EVALUATION AND APPROVAL OF AUDITORS Deliverable 4.4.3: Design of a governmental Social Responsibility and Quality Certification System 1
TABLE OF CONTENTS 1. Scope and field of Application 3 2. Normative references 3 3. Terms and definitions 3 3.1 certified client 3 3.2 impartiality 3 3.3 management system consultancy 3 3.4 third-party certification audit 4 3.5 client 4 3.6 auditor 4 3.7 competence 4 3.8 guide 4 3.9 observer 4 3.10 technical area 4 4.Responsibilities 4 5. Competence requirements for auditors 5 5.1 Auditors grade 5 5.2 Requirements for Auditors and Technical Experts 5 6. Description of the Procedure 7 6.1. Selection procedure of auditors / technical experts 7 6.2 Pre-assessment candidate auditors / technical experts 7 6.3 Evaluation of auditors / technical experts for initial certification or upgrade 7 6.4 Evaluation of auditors to maintain the auditor status 8 6.5 Renewal of auditor performances 8 6.6 Audits/ technical experts expel 8 6.7 Certification Body database 8 2
EVALUATION AND APPROVAL OF AUDITORS 1. Scope and field of Application One of the critical aspects for the success of the certification activity and its sustainability in the medium and long term is the competence of the certification bodies auditors. This procedure aims to determine the criteria and methodology for the selection, periodic evaluation and upgrading of auditors, lead auditors and technical experts used for certification issues, so that the outcomes of audits to be objective, consistent, fair and credible The audit covered by this procedure is third party audits. 2. Normative references For the application of the present documents, the following standards are necessary. ISO 9000 Quality Management Systems - Fundamentals and Vocabulary," ISO 19011 Guidelines for quality and/or environmental management systems auditing. 3. Terms and definitions For the needs of present procedure the definitions are referred to the Management Systems Standards, and more especially in the ISO 9000 Quality Management Systems - Fundamentals and Vocabulary," and the standard ISO 19011 Guidelines for quality and/or environmental management systems auditing. 3.1 certified client organization whose management system has been certified 3.2 impartiality actual and perceived presence of objectivity NOTE 1 Objectivity means that conflicts of interest do not exist or are resolved so as not to adversely influence subsequent activities of the certification body. NOTE 2 Other terms that are useful in conveying the element of impartiality are: objectivity, independence, freedom from conflict of interests, freedom from bias, lack of prejudice, neutrality, fairness, open-mindedness, even-handedness, detachment, balance. 3.3 management system consultancy participation in designing, implementing or maintaining a management system EXAMPLES preparing or producing manuals or procedures, and giving specific advice, instructions or solutions towards the development and implementation of a management system. NOTE Arranging training and participating as a trainer is not considered consultancy, provided that, where the course relates to management systems or auditing, it is confined to the provision of generic information that is freely available in the public domain; i.e. the trainer should not provide company-specific solutions. 3
3.4 third-party certification audit audit carried out by an auditing organization independent of the client and the user, for the purpose of certifying the client's management system NOTE 1 In the definitions which follow, the term audit has been used for simplicity to refer to third-party certification audit. NOTE 2 Third-party certification audits include initial, surveillance, re-certification audits, and can also include special audits. NOTE 3 Third-party certification audits are typically conducted by audit teams of those bodies providing certification of conformity to the requirements of management system standards. NOTE 4 A joint audit is when two or more auditing organizations cooperate to audit a single client. NOTE 5 A combined audit is when a client is being audited against the requirements of two or more management systems standards together. NOTE 6 An integrated audit is when a client has integrated the application of requirements of two or more management systems standards into a single management system and is being audited against more than one standard. 3.5 client organization whose management system is being audited for certification purposes 3.6 auditor person who conducts an audit 3.7 competence ability to apply knowledge and skills to achieve intended results 3.8 guide person appointed by the client to assist the audit team 3.9 observer person who accompanies the audit team but does not audit 3.10 technical area area characterized by commonalities of processes relevant to a specific type of management system 4.Responsibilities Top management and the personnel of the Certification Body. 4
