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Quality Management Auditing, ISO 9001:2008 The Programme
The Tutors
Aims of the Programme
The Programme Content
Selection of Students
Assessment Systems and Methods
Learning Outcomes
Equal Opportunity and Anti-Discriminatory Practice
Reading List

This brochure copyright HIMU GUPTA and MARGARET DOCHERTY 1998.
All reproduction rights reserved.

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The Programme

A two day programme offered by Gupta Consultancy.

This course has been especially tailored to the needs of Human Service organisations.

Prepared by: Himu Gupta & Margaret Docherty
European Associates (Brussels): Jef Mostinckx
Jan Casaert
Any queries contact: Himu Gupta
Tel: +44 (0)1508 480732
[email protected]

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The Course Tutors

Lead Tutor

Himu Gupta

Himu Gupta is an Independent Consultant and Trainer in Quality Control and Quality Assurance and is well known both Nationally and Internationally. He was as Assistant Director of Social Services (Q.A.) for Norfolk County Council for five years and has extensive experience as a Senior Manager in the social services as well as considerable knowledge of quality control and assurance both in industry and the caring services.

Himu Gupta holds a B.A. in Economics and History, a Post Graduate Diploma in Applied Social Studies, a Diploma in Management and is a Principle Registered ISO Auditor with the International Register of Certificated Auditors (IRCA).

He is well known in the Social Management field and is the co-author of 'Quality Assurance in Social Care' (Longman and Pitman) as well as having had several articles published on the same subject.

Second Tutor

Margaret Docherty

Margaret Docherty is registered with the International Register of Certificated Auditors (IRCA) as a Principle Registered ISO Auditor. She has worked extensively in Health care; the Norfolk Education Department, where she became a Divisional Manager in the department for social work and education; and latterly for five years as a Principal Officer in Norfolk Social Services setting up and running the Registration and Inspection Unit for Children's Services, including residential children's homes and day care for children under eight years.

Margaret Docherty holds qualifications in Nursing (SRN) and social work (C.Q.S.W).

Other Tutors with expertise in specific areas relevant to the course may, from time to time, also be included in the programme.

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Aims of the Programme

As more organisations invest in the development and implementation of Quality Management Systems, a requirement for a real return on this investment increases. Thus, is order for an organisation to determine whether this investment has been worthwhile, some means of evaluation must be adopted. This evaluation process manifests itself in what is known as the 'organisational audit'. In the first instance this kind of audit can be carried out by an auditor who is independent of the organisation.

Furthermore, customers' expectations have increased during the past decade and are continually increasing at a rapid speed. Therefore, a structured approach to the audit process, together with adequate training of appropriate personnel, are two key elements in developing an adequate audit system. The audit process will serve to verify the implementation and effectiveness of the quality management system and will also identify areas of waste, neglect and duplication of activities, thus providing opportunities for improvement, with the resultant staff/cost benefits.

This training course is designed specifically for personnel who undertake, or are required to undertake, audits of their agency's own quality management system as well as their suppliers and sub-contractors. This is a workshop based programme and has been specifically tailored to the needs of human service organisations. This course is based on the latest National and International Standards for Quality Systems and International Standards for auditing quality systems.

Specifically, the main aims of the course are:

  • to train participants to interpret the Quality Systems ISO 9001:2008 to the standard required for registration with the International Register for Certificated Auditors (IRCA);
  • to enable participants to interpret the Quality Systems for use in human service organisations in order to provide a quality system which can be maintained and properly monitored and evaluated against these standards;
  • to equip participants with auditing skills through the use of workshops, role play and simulations.

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The Programme Content

The course has been developed by Quality and Environmental Development Corporation, an organisation which is registered with the International Register of Certificated Auditors (IRCA) and which provides auditor training. The course (no.A17077), is registered by the IRCA Registration Governing Board, and satisfies the training requirements for individuals seeking registration undier the IRCA Auditor Registration scheme. The course and the examination at the end of the course, adhere strictly to the rules and procedures issued by IRCA and has been specifically tailored to the needs of human service organisations.

The programme is provided over 5 full days which can be either residential or on a daily basis. It offers at least 42 hours of teaching time, 12 hours study and reading time and 2 hours examination time; 56 hours in total.

On completion of the course the successful student will have full knowledge of the Quality Systems Standard ISO 9001:2008. This is a British, European, and International Standard for Quality Systems and the standard required to register with International Register of Certificated Auditors (IRCA). A prime requirement is that the student must have attended a minimum of 37 hours out of the 42 hours teaching time on the programme.

The course will be limited to 20 students and on full courses tuition will be provided by 2 tutors.

