IATCA_QMS_AuditorCriteria

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ISSUE: 2 IATCA Criteria for the Certification of QMS Auditors IATCA-PL-00-019Page 1 of 22

Issue Date 23/09/00 Date of Application 23/09/00

Copyright 2000 The International Auditor and Training Certification Association

International Auditor and Training Certification Association

IATCA CRITERIA

FOR THE CERTIFICATION OF

QUALITY MANAGEMENT SYSTEM

AUDITORS

ISSUE 2


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Copyright 2000 International Auditor and Training Certification Association

International Auditor and Training Certification Association

IATCA CRITERIA FOR CERTIFICATION OF QUALITY

MANAGEMENT SYSTEM AUDITORSClassification

This document is classified as an IATCA Criteria Document.

IATCA Criteria lay down the standard criteria which all members of IATCA undertake to adhere to

in the operation of their auditor certification and / or training course approval programs. TheCriteria will be the primary standards against which members will be assessed for membership in

the IATCA Multilateral Recognition Agreement (MLA). Members of IATCA seeking membership

of the IATCA MLA must conduct their operations in a way which conforms to all the requirements

of the relevant IATCA Criteria.

IATCA Criteria are published on the authority of the Members of IATCA.

Authorisation

Issue No 2 23 September 2000 Application Date: 23 September 2000

Prepared by: WG1 Date: October 1999

Endorsed by IATCA Executive Committee Date: October 1999

Issue 1 Version 1 - January 1996 Application Date: Immediate

Issue 2 Version 1 - June 1997 Application Date: Immediate

Name for Enquiries: John Hulbert Email: [email protected]

Contact Phone: 61 2 49598388 Fax: 61 2 49598399

AVAILABILITY

Copies of this document in English can be accessed on the IATCA Website at www.iatca.com.

Members of IATCA may obtain an electronic version of this document from the Secretariat.

COPYRIGHT


PREFACE

These IATCA Criteria for the Certification of Quality Management System Auditors have been

prepared by the International Auditor and Training Certification Association (IATCA) to provide a
http://www.iatca.com/http://www.iatca.com/http://www.iatca.com/


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common basis for the certification of QMS auditors. These Criteria can be applied by any auditor

certification body that has become a member of IATCA by signing the IATCA Memorandum of

Understanding.

IATCA Criteria have been developed using ISO 10011-2 as a reference standard, taking into

account the collective wisdom of the members of IATCA, and the requirements of both industry

and certification bodies/registrars. These Criteria will be the basis upon which QMS auditors can

be certified as IATCA-graded QMS auditors. The granting of IATCA grades of QMS auditor

certification is only available to those auditor certification bodies that:

1 are members of IATCA;

2 apply IATCA Criteria to certify QMS auditors;

3 use acceptable processes for verifying claims made by applicants for certification;

4 have been subjected to a process of peer evaluation and successfully demonstrated thatthey meet the requirements to become a member of the IATCA Multilateral Agreement

(MLA) Group for Quality Management System (QMS) Auditor Certification Bodies;

5 have signed the IATCA MLA for QMS Auditor Certification Bodies; and

6 demonstrate that they continue to satisfy the above requirements.

The two grades of QMS auditor that IATCA recognise are IATCA QMS auditor, and IATCA

Senior QMS auditor. The use of the IATCA acronym is reserved for the exclusive use of those

auditors who have been certified by IATCA MLA members as meeting IATCA requirements, and

cannot be used for any other purpose that may imply that an auditor has been granted any form of

recognition by IATCA.

Auditors granted IATCA-graded certification will be recognised by all members of IATCA as

being competent to perform audits or lead audit teams, depending on their grade of certification.

This recognition will preclude the need for auditors to seek multiple certifications. However, those

auditors that wish to pursue multiple certifications will still be able to do so, by making separate

application to each IATCA QMS MLA member certification body.

The certification of an IATCA-graded auditor only indicates the individuals competence to

perform audits. The IATCA scheme does not identify the area of technical competence that an

individual may have. The responsibility for identifying that an auditor has the necessary knowledge

and understanding of the technical environment to perform an audit of a specific organisation, will

still rest with those responsible for managing the audit process.