5. Competence requirements for auditors 5.1 Auditors grade The following two auditors grades are defined: Grade Competence Comments Auditor Competent member of an audit team Recognizes the competency of an auditor and their contribution as an effective Lead Auditor Competent to lead an audit team 5.2 Requirements for Auditors and Technical Experts 5.2.1 Personal Attributes, knowledge and skills, work experience member of an audit team Additionally recognizes the competency of an auditor in the management of an audit team The requirements related to personal attitudes, Knowledge and skills, and work experience for auditor are shown in the following table 1: TABLE 1 : PERSONAL ATTRIBUTES-CRITERIA-ASSESSMENT Requirements Personal Attributes Criteria Ethical Open-minded- Diplomatic Observant Perceptive Versatile Logical Tenacious Decisive Demonstrates the ability to perform the audits in a fair, truthful, sincere, honest and discreet environment. Shows the will to consider alternative ideas or points of view Shows perception in dealing with people Demonstrates awareness of the dynamics of physical surroundings and activities Demonstrates instinctively awareness of, and ability to understand, situations Demonstrates the capacity to adjust readily to different situations Makes decisions based on facts and reasoned logic Demonstrate persistency and focus on achieving objectives Reaches timely conclusions based on logical reasoning and analysis /Assessment Methodology Partners able to implement a process which demonstrates effective evaluation of: Personal attributes Observation and/or Report reviews Post-audit review Positive and Negative feedback 5
Knowledge & Skill: Audit Principles, procedures and techniques Management System and reference Documents Organization situations or status Applicable laws, regulations and other Requirements ISO 19011 7.3.1 a) ISO 19011 7.3.1 b) ISO 19011 7.3.1 c) ISO 19011 7.3.1 d) Audit Training Audit experience Audit Training Work experience Audit experience Work experience Education Work experience in the related knowledge area Education: Degrees, diplomas o vocational certificates in the related knowledge area 5.2.2 Education and work experience Applicants should have completed secondary education and, in addition, hold a relevant nationally or internationally recognized tertiary qualification such as a degree, diploma or vocational certificate relevant to the certification programme and public sector area(s) of intended engagement. Alternatively, demonstration that through work experience and/or other means the trainee has achieved an educational standard that enables the effective conduct and management of relevant certification program audits can be accepted. 5.2.3 Audit training Applicants should have completed 40 hours of recognized training in auditing applicable to the primary training management system discipline. For a second discipline trainee auditors shall complete additional and specific management system training. This should cover auditing procedures, specific risk assessment methodology, applicable documentation and records, applicable standards, applicable legal requirements and technical and operational issues inherent to a MS 5.2.4 Continual professional development Under the term of continual professional development it is considered maintenance and continuous improvement of professional skills, personal qualities and qualifications relative to the area of the audits. To select the most appropriate method for continual professional development, the auditor must evaluate the capacity and identify areas for personal improvement. Activities for continual professional development could be: Participation in seminars, conferences, meetings, workshops / training e- learning for auditors, seminars in standardization issues, procedures, regulations and good practices. 6
5.2.5 Customer Perception This criterion refers to the average score attributed to the auditor /lead auditor/ technical expert by customers, as derived from data processing of customer satisfaction questionnaires. 5.2.6 Performance Evaluation Performance evaluation of an auditor /lead auditor/ technical expert takes place during on the one hand the on site audit and on the other hand from the submitted audit reports. All the auditors of any grade are periodically evaluated at least once every three years or more frequently if necessary, and certainly before any upgrading. 6. Description of the Procedure 6.1. Selection procedure of auditors / technical experts The need to find a candidate auditor/ technical expert derives as consequence of increasing demand for audits, the requirements for specialized knowledge and experience and the need for effective coverage of different geographical areas. The needs and specific requirements of the management system are specified from the Certification Manager who set the criteria. The selection of candidates auditors is made by all appropriate means used for hiring personnel. 6.2 Pre-assessment candidate auditors / technical experts Periodically the Certification Manager with the relevant Administrative Responsible undertake the evaluation of the applications of auditors using the set of criteria. The selection is carrying out on the basis of competence, training, qualification and experience. If it is needed to conduct an interview with the candidates, this will take place at determined place and time. Those who clearly do not meet the criteria are withdrawn and are informed in writing. The certification body shall possess and maintain updated records on assessment of auditors and technical experts consisting of name and address, Position held in the work, Educational qualifications and professional status, Experience and training in each field of competence of certification issues, Date of updating records, Performance appraisal. 6.3 Evaluation of auditors / technical experts for initial certification or upgrade The evaluation of lead auditors/auditors/technical experts, either for initial audit or for upgrading within a certification status is carrying out by an Evaluation Committee appointed by the Certification Manager. The Evaluation Committee, having reviewed the submitted applications and the relevant documentation, suggests the Certification management to approval the list of applicants and 7
