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Sample from the ISO 9000 Internal Auditor Training Course

This product has been replaced by the "ISO 9001:2000 Auditor Training Course and Forms". Click here to review samples from the new training course.

The following text is from the Auditor Training Course section of The ISO 9000 Quality System Checklist. The training course assumes no prior knowledge of the audit process and was written at a reading level similar to newspapers. The following two excerpts demonstrate the reading level of the material and provide a sample of the content.

Beginning of sample from the Auditor Training Course

Evidence of Conformance to Requirements
At this point, you are going to consider the following statement that is made in every Internal Auditor training course, and it was also stated by each of the seven registrar auditors interviewed for input to the Checklist.

    A check mark does not serve as evidence of conformance to a requirement.
    Observations should be accompanied by evidence of conformance to a
    requirement, include the necessary data, and be legible.


The above statement is in bold print because it is very important. Evidence of conformance or nonconformance to a requirement must accompany every observation made by an auditor. Registrar auditors state that check marks mean absolutely nothing to them unless there is evidence.

Registrars also report that they frequently find the following:

  1. Comments are written in margins all over the Checklist page.
  2. Notes are difficult to read when there is no designated space for recording data.
  3. Notes frequently are not included with audit records.

Your documentation will have the evidence that is required for each observation and you will not write notes in the margins of the Checklist. The system you will use has space for recording information and an assigned place for recording specific data. Your audit records will look professional. You will look professional.

(The text then presents a sample of the Notes form which is used to plan what to look for during the Floor Audit and to record audit observations. The training course provides a description of each form that is used by auditors. The following excerpt is a description of the Corrective Action Request form.)

Corrective Action Request (CAR) Form
Locate the Corrective Action Request form. The Corrective Action Request form is usually referred to as a CAR. All CAR forms are not exactly the same; however, they all contain the 6 items listed below. Read each item and locate it on the form.

  1. At the top of the form, there is a space for the date, the department audited, CAR document number, the name of the person responsible for the department and the auditor's name. The auditor completes this information. The Lead Auditor provides the CAR number.
  2. Next, there is a space to write the requirement of the ISO standard, Quality Manual, Procedures, or Work Instructions that is not being followed. The ISO Element Reference Number and the company document number are both listed when the nonconformance is a requirement of the ISO standard.
  3. Nonconformity Description is the next space. The auditor writes what was observed that does not match the requirement.
  4. The CAR Number, the person responsible for the CAR, and the Response Due Date are assigned by the Lead Auditor. Locate these items. The CAR number is determined by the next number available in the Corrective Action Request Log which is used to list and track the status of CARs. The name of the person responsible for the department is listed on your Audit Assignment form. The Response Due Date will depend upon the nature of the corrective action required. Upon completion of an audit, you meet with the Lead Auditor to review your findings. During the meeting, the Lead Auditor provides the CAR number and the Response Due Date to enter on the form. Locate the Response Due Date.
  5. The Corrective Action Plan is completed by the person responsible for the department. The auditor discusses the CAR with the person responsible for the department when audit findings are presented following the audit. The auditor explains the observation finding and asks what the CAR owner thinks can be done as a corrective action. The auditor can advise on whether the proposed action is in accordance with the ISO 9001 standard. There should be an agreement on what measurement will be used to indicate that the corrective action taken is effective. The auditor also confirms the Response Due Date. The CAR owner must acknowledge receiving the CAR by signing and dating the form even if he or she does not agree with the finding. Your audit procedures should indicate a means to resolve a disagreement should this situation arise. Locate the signature line where the CAR is acknowledged.

    The person responsible for the CAR (1) completes the Corrective Action Plan section of the form, (2) describes the root cause of the problem, (3) proposes a corrective action, (4) includes the means by which the corrective action will be evaluated for effectiveness, and (5) enters an Implementation Due Date when the corrective action will be completed. The person in charge of the audit program (or the person designated in your audit procedures) must approve the suggested corrective action. There is a signature line for the corrective action approval. Locate the recording space for the Corrective Action Plan, the Implementation Due Date, and the approval signature.

  6. A verification is performed by the auditor or whomever is designated in procedures to ensure that the nonconformance has been corrected and is effective. Locate the verification space on the form.

Number 1 in the instructions at the bottom of the CAR form lists the items that are completed by auditors.

According to this form, the auditor is an impartial observer whose responsibility is only to report when a requirement is not being followed. The person responsible for the department decides how to correct the problem. If an auditor contributes to proposing a corrective action, this can be viewed as accepting ownership for the CAR. As mentioned above, the auditor should only provide advice on whether a proposed action is in accordance with the ISO standard. Auditors just report what they find. Audit observations are frequently called findings. When you discuss your audit with the Lead Auditor, you may be asked "What are your findings?"

The person who is responsible for an activity is often referred to as the owner of the activity. The owner of a Corrective Action Request is the person responsible for the department to which the CAR applies.

The auditor presents the findings of the audit to the person responsible for the department. This meeting is referred to as the closing meeting. All original documentation (including CARs with acknowledgment signatures) is submitted to the Lead Auditor after the closing meeting. The person responsible for the department will receive a photocopy of the Audit Summary Report and the original CARs from the Lead Auditor. The auditor should make photocopies of the CARs containing acknowledgment signatures for the CAR owner following the closing meeting. This ensures that the CAR owner has the full response time indicated on the CAR form to complete the proposed corrective action.

The Corrective Action Request form has a matching data entry template. CARs may be submitted on the handwritten form or as a printout when the data entry template is used.

Short reviews are included throughout the training course. The following review relates to the Corrective Action Request form.

Review Time

  1. A requirement that is not being followed is called a ______________________.
  2. The form used to report that a requirement is not being followed is called a _____________________________________________________________.
  3. Who is responsible for suggesting a corrective action plan? _____________________________________________________________
  4. How much time does that person have to come up with a plan? _____________________________________________________________
  5. Does anyone check to see if a corrective action is implemented and effective? _____________________________________________________________
  6. What do the letters CAR stand for? _____________________________________________________________
  7. The observations made during an audit are also called ____________________.
  8. What happens at a closing meeting? _____________________________________________________________
  9. The person responsible for an activity is called the _______________________.

End of sample.

The Auditor Training Course is not a general discussion on concepts related to auditing. The ISO Coordinators interviewed prior to writing this product stated they wanted a very detailed description on how to perform an audit. This training course is a very detailed description on how to perform an audit.

The author of this product taught junior high school for 10 years prior to entering into a career in business and manufacturing. When you give an assignment to people who have never performed a specific activity, the instructions must be very detailed and easy to understand. This training course was designed so that auditors receive an assignment and return with reporting that is exactly the way a registrar auditor wants to see it.

Why registered companies are interested in this product:

  1. Companies frequently use an outside training firm to train their first audit team. A year later, many companies notice that some of their trained auditors have left the company. This product allows a company to reduce the cost of on-going training by establishing their own internal auditor training program.
  2. Registered firms that purchased this product state that it is more complete than the material they had prepared.
  3. Registered companies may select the documents in this product that are useful for their audit program.
  4. A registered company that purchased this product (following a 20 minute review of the training course) stated that 27 of the 38 pages of the training course were exactly what they needed. The company planned to insert their own audit forms and make some slight adjustments (using the diskette files) to match their audit procedures. Notice how the description of the Corrective Action Request form (above) allows the user to do this.


ISO 9000 Checklist

© Copyright 2001 Jane M. Birkenstock
Last Updated: January 25, 2002

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