Continuous Assessment Record For IRCA Certified ISO 9001:2015 Auditor / Lead Auditor Training Courses
Continuous Assessment Record For IRCA Certified ISO 9001:2015 Auditor / Lead Auditor Training Courses
Venue: ___________________________________
___________________________________
Principal Trainer Verification:
IMPORTANT INFORMATION:
This document will be used by course tutors and delegates. Tutors will use this document
to maintain a record of delegate performance throughout the duration of the course.
Delegates will use this document for individual continuous assessment exercises to be
undertaken during the course.
Delegates will need to achieve an overall of minimum of 120 marks for the course
continuous assessment in addition to achieving at least 50% of available marks to an
individual exercise.
Delegates are responsible for the safe keeping of this document throughout the
course. Its loss could result in failure of the course.
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Requirements for Continuous Assessment:
1 A continuous assessment of the performance of each delegate is a requirement on all IRCA certified courses.
2 This assessment by the tutor(s) shall be documented (with notes for each delegate recorded throughout the course).
The assessment shall be performed against the criteria as indicated in this document, and will include elements of
judgement made by the tutor(s) together with the results of individual exercises.
3 At the end of each day the designated tutor(s) shall review and complete the delegate continuous assessment
summary and decide a mark for each delegate on the day’s performance.
4 Where it is identified that individual delegates are either not understanding the subject or not participating
adequately, then these delegates shall be made aware in private of the shortfall in performance.
A course
Total for maximum of 50 by
(Multiply marks
0. 5) are
allocated to the daily tutor
assessment of a delegate’s
performance. Continuous Assessment Exercise Results
DAY 1 a.m. - Understanding of ISO 9001 (10 marks)
DAY 1 p.m. - Understanding ISO 9001 (10 marks)
DAY 2 a.m. - Document Review (10 marks)
DAY 2 p.m. - Assessment practice
A maximum of 150 marks (10 marks)
are
DAY 3 a.m. - Planning available
the on site audit
for the (10 individual
marks)
DAY 3 p.m. - Planning continuous assessment exercises.
the on site audit (20 marks)
DAY 4 - Auditing technique (50 marks)
DAY 5 - Writing a nonconformity statement (10 marks)
DAY 5 - Audit follow up (10 marks)
DAY 5 - 5 - Summary report (10 marks)
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Day1 CA Exercise No.1 ( 10 marks)
1. Give two reasons why an organization might wish to base its quality management system
on ISO 9001:2015. (1 mark)
Cost reduction
Handling for time and production
Scope of organizations
Internal issues
External isues
Strategic direction” refers to the actions you are taking to achieve the goals of your
organizational strategy. Some companies use a “ vision ...
Risk-based thinking makes preventive action part of your organization's routine. As many people
think of risk in a negative way,
5. What is quality objective? Give one example of a measurable quality objective? (1 mark)
Clause 6.2 of ISO 9001:2015 defines quality objectives and explains how to use them.
Quality objectives are measurable goals relevant to enhancing customer
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satisfaction and are consistent with the quality policy. These objectives are initially
established when planning your QMS and redefined in management reviews as needed.
Examples can include goals to improve on time delivery, defects, or scrap. These
objectives must be documented and updated as appropriate.
7. ISO 9001:2015 requires organization to apply PDCA Cycle. Explain in your own words
what do you understand by PDCA? (1 mark).
The PDCA / PDSA cycle is a continuous loop of planning, doing, checking (or studying), and acting.
It provides a simple and effective approach for solving .
Project deliverables are tangible outcomes, measurable results, or specific items that must
be produced to consider either the project or the project phase
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9001:2015 standards were re vised in 2015. Based on this, the business risks, improvement
of internal and external ... determine knowledge necessary for the operation of processes
ISO 9001:2015, 8.4.1 states, the organization shall determine the controls to be applied to
externally provided processes, products and services when:
products and services from external providers are intended for incorporation into the
organization’s own products and services;
products and services are provided directly to the حcustomer(s) by external providers on behalf
of the organization
Identify which sub-clauses of ISO 9001:2015 are of particular relevance / importance in relation to
the process approach and improvement. For each of these sub-clauses indicate what evidence
could demonstrate that an organisation is using these principles in an effective manner. (you
should aim to identify at least 6 sub-clauses)
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Day 2 CA Exercise No. 3: ( 10 marks)
5.0 Leadership
5.1 Leadership & commitment Y Page 11
5.2 Quality policy Y Page 6
5.3 Organizational roles & Y Page 13
responsibilities
7.0 Support
7.1 Resources Y Page 35
7.2 Competence Y Page 35
7.3 Awareness Y Pages 35 36
7.4 Communication Y Page 35
7.5 Documented information Y Page 35
8.0 Operations
8.1 Operational planning & control Y 18
8.2 Requirements for products & N Not done
services
8.3 Design & development of Y 25
products & services
8.4 Control of externally provided Y 20
processes, products & services
8.5 Production & service provision N Not done
8.6 Release of products & services
8.7 Control of non-conforming outputs Y Page 30
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Continual improvement 39 Page 39
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Day 2 pm - CA Exercise No. 4 (10 marks).
