
  • Team exercise: certification decision

Day-5

Closing meeting

Learning objective:

  • Understand the purpose of a closing meeting and learn how to deliver an effective closing meeting using a customized agenda.
  • Appreciate that opportunities for auditee personnel questions must be encouraged and know how to handle ‘diverging opinions’.
  • Practice (in teams) delivering a ‘mock’ closing meeting based on the Case Study audit conclusions and certification decision.
  • When all teams have presented, the tutor(s) will provide comments, corrections and OFIs for each team.
  • Purpose of the closing meeting
  • Agenda of the closing meeting
  • Opportunity for questions and ‘diverging opinions’
  • Team exercise: presenting a ‘mock’ closing meeting  

Audit report

Learning objective:

  • Understand the importance of an audit report and identify the key items which must be included in an effective audit report.
  • Learn how to prepare and communicate the Audit Report.
  • Practice writing key audit report items.
  • Understand the importance of a ‘timely’ distribution of the audit report.
  • Purpose of the audit report
  • Preparation of the audit report
  • Audit report sections
  • Team exercise: key items in the audit report
  • Distributing audit report

Conducting audit follow-up

Learning objective:

  • Be able to understand, and explain, the auditor and the auditee responsibilities for dealing with NCRs.
  • Understand how to check the effectiveness of auditee corrections and corrective actions – and to classify root causes using the IAQG criteria.
  • Practice evaluating auditee proposed corrective actions, and be able to explain the reason(s) for rejection!
  • Responsibility for corrective actions
  • Checking the effectiveness of corrections/corrective actions
  • Classification of root clauses
  • Team exercise: verification of corrective actions

The IRCA Examination - Course completion

Who should attend

Eligibility

The course requires that you have a reasonable knowledge of AS9100:2016 and have some auditing experience. To assist with your pre-course preparation and further familiarization with the Standard, an Exercise Paper will be included within your confirmation letter once you have booked your training place; you will need to return this before your e-learning access details are provided. It is important that you bring your own copy of the AS9100:2016 Standard with you for reference purposes.

The course is primarily intended for -

  • Quality management practitioners such as quality management consultants and quality managers
  • Employees conducting quality management system audits within their own organisations (internal audits)
  • Individuals wishing to apply for IRCA AS9100 Lead/Principal Auditor grades (also ISO 9001)
  • Quality management system auditors, such as those employed by third-party certification bodies/registrars or by purchasing organisations (second-party auditors)
  • ISO 9001:2015 Certification Boby auditors wishing to understand AS9100 Note: to undertake third-party AS9100:2016 certification audits it is also required that CB auditors successfully attend the IAQG-sanctioned AATT 2016 course.

In particular, it helps delegates get to grips with those issues of ever-increasing importance such as customer satisfaction, QMS performance, effectiveness & continual improvement of processes, risk-based thinking, supplier evaluation and the essential leadership role of top management. Particular emphasis is placed on sector-specific topics that include Customer Satisfaction, Traceability, FAIRs, Project Management (APQP/PPAP), KCs, RCCA, Risk Management, Human Factors and Product Safety (Ethical Behaviour). It shall help delegates to understand how these critical issues can be embedded into the quality management system of an organisation.

TEC provide pre-course material to assist delegates to address any gaps in their knowledge of the requirements of the AS9100:2016 series of standards

Qualification

By the end of this AS9100 Lead Auditor Course delegates will be able to demonstrate achievement of the course learning objectives, which are to:

  • Explain the purpose of a quality management system, of quality management systems standards, of management system audit, of third-party certification and the business benefits of improved performance of the quality management system
  • Explain the role and responsibilities of an auditor to plan, conduct, report and follow-up a quality management system audit in accordance with ISO 19011:2018, and ISO/IEC 17021 and AS9101:2016
  • Have the skills to plan, conduct, report and follow-up an audit of a quality management system to establish conformity (or otherwise) with the AS9100:2016 series of standards (including ISO 9001:2015) in accordance with the current editions of ISO 19011, ISO/IEC 17021 and AS9101
  • Evaluate the leadership of top management
  • Know how the CBs undertake their audits, and what types of questions they ask

Successful completion of this IRCA-certified AS9100 Lead Auditor Course satisfies the training requirements for IRCA certification to all grades of Quality Management System Auditor.

For the individual concerned, qualification as a IRCA-certified Lead Auditor or Principle Auditor has international recognition. For their organization is demonstrates that the internal and supplier audits are being managed and undertaken in a highly professional manner acceptable to Certification Bodies and Customers.

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