All IATCA documents are published in English. The English version with the most recent issue

and version number and date of each IATCA document is the definitive version. Members of

IATCA whose language of operation is not English have the right to translate all IATCA

documents into their own language of operation.


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For further information on IATCA or IATCA Criteria for auditor certification, contact your local

member of the Association or the Secretariat.


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TABLE OF CONTENTS

AVAILABILITY........................................................................................................................2

SECTION 1 OVERVIEW ................................................................................................................7

1.1 Introduction..............................................................................................................................71.2 IATCA QMS Auditor Grades..................................................................................................7

1.3 Definitions................................................................................................................................8

SECTION 2 REQUIREMENTS FOR CERTIFICATION...............................................................9

2.1 Personal Attributes...................................................................................................................9

2.2 Skills and Knowledge ..............................................................................................................9

2.3 Education .................................................................................................................................9

2.4 Work Experience .....................................................................................................................9

2.5 Quality Experience.................................................................................................................10

2.6 Formal Training .....................................................................................................................10

2.7 Auditing Experience ..............................................................................................................10

2.7.2 Audits and Verification for IATCA QMS Auditor........................................................10

2.7.3 Audits and Verification for IATCA Senior QMS Auditor ............................................11

2.7.4 Verified Audits...............................................................................................................12

2.7.5 Eligible Audits ...............................................................................................................12

2.7.6 Audit Logs .....................................................................................................................13

2.8 Application Sponsors.............................................................................................................13

2.9 Personal Declaration ..............................................................................................................13

2.10 Maintaining Certification...................................................................................................13

2.10.2 For IATCA QMS Auditor..............................................................................................14

2.10.3 For IATCA Senior QMS Auditor ..................................................................................14

2.10.4 Professional Development .............................................................................................142.11 Code of Conduct ................................................................................................................14

SECTION 3 EVALUATION OF APPLICATIONS......................................................................16

3.1 General...................................................................................................................................16

3.2 Desk-Top Review ..................................................................................................................16

3.2.2 Desk-top Review Process ..............................................................................................16

3.2.3 Subcontractors................................................................................................................17

3.2.4 Evaluation (CERTIFICATION) Personnel....................................................................18

3.3 Responsibilities, Selection and Monitoring of Verifiying Auditors ......................................18

3.3.2 Objectives of Verification..............................................................................................18

3.3.3 Responsibilities of the Organization that Designates the Verifying Auditors...............18

3.3.4 Responsibilities of the Verifying Auditors ....................................................................193.3.5 Selection Criteria for Verifying Auditors ......................................................................19

3.3.6 Reporting the Verification Process ................................................................................20

3.3.7 Role of the Auditor Certification Body .........................................................................21

3.4 Interview Process (optional) ..................................................................................................21

3.5 Certificates and/or Identification Cards .................................................................................22

3.6 Cancellation of Certification..................................................................................................22

3.7 Complaints and Appeals ........................................................................................................22


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3.8 Acceptable Alternatives QMS Standards...............................................................................22

3.9 Records ..................................................................................................................................22


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SECTION 1 OVERVIEW

1.1 Introduction

1.1.1 These criteria have been developed by the International Auditor and Training Certification

Association (IATCA) for the purpose of harmonising the practice of Quality Management System

(QMS) auditor certification worldwide.

1.1.2 The principal objective of these IATCA criteria is to provide a uniform approach to the

certification of QMS auditors as the basis for a multilateral recognition framework within IATCA.

1.1.3 The process used in developing these criteria was to establish firstly the key competencies

for QMS auditors and then determine the methods by which those competencies are able to be

demonstrated and measured.

1.1.4 In taking a competency-based approach to certification, there is a much greater dependence

on the process used to assess individual applicants. This approach is designed to enable applicants

for certification to demonstrate their attainment of the requisite knowledge and application of the

required skills in a number of ways. This approach places a greater emphasis on the methods used

to evaluate an applicant and the effectiveness of the evaluation personnel.