awards the grade of auditors and technical experts. The decision made is communicated to candidates, who are invited to sign the relevant agreement and the Code of Conduct, before the beginning of collaboration, proving the necessary confidentiality and independence from commercial and other interests and any prior and/or present link with clients.. The positive decision to grant certification to a given discipline and grade is forwarded to the relative database of the Certification Body to be modified. If the decision is negative the status in the data base is modified accordingly. 6.4 Evaluation of auditors to maintain the auditor status To maintain the certification status, all certified auditors, at the beginning of each year, are required to demonstrate ongoing competence against certification maintenance criteria set for the grade of certification awarded. If a candidate does not meet the criteria of maintenance the status, he will be informed in writing about. This information identifies the weak points and enables the partner to improve during the next period after additional training, work and/or experience required following which there should be a reevaluation. 6.5 Renewal of auditor performances Based on the positive results of ongoing auditor performance, monitor carried out by the Certification Body, there will be renewal of the auditor certification for a new validity period. Two months before certification is due to expire, the Certification body examines the auditors performances and attributes the status accordingly. 6.6 Audits/ technical experts expel An auditor / technical expert shall be removed from the lists of certified auditors for the following reasons: Violation of terms of cooperation (contract and code of conduct) Improper behavior during audit Work in a competitive company Serious complaint on behalf certified customers, or third party etc. Corruption Unethical behaviour Repeated denied to participate in audits The decision for deletion is made by the Evaluation Committee, and will be notified in writing to the respective auditor. The relative database of the Certification Body is updated accordingly. 6.7 Certification Body database The database of the certification Body provides information about certified auditors data (personal and professional). 8
TABLE 2:MINIMUM REQUIREMENTS FOR SELECTION AND UPDATING OF AUDITORS REQUIREMENTS Academic qualifications Total work experience Specific work experience Auditor Training Audit experience - Trainee auditor Secondary education Auditor Lead auditor Technical expert tertiary education At least 4 years of work experience in related knowledge area At least 5 years experience in technical and managerial job position, demanding ability of criticism, to resolve problems and communication skills with customers and other interested parties At least 2 years of working experience in quality and social responsibility issues Seminars in audit and MS disciplines of duration 40 h or post graduate degree in Management System 4 audits of at least 20 3 audits of at least days (the 16 in situ), as 15 days (the 12 in trainee the last 3 years, situ) as auditor the under the supervision of last 2 years lead auditor 30 h of continual 45 h of continual Continual professional professional - professional development development development the last the last 3 years 2 years Customer Perception Average score : 8/10 average score: 8/10 Performance Evaluation good good TABLE 3: REQUIREMENTS RELATED TO AUDITOR S STATUS MAINTENANCE REQUIREMENTS AUDITOR LEAD AUDITOR EVIDENCES EVIDENCES Audit experience 5 audits of MS / year 3 audits of MS as lead auditor /year Continual professional 10 h /year training for further 20 h /year training for further development professional development professional development Customer Perception Average score: 8/10 from Average score: 8/10 from customer customer satisfaction satisfaction questionnaires questionnaires Performance Evaluation good good 9
ANNEX A: EVALUATION COMMITTEE REGULATION 1. Scope It is determined in the ISO 19011and the present procedure. 2. Composition/Duration Following the decision of the Certification Board a committee of 3 members is appointed for a period of 3 years. 3. Meetings / Quorum / Decision Making The members are invited by the chairman for the examination of relative issues. The meeting is considered to be in quorum when 2 / 3 of the members are presented. The decisions are made by a simple majority of members present. 4. Minutes/Decisions The minutes and the decisions made are registered, distributed and implemented under the responsibility and supervision of Chairman. 5. Appeals Appeals can be lodged against decisions made by the Committee through the responsible secretary. These will be communicated to the chairman who will manage their resolutions. If they are considered unsatisfactory, the ultimate resolution of the appeal process rests within Certification Board. 10