1. Explain why an audit team leader might wish to undertake a pre-audit visit to the
organisation to be audited. (1 mark)
A pre-audit is the first step in the process of an audit. During a pre-audit, a company documents
are examined to ensure that all information is correct before the company or individual undergoes an
official audit.
2. In relation to the on-site audit of the case study company, what is the “Scope” of the audit
?. (2 marks)
3. Identify two considerations that should be made by an audit team leader in determining the
size and composition of the audit team ? (2 marks)
1-Competence
2- Neutrality
5. In relation to the case study company identify six ISO 9001:2015 clauses that you would
wish to verify in order to establish that the case study organisation is effectively managing
and has adopted the “Risk based & process approach” in relation to the “ home delivery”
process. (3 marks)
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ISO 9001:2015 Clause 7.1.4 Environment for the Operation of Processes
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Day 3 - CA Exercise No. 5 (10 marks).
With reference to the “Role Play” audit that you are to undertake in the case study company.
produce a “Check List” containing closed ended questions as directed by your tutor(s). This
check list should also be written onto flip chart sheets to enable you to make a formal
presentation and also for use during the audit role play.
Has the organization discuss the internal and external isues ? 4.1
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Day 3 CA Exercise No. 6a (10 marks).
With reference to the “Role Play” audit that you are to undertake in the case study company.
you have already produced check lists containing closed ended questions in order to verify that
the organization is meeting the ISO 9001 requirements of Clause 4.1, 4.2 & 6.1 in relation to
Strategic Planning and Clause 8.4 in relation to Outsourced process of ‘home delivery service’
Your team leader also requires you to assess the organization’s approach in : (1) implementing
‘process based quality management system’, and (2) evaluating performance & effectiveness to
meet customer requirements & enhance customer satisfaction, in relation to the ‘Home Delivery
Service Process’ .
a) Produce a Check List containing closed ended questions, for the ISO 9001 requirement
4.4.1 (Quality management system & its processes) to respond to team leader’s query
(1) as above. (5 marks)
b) Identify 5 other ISO 9001 clauses that you would wish to verify to respond to team
leader’s query (2) as above. (5 marks)
Does the organization determine the input and output of the process?
Does the organization determine the sources which needs for the process?
Does the organization doing internal Audit on its process and system?
B
Clause 7.12
Clause7.3
Clause8.2.4
Clause 8.2.1
Clause 9.1
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Day 3 CA Exercise No. 6b (10 marks)
In relation to these peviously identified six clauses identify where in the organisation you would
visit and what evidence you would wish to see in order to evaluate the effectiveness of the
organisation’s approach to performance evaluation, customer satisfaction and the
implementation of the company Quality Policy in relation to the “Home Delivery Service
Process” (you are producing a limited auditor’s “Plan of Action” and associated checklist
containing closed ended questions).
1. Asking customer service manager for measuring and monitoring input and output of the
process?
2. Asking about complaints and recalling system is that implemented ?
3. Asking about policy and are the employee's are understand it?
4. Asking about organization plane and objectives?
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5. Day 4 - CA Exercise No. 7 (Auditing Technique) (50 marks).
The tutor(s) will judge each delegate against the following criteria:
1 Interpersonal skills
(Rapport with auditee / Sensitivity to auditee / Feedback of
information)
5 Note taking
Total Marks
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Day 4 - CA Exercise No. 8 (10 marks).
Following your audit of the case study company, review your personal notes and write what you
consider to be the most significant nonconformity on the assessment nonconformity report form
below. Complete the form as it would be completed by an auditor during the assessment
process:
Auditor’s name:
Asem abdelhamid
Evidence
Page. 17
Clause
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Day 5 - CA Exercise No. 9 (10 marks).
_____________________________________________________________________________
Making training for ISO 9001 and storage procedure to new employee
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Day 5 - CA Exercise No. 10 (10 marks).
You have been requested to provide an executive summary report for your 'client'
communicating the assessment results (to a busy senior director). This report needs to
address only the headings given below:
Have the ISO 9001:2015 certificate after clothing Non conformity pints
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