1.1.5 This document is divided into three sections:

Section 1. Overview, with introduction, auditor grades and definitions.

Section 2. Certification criteria for each grade of IATCA QMS auditor.

(This section is directed at applicants for certification)

Section 3. Evaluation processes to be used by auditor certification bodies

(This section is directed at auditor certification bodies, but may be used by

others involved in the certification process)

1.2 IATCA QMS Auditor Grades

1.2.1 The criteria described in this document are for:

QMS Auditor certification; and

QMS Senior Auditor Certification

1.2.2 IATCA QMS Auditor grade is awarded to applicants who have satisfied the criteria to

perform all or any part of a QMS audit either alone, or as a member of a team.

1.2.3 IATCA Senior QMS Auditor grade is awarded to applicants who have satisfied the criteria

for IATCA QMS Auditor certification and, in addition, have demonstrated the competencies

required to effectively manage an audit team and co-ordinate all aspects of a complete QMS audit.


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1.3 Definitions

For the purpose of these criteria, the following definitions apply:

QUALITY MANAGEMENT SYSTEM: A System to establish quality policy and qualityobjectives and to achieve those objectives.

QUALITY AUDIT: A systematic and independent examination to determine whether quality

activities and related results comply with planned arrangements and whether these arrangements are

implemented effectively and are suitable to achieve objectives.

QUALITY AUDITOR: A person qualified to perform quality management system audits.

COMPLETE QMS AUDIT: An audit covering the entire audit process as described in ISO 10011

part 1 and including all aspects of ISO 9001 or an equivalent alternative QMS standard.

SPONSOR: Persons of good character whom, through acquaintance with the applicant on a

professional basis, are able to attest to the applicants personal attributes and experience.

DESK-TOP REVIEW: The evaluation by the auditor certification body of documentary evidence

submitted by the applicant in support of the application.

VERIFYING AUDITOR: A verifying auditor is a person designated to witness audits and verify

competence of applicants for certification to IATCA Auditor and IATCA Senior Auditor grades.

Note: Verifying auditor is not a certification grade.


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SECTION 2 REQUIREMENTS FOR CERTIFICATION

The requirements in this section apply to IATCA QMS Auditors and IATCA Senior QMS Auditors.

2.1 Personal Attributes

2.1.1 Applicants for certification shall be able to demonstrate the personal attributes necessary for

the effective and efficient performance of the audit. Desirable personal attributes for QMS auditors

are described in ISO 10011 part 2 Clause 7.

2.2 Skills and Knowledge

2.2.1 Applicants shall, through education, training, work experience, and auditing experience, be

able to demonstrate a satisfactory level of competence in all of the following areas:

i. quality management systems and standards against which audits may be conducted;

ii. audit procedures, processes and techniques.

2.3 Education

2.3.1 Applicants shall have completed at least secondary education (typically 12 years full-time

schooling prior to university entrance) and, in addition, hold an appropriate nationally recognised

award e.g.:

i. an award issued by a recognised institution following completion of a course of

study involving a minimum of 600 hours tuition;

ii. distance learning that results in an award of an academic or technical qualification

recognised as equivalent to (i) above;

iii. corporate/professional membership of a professional institution, which hasacademic/technical qualification requirements nationally recognised as equivalent to

(i) above.

2.3.2 In all cases, documentary evidence of the education claimed will be required.

2.3.3 As an alternative, applicants may be considered for certification if they can demonstrate 6

years full time work experience and satisfy the auditor certification body (by an interview or other

means) that they have achieved a satisfactory level of knowledge relevant to QMS auditing, and

have the personal attributes, the competence, and the communication skills necessary to conduct

and/or manage audits.

Note: Such communication skills are the ability to communicate effectively both orally and in

writing in the language of the audit.

2.4 Work Experience

2.4.1 Applicants for all grades shall have at least 4 years full-time (or part time work that totals 4

years) work experience in a technical, professional or management position of accountability

involving the exercise of judgement. This period shall be increased to 6 years for applicants not

meeting the criterion of the educational requirements.