A comprehensive reading list is supplied with this brochure and students will be expected through reading this material and from their previous experiences, to have an appreciation of the benefits of providing a quality system and to have a strong commitment to achieving quality in the work of human services agencies.

In addition, students will be expected to provide evidence of having undertaken some research of monitoring work for their organisation which will demonstrate their understanding of quality assurance.

The main thrust of the course will be to cover the eight principles and six mandatory procedures that make up the standard ISO 9001:2008 and to apply them to a service industry setting. An ISO 9001:2008 Quality System can be implemented by organisations by adopting a quality policy, by having measurable quality objectives and by clarifying organisational responsibility and accountability; by preparing service specifications, by defining processes, by undertaking facilitative inspections; by producing good practice procedures and by having a good training and staff development strategy for all personnel.

The course will also cover the philosophy of quality management; developing an appropriate quality management system; audit processes and auditor qualification and training. In addition, the course will place emphasis on the promotion of the concepts of quality which, in turn, will reduce costs to employers, satisfy customers and increase job satisfaction of the workers.

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The Programme Content (continued)

This workshop-based programme is delivered according to the requirements of international guidelines for auditing quality systems.

The learning and teaching strategies will include lectures, role-play, simulation, and the use of case studies, group activities, discussions, seminars and workshops.

All workshops and group activities are supervised or guided in a non-intrusive way which will allow students to develop their thinking and to reach decisions both individually and collectively.

The case study, which is based on human service work, is designed to enable the student to apply the standard ISO 9001:2008 to a service industry setting and to provide the student with a basic working knowledge of the skills involved in auditing quality systems.

Students will be provided with a comprehensive set of course notes covering the above elements of the course. These notes also include examples of audit documentation and a sample quality manual with supporting checklist. In addition, handouts, comprising workshop materials and supplementary information, will be offered to students whenever this is appropriate during the course.

Participants who satisfactorily complete the written examination and other aspects of the programme will have met the training requirements of the International Register of Certificated Auditors and receive an internationally recognised certificate. Those who do not wish to take the examination will receive a certificate of attendance.

It is not necessary for students to buy books for the course. However; advice will be given on the most suitable books to buy for future reference and for the student to gain further knowledge.

The course fee will include course materials, the manual and all handouts. If resident, then the hotel accommodation, breakfast and evening meals will need to be added.

In-house courses for organisations can be negotiated and are likely to be at a lesser cost.

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Selection of Students

To be considered for the course students should have some operational experience in, and an understanding of, quality management, and preferably should have reached the position of, at least, a first line manager. Any professional qualification will be an added advantage.

Students will be expected to demonstrate that they have undertaken some research, evaluation and monitoring during their career; that they have actively involved customers when making choices and decisions and evaluating outcomes; that they can show evidence of good interpersonal relationship skills; and that they are innovative in overcoming organisational restrictions.

The providers of the course reserve the right to approach the student's employers to verify the student's suitability to undertake the course and to ensure the employer's support for the student if necessary.

Each application will be considered solely on the student's qualifications, knowledge and experience, which must meet the criteria outlined above.

The tutors will welcome discussion with those who have limited experience and knowledge of quality management systems with a view to their enabling them to access the course.

Should a student feel there may be difficulty in accessing the course through physical disability or possible discrimination, the providers of the course will be available to discuss this with the student either by telephone or in person. The providers of the course will ensure that the venues selected are, wherever possible, suitable for students with physical disabilities.

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Assessment Systems and Methods

The student's progress is monitored and assessed throughout the course by the course tutors through observation, questioning, discussion and the student's performance in the group situations, role-play and simulations.

Students must achieve at least 70% in the continuous assessment in order to be elligable to sit the course examination. They can only claim successful completion of the course if they achieve 70% in both the continuous assessment and the examination.

The examination paper is designed to test the knowledge gained for the course by the student about the quality systems ISO 9001:2008, the ability of the student to be objective, non-discriminatory, even-handed, fair and to be able to convey audit findings clearly, and concisely; backed up by factual evidence.

The examination is undertaken under strict examination conditions over a 2 hour period. The examination paper is in four sections with a maximum of 100 marks. The student must achieve 40% of possible marks in each of the four sections and gain a pass mark of 70% for the overall examinations.

Where a student achieves between 50% and 69% in the examination, a re-sit will be offered providing the continuous assessment is satisfactory. There is no re-sit option for those students who achieve less that 50%. When a student fails a re-sit he/she must re-take the whole course. For registration purposes the certificate of the successful course completion is valid for 3 years from the date of the course.

