Download a copy of Module 2

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Prior Knowledge Overview

The CQI and IRCA expect students to have prior knowledge of the requirements (clauses) of ISO 9001 and of key quality management principles before attending this course. 

Types of Audit

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First Party

Organisations can conduct audits to verify their systems and procedures to continually improve their ability to supply products and services to customers. Internal audits are mandatory as part of ISO9001:2015 clause 9.2. Additionally, first party audits will evaluate conformance to ISO9001.

Second Party

A second party audit is carried out by a customer searching for a supplier of products or services. The results from the audits can be used to make decisions during the evaluation and selection process.  The purchasers in organisations will need to consider the assurance requirements for the product or service being sourced. A supplier that may have an attractive price or delivery service will not necessarily be awarded a contract where weaknesses are identified within their management systems.

Third Party

A certification body is an independent third party designed to assess conformance to ISO9001. This assurance does provide customers confidence that an organisations system has been audited for conformance by an independent body.  Many organisations sourcing suppliers will not consider a tender from a supplier unless they are certified to ISO9001.  Additionally, an independent body, for example, consultants may be appointed by organisations to audit their management systems that may be for other reasons that are not connected to certification.  As an example, this can be a customer specific requirement that needs to consider statutory and regulatory requirements or for an audit of a particular process.

Differences in First, Second- & Third-Party Audits

The role of internal and external auditors does differ, all audit types do put limitations on the auditor and does require different skill sets. A first party audit is less informal versus the third-party audit that would be more formal. However, there can also be a formal approach with a prospective supplier. The duration of audit types will differ. A first party audit can last only a few hours on a process whereas the other audits can last over a week.

An internal auditor can very often be supporting the organisation with new procedures; therefore, knowledge of the organisation is captured and will gain an understanding of how the overall organisation operates. Additionally, an internal auditor can provide further input on the corrective actions that can be taken.

A second party auditor can also support suppliers in developing their procedures, if the second party auditors’ employers allow this. As the second party auditor represents a customer, suppliers can see this as being in a position of power, therefore, second party auditors must be careful where other suppliers are visited that supply the same product as this would be seen as unethical.

Activity 1 

Explain the benefits and limitations that an organisation will get from each type of audit. 

https://forms.office.com/e/DRGbJ4Duun

Standards – The Role of UKAS

The United Kingdom Accreditation Service is the sole national accreditation body recognised by government to assess, against internationally agreed standards, organisations that provide certification, testing, inspection and calibration services.

UKAS accreditation provides an assurance of the competence, impartiality and integrity of conformity assessment bodies. UKAS accredited certification, testing and calibration and inspection reduces the need for suppliers to be assessed by each of their customers. UKAS’ involvement in international groups provides for mutual recognition which further reduces the need for multiple assessments of suppliers and as a consequence helps to reduce barriers to trade. An organisation accredited by UKAS has proved that it complies with best practice, and that it is competent to deliver a consistently reliable, impartial, and accurate service, which meets the appropriate internationally recognised standard. UKAS would accredit Certification Bodies by assessing them against the standards, such as ISO17021 ‘Conformity Assessment for certification bodies performing audits and the certification of management systems for organisations.

Activity 2

Explain the seven principles of auditing, see ISO19011 as a guide.  

https://forms.office.com/e/RBNuCWKdPv

Activity 3

What does Quality mean to you? In your own words explain the meaning of the word Quality. 

https://forms.office.com/e/h5VkS2syHc

PDCA