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2.4.2 Applicants shall provide documentary evidence of work experience. This evidence must be

signed by the applicants employer and verified by the auditor certification body. Alternatively,

this evidence may be presented in the form of employer references giving information on work

actually carried out, positions held, reporting levels and areas of responsibility.

2.5 Quality Experience

2.5.1 Applicants shall have a minimum of 2 years relevant experience in the implementation,

operation, and/or auditing of QMS, which provides the practical knowledge necessary to effectively

audit such QMS. The QMS experience required may be concurrent with work experience, but must

have been achieved in the 6 years immediately prior to initial certification.

2.6 Formal Training

2.6.1 Applicants shall have successfully completed an approved IATCA QMS auditor training

course and passed an approved examination.

2.6.2 Both the course and examination shall comply with IATCA Criteria for the Provision of

QMS Auditor Training Courses.

2.6.3 Training shall be gained in the 3 years immediately prior to the application for QMS

Auditor Grade

2.7 Auditing Experience

2.7.1 To be eligible for certification, all auditing experience shall have been gained in the three-

year period immediately prior to application.

2.7.2 Audits and Verification for IATCA QMS Auditor

2.7.2.1 The totality of auditing experience for an applicants IATCA QMS auditor grade shallinclude:

i. Each element of a QMS standard, e.g. ISO 9001, ISO 9002, or an acceptable alternative

QMS standard (refer to 3.8);

ii. the entire audit process from preparation to reporting in accordance with ISO 10011

Part 1; and

iii. audits of whole operating facilities or business units (i.e. facility which has its own

management and carries out all management functions associated with producing

products or offering services or a range of products or services).

2.7.2.2 The applicant shall have acted as a member of an audit team on at least 4 complete QMSaudits the total duration of which shall be a minimum of 20 days auditing on site.

2.7.2.3 At least 2 of these audits shall not have been less than 2 days duration on site.

2.7.2.4 At least 2 of these audits shall have involved the applicant in making an objective

judgement on the overall effectiveness of the QMS. This shall be a determination of whether the

organisation:


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i. is achieving the objectives stated in the organisations QMS;

ii. adheres to its own policies; and

iii. conforms to the objectives and requirements of the QMS standard.

2.7.2.5 A least one of the 4 audits required for certification shall be witnessed by a verifying auditor

(refer to 3.3).

2.7.2.6 The witnessed audit shall consist of a complete QMS audit involving the applicant in

making an objective judgement on the overall effectiveness of that system.

2.7.2.7 The duration of the witnessed audit shall not be less than 2 days, and the duration of the

verification shall be sufficient to enable the verifying auditor to determine:

i. competence in auditing against each relevant element of a QMS standard e.g. ISO

9001 or an acceptable alternative QMS standard;

ii. competence in performing the entire audit process according to ISO 10011-1;

iii. possession of the personal attributes identified in ISO 100112 clause 7.

2.7.2.8 If during one audit the verifying auditor finds the auditors performance unsatisfactory,

verification shall be extended to another audit(s) until satisfactory performance can be verified.

2.7.3 Audits and Verification for IATCA Senior QMS Auditor

2.7.3.1 Applicants for IATCA Senior QMS Auditor grade shall satisfy all auditing and verification

requirements for IATCA QMS Auditor, and shall have satisfactorily performed as a team leader:

i. conducting and managing 5 complete QMS audits,

ii. with a total duration of at least fifteen (15) days on site, and

iii. involving at least one other QMS auditor, all

iv. in accordance with ISO 10011, Part 1.

2.7.3.2 At least 3 of the above audits shall have involved the applicant in making judgement on the

overall effectiveness of the QMS i.e. on whether the organisation:

i. is achieving the policy objectives as stated in the organization QMS;

ii. adheres to its own policies;

iii. conforms to the objectives and requirements of the QMS standard;

2.7.3.3 At least 3 audits shall have been of 2 or more days duration on site;

2.7.3.4 Auditing experience shall include audits of whole operating facilities or business units (i.e.

facility which has its own management and carries out all management functions associated with

producing products, offering services or a range of products or services); and

2.7.3.5 At least one of the 5 audits required for certification shall be witnessed by a verifying

auditor (refer to 3.3).


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2.7.3.6 The duration of the witnessed audit shall not be less than 2 days and be sufficient to enable

the verifying auditor to determine that the applicant possesses the skills required to manage an

audit, including planning, organizing and coordinating the work of other members of the audit

team.

2.7.3.7 If during one audit the verifying auditor finds the auditors performance unsatisfactory,

verification shall be extended to other audit(s) until satisfactory performance can be verified.

2.7.4 Verified Audits

2.7.4.1 The verifying auditor used to verify an applicants competence for IATCA Senior QMS

Auditor grade shall not be the same verifying auditor that was used to verify the same applicant to

IATCA QMS Auditor grade. Verification of an applicants competence for Auditor and Senior

Auditor grades shall be undertaken at different facilities with different quality management

systems.

2.7.5 Eligible Audits

2.7.5.1 Only independent audits will satisfy the QMS auditing experience requirements. The

auditor and the auditors organization shall have independent management and operating structure

from the audited organisation. Examples of acceptable relationships are:

i. a head office audit of a plant or division;

ii. one division or plant auditing another division or plant;

iii. a customer organization auditing a supplier;

iv. a third party certification audit;

v. a consultant contracted to provide an independent conformance audit; and

vi. an accreditation body audit of the QMS of a certification body which includes

witnessing of the certification bodys evaluation of a certified supplier (or applicant

for certification).

2.7.5.2 All audits shall involve the entire audit process from preparation to reporting.

2.7.5.3 All audits shall be for the purpose of determining conformance, not combined with advice

for developing/improving the QMS.

2.7.5.4 An audit day shall be not less than 6 hours on site and no more than one audit day being

claimed in each 24 hour period.

2.7.5.5 For each audit submitted for certification, the applicant shall either have been conversant

with the language used or, alternatively, have effectively used a competent translator during the

conduct of the audit.

2.7.5.6 The required auditing experience shall be gained at a minimum of 3 different operating

facilities or business units.


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2.7.5.7 Auditing on site includes the opening and closing meetings and the conformance auditing

phase, but excludes planning, document review and preparation of the audit report even when these

functions are performed on the premises of the auditee.

2.7.6 Audit Logs

2.7.6.1 Applicants for certification and for re-certification for both grades shall provide with the

application an audit log, which shall include the following information for each audit submitted:

i. date(s) of audit;

ii. the duration time on-site, and the total duration for the audit; these must be shown

separately;

iii. QMS standard used (e.g. ISO 9001, 9002 or acceptable alternative QMS normative

document refer to 3.8);

iv. type of audit e.g. complete QMS audit defined in 1.3 or partial audit;

v. name and contact details (name, city and zip code, person to be contacted and phone

number) for the auditee;

vi. name and contact details (name, city and zip code, person to be contacted and phone

number) for the organisation that employed the auditor;

vii. name and contact details (name and phone number) for the audit team leader and, in

the case of verified audits, those for the verifying QMS auditor (refer to 3.3);

viii. number of auditors in the audit team;

ix. applicants role in the audit; and

x. elements of the QMS standard audited by the applicant.

2.7.6.2 The audit log shall be signed by either the applicant employer, the auditee or the team leader

for each audit or in case of witnessed audits, by the verifying auditors.

2.8 Application Sponsors

2.8.1 For initial certification each applicant shall be sponsored by either the current employer or

by two alternative persons who have a business relationship with the applicant.

2.8.2 Sponsors shall have direct experience and/or personal knowledge of the applicant relating to

those elements of the application for which they have attested.

2.9 Personal Declaration

2.9.1 All applicants for initial certification and re-certification in any grade shall sign a

declaration whereby they agree to observe and to abide by the Code of Conduct described in clause

2.11 Code of Conduct, and that all complaints regarding their performance have been formally

logged and dealt with in a manner to prevent recurrence.

