ISO 9001 Lead Auditor Training

Module 3   ISO 9001 Quality Management System Audits 

3.10 RAB/IATCA Code of Conduct

• Act professionally
• Increase competence
• Assist subordinates
• Avoid any role or activity that may cause a conflict of interest
• Disclose conflict of interest
• Don’t accept bribes
• Be truthful, accurate, fair and responsible to the public
• Don’t communicate false or misleading information
• Maintain confidentiality of audit 
• Support Registrar’s reputation
• Disclose who you represent
• Faithfully represent employer or client in professional matters
• Give credit to others
• Don’t misrepresent credentials
• Don’t charge multiple parties for the same service without everyone’s consent
• Not seek employment or consult with a competitor without written approval of both parties

All accredited auditor programs have a professional code of conduct.

ISO 9001 Lead Auditor Training -The above list provides a framework of moral and ethical behavior. It contributes significantly to maintaining personal professional integrity and upholding the status of the profession. All RAB/IATCA registered auditors must abide by this code.

3.11  Registration Process
• Registrar selection
• Application submission
• Objective, scope, and date
• Documentation review
• Pre-assessment (optional)
• Assessment
• Registration
• Surveillance audits
• Re-registration

Select your Registrar on the following basis: reputation; international recognition; accreditation; scope of services; knowledge of your industry or business; proximity; overall costs; support and service; knowledge and experience of the auditors to be assigned; availability; flexibility; and confidentiality.

Determine the scope – what facilities, products, processes, and departments should be included in the system.

Based on your organization’s implementation schedule, agree on a tentative audit date. This can be changed depending on your state of readiness.

Your documentation will be reviewed for conformity with ISO 9001. This review may take more than one iteration.

ISO 9000 Lead Auditor Training - A few months following the documentation review, a pre-assessment may be conducted. This will provide an indication of your state of readiness for the formal assessment. Organizations that undergo pre-assessment generally have a much higher success rate of achieving registration.

If non-conformities are found during an assessment or implementation audit, you will be given time to address them. Registration is obtained on clearing all nonconformities to the Registrar’s satisfaction. A certificate is issued and your organization is listed on the Registrar’s public directory of registered firms.

Surveillance audits are conducted every year to ensure ongoing conformity.

ISO 9000 Training - Re-audit of an organization’s QMS is a requirement of Guide 62. The purpose of re-audit is to verify the overall effectiveness of an organization’s QMS in its entirety. In most cases, it is unlikely that periodic re-audit will extend beyond three years. The re-audit should provide for a review of past performance of the QMS over the period of certification and may include a regular or extended surveillance visit.

"Understanding ISO 9001" provides a detailed explanation of each ISO 9001 clause (requirements).

ISO 9001 FAQ provides answers to commonly asked questions about the ISO 9000 family of quality management standards.