The examination papers are marked by the lead auditor and are passed on to a moderator at Quality and Environmental Development Corporation for verification. IRCA has open access to examination papers and can request samples from time to time.

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Learning Outcomes

Students are expected to have gained the following knowledge by the end of the course:

  • understand the eight principles of quality and six mandatory procedures that make up the requirements of a quality system;
  • understand the importance of auditing within a quality system and to know the meaning of the different types of audits;
  • understand the responsibilities of the auditors;
  • understand the philosophy of quality management and the holistic approach;
  • be aware of the human factors in the audit process.

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Students are expected to have gained the following competencies by the end of the course:

  • to be able to prepare, plan and carry out audits of their own management systems (as well as for any other external organisations) and of suppliers and contractors in a sensitive systematic way;
  • to be able to plan and organise an audit against documented procedures;
  • to be able to collect and analyse evidence about processes exercising objectivity;
  • to be able to evaluate, form clear judgements and reports the results of an audit clearly, concisely and correctly;
  • to be able by learning through the course's workshops, activities and role play, to recognise and cope with the human factors in auditing. For example, resistance to change, negative attitudes, defensiveness, disorganisation (intentional or otherwise) aggressiveness and so on;
  • to be able in the same way to respond effectively through praise and recognition to examples of good practice and good organisation;
  • to be able to undertake an audit in a facilitative and constructive manner;
  • to be able to significantly contribute to the development of their organisation and to bring about significant change and improvement to their service by encouraging, positively supporting and being part of the planning, implementing and evaluating of a quality system based on the Quality Systems ISO 9001:2008.
  • To be able, also, by learning through the course's workshops, activities and role play, to recognise and correct any human factors in themselves as auditors which may be detrimental to achieving an objective, purposeful audit. For example over zealousness, allowing distractions, avoiding difficult questions, not listening effectively and so on.

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Equal Opportunity and Anti-Discriminatory Practice

The providers of the course will offer a wide variety of tutoring styles to enable all students to obtain the best benefit from the course. Every student can expect to have equal access to the professional expertise of the tutors throughout the programme. Students, themselves will be encouraged to take group responsibility to respect each other's entitlement to professional expertise.

In workshops, where co-operative work takes place, roles and tasks will be properly structured, negotiated and allocated so that each student will have the opportunity to listen and interact with each other: Particular attention will be paid to the status, gender, disability and race of any student so that no student is placed at a disadvantage and every student is offered the same opportunities.

Equally, in simulations and role-play, each student will be given the opportunity to experience different roles and situations.

In group activities and discussions, each student will be expected to have mutual understanding and respect for the legitimate expectations and values of other students regardless of age, gender; physical ability and characteristics, racial or ethic group, religious beliefs and social background.

Students will be asked, at the end of the course, to complete an evaluation form and the student's opinions together with comments made during the course will be taken into account by the providers when providing future courses.

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Reading List

    1. Quality Assurance in the Voluntary Sector, Rowan Astbury, Charities Evaluation Services
    2. Value Management in the Public Sector, Clive Bone, Longman
    3. Practical Quality Assurance System for Small Organisations, Charities Evaluation Services
    4. A Map of Quality, R. Astbury and H. Mayall
    5. How to Evaluate, Charities Evaluation Service
    6. First Line Management: Staff, Kevin Ford and Sarah Hargreaves,
    7. Effective Use of Team Building, Alan Dearling
    8. Monitoring and Evaluation in the Social Services, David and Suzanne Thorpe
    9. Quest for Equality, Errol John and Barbara Deering
    10. On Becoming a Manager in Social Work, Giles Darvill and Beth Morris, Barbara Hearn (Ed.)
    11. Quality Assurance for Social Care Agencies, Emlyn Cassam and Himu Gupta, Longman/Pitman
    12. Making the Best Use of Consultants, Philip Hope
    13. Getting Started with NVQ: Tackling the Integrated Care, Barry Meteyard
    14. Caring in the Community: A Networking Approach to Community Partnership, Steve Trevillion
    15. NSPCC: Key Issues in Child Protection for Health Visitors and Nurses, Christopher Cloke and Jane Naish (Ed.)
    16. Making Sense of the Children Act (2nd edition), Nick Allen
    17. Quality Assurance, Lionel Stebbing
    18. Quality Management in the Service Industry, Lionel Stebbing
    19. Care Sector Quality (A Training Manual), Steve Casson and Clive George
    20. Modern Quality Management Manual, Clive Bone
    21. Marketing for Social Services Agencies, Dearling, George and Raymond
    22. Culture Change for Total Quality, Steve Casson and Clive George
    23. Total Quality in Child Protection (Manager's Guide), Steve Casson and Bernadette Manning

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