2.10 Maintaining Certification


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2.10.1 All certified auditors shall periodically re-certify. The period between initial certification

and re-certification shall not exceed three years. Each applicant for re-certification shall maintain

an audit log on which shall be recorded details of each audit undertaken, and details of professional

development undertaken.

2.10.2 For IATCA QMS Auditor

2.10.2.1 For each year of the re-certification period, IATCA QMS Auditors shall submit

documentary evidence either of having performed a minimum of two complete QMS audits or of

having acquired equivalent auditing experience. All audits shall be conducted in accordance with

the principles and practices described in ISO 10011 Part 1.

2.10.2.2 A maximum of eighteen (18) months is permitted between audits submitted for re-

certification.

2.10.3 For IATCA Senior QMS Auditor

2.10.3.1 For each year of the re-certification period, IATCA Senior QMS Auditors shall

submit documentary evidence either of having performed a minimum of two complete QMS audits

or of having acquired equivalent auditing experience. During at least half of the audits required for

re-certification the auditor shall have performed in the capacity of audit team leader, leading a team

of at least one other auditor. All audits shall have been conducted in accordance with the principles

and practices described in ISO 10011-1.

2.10.3.2 A maximum of eighteen (18) months is permitted between audits submitted for re-

certification.

2.10.4 Professional Development

2.10.4.1 Each IATCA QMS Auditor and IATCA Senior QMS Auditor shall, in each year ofthe re-certification period, undertake at least 15 hours of appropriate continuing professional

development. Evidence of that professional development, verified by the provider, or the

applicants employer, shall be submitted as part of the application for re-certification.

2.10.4.2 The professional development records shall show the duration and type of activity

undertaken and details of the provider.

2.10.4.3 In the selection of appropriate professional development, auditors should consider

their personal strengths and weaknesses and identify areas for personal improvement. Professional

development activities undertaken shall be related to quality principles and practices; or improving

auditing methodologies.

2.10.4.4 Further guidance on professional development can be obtained from the auditor

certification body.

2.11 Code of Conduct

2.11.1 All auditors are obligated to improve the standing of the auditing profession by rigorously

observing the following Code of Conduct. Failure to do so may result in suspension or withdrawal

of certification. Auditors undertake:


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i. to act professionally, accurately and in an unbiased manner;

ii. to strive to increase the competence and prestige of the auditing profession;

iii. to assist those in my employ or under my supervision in developing theirmanagement, professional and auditing skills;

iv. not to undertake audits I am not competent to perform;

v. not to represent conflicting or competing interests and to disclose to any client or

employer any relationships that may influence my judgment;

vi. not to discuss or disclose any information relating to an audit unless required by law

or authorised in writing by the audited and the auditing organization;

vii. not to accept any inducement, commission, gift or any other benefit from audited

organisations, their employees or any interested party or knowingly allow colleagues

to do so;

viii. not to intentionally communicate false or misleading information that may

compromise the integrity of any audit or the auditor certification process; and

ix. not to act in any way that would prejudice the reputation of the auditor certification

body or the auditor certification process and to co-operate fully with an inquiry in the

event of any alleged breach of this code.


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SECTION 3 EVALUATION OF APPLICATIONS

3.1 General

3.1.1 Auditor certification bodies shall have a documented process for the effective evaluation ofapplicants competencies as identified in Clause 2.2. The evaluation process shall have the

following two distinct components:

i. a desktop review of documentation submitted by the applicant in support of the

application. The review is intended to determine the applicants conformance with

IATCA requirements on education, formal training, work experience, quality experience

and auditing experience; and

ii a verification of the applicants auditing competence through audit witnessing by a

verifying auditor.

3.1.2 Information contained in applications shall be treated as confidential except where the

applicant has agreed to specific information being released, for example, the information contained

in the register of certified auditors.

3.2 Desk-Top Review

3.2.1 This section describes the process to be used by auditor certification bodies in conducting a

desk top review of applications, and the roll/responsibilities of the personnel involved in the

process.

3.2.2 Desk-top Review Process

3.2.2.1 The auditor certification body shall confirm that each applicant satisfies IATCA

requirements as detailed in Section 2, and verify the accuracy of the information provided in the

application. All verifying auditor reports shall be included with each application.

3.2.2.2 For each initial certification and for each upgrade the verifying auditor reports will also be

evaluated as part of the desk top review process.

3.2.2.3 Verification of the education and training awards shall be as follows:

i. originals which may be returned after sighting by an officer of the auditor certification

body; or

ii. photocopies of the above certified as a true copy of the original by the applicants

employer, sponsor or verifying auditor, or

iii. a letter from the qualifying authority confirming that the award was granted.

3.2.2.4 The auditor certification body shall obtain information from all of the following reference

sources:

i. verifying auditors or audit team leaders;

ii. auditees;

iii. the auditors employer(s) and/or sponsor(s).


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3.2.3.2 Organisations that have entered into such an agreement with an auditor certification body

shall assign the responsibility for endorsing and signing the work and auditing sections of the

application to a senior manager.

3.2.4 Evaluation (CERTIFICATION) Personnel

3.2.4.1 After completion of the desk top review phase applications are evaluated for certification.

Evaluation of applications for certification shall be conducted by persons who are free from bias &

vested interest and have the capability to perform an impartial and objective evaluation. Evaluation

personnel may be either volunteers or employees/contractors of an auditor certification body.

3.2.4.2 The auditor certification body shall ensure that all evaluators are suitably qualified persons

who have received the training necessary to enable them to make reasoned judgments regarding the

applicants conformance with IATCA requirements for qualifications and experience.

3.2.4.3 Two evaluators shall evaluate each application as follows:

i. by working independently then resolving any differences in decisions; or

ii. by one reviewing the work of the other; or

iii. by working as an evaluation team.

3.2.4.4 An auditor certification body shall have documented procedures for the selection and

training of evaluators, and for ensuring that their evaluations of applicants are competently

performed.

3.3 Responsibilities, Selection and Monitoring of Verifiying Auditors

3.3.1 This clause describes the responsibilities, selection criteria and monitoring of performance

of verifying auditors.

3.3.2 Objectives of Verification

3.3.2.1 The objectives of verification are to:

i. verify an applicants competence to ISO 10011. Part 1;

ii. assess an applicants ability to understand the application of an acceptable management

system standard (e.g. ISO 9001) to the organization being audited; and

iii. verify that the applicant demonstrates the personal attributes described in ISO 10011.

Part 2 clause 7.

3.3.3 Responsibilities of the Organization that Designates the Verifying Auditors3.3.3.1 The organization shall:

i. select verifying auditors (in accordance with Clause 3.3.4);

ii. develop procedures acceptable to the auditor certification body for selection of

verifying auditors and for the verification processes used by verifying auditors;

iii. maintain records of verifying auditor reports;


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3.3.3.2 In order to provide an accurate assessment of the competence of the applicant auditor, the

organisation that designates the verifying auditors and/or the auditor certification body shall assure

themselves that the verifying auditors:

iv. perform in an ethical manner; and

v. are objective and impartial in their verification.

3.3.4 Responsibilities of the Verifying Auditors

3.3.4.1 Verifying auditors are responsible for the performance of the verification activities, which

include the objectives of verification according to 3.3.1 and:

i. identifying to their employer, the applicants employer and the applicant any possible

conflicts of interest in the execution of verifications to ensure they are able to provide

an unbiased assessment;

ii. witnessing audit/s and assessing the applicants ability to perform competently inaccordance with the objectives in Clause 3.3.1 through a combination of observation,

discussion with the auditor and audited or any other technique deemed appropriate;

iii. providing the applicant and/or the applicants employer, and their own employer with a

report in a format required by the auditor certification body for each audit witnessed

assessing the applicants competence against the objectives defined in Clause 3.3.1 and

a statement of the applicants acceptability for certification.

3.3.4.2 In the conduct of these responsibilities verifying auditors:

i. may be a member of the audit team, but, shall not participate in auditing activities at the

same time as conducting verification of an applicant(s);

ii. shall comply with the IATCA Code of Conduct;

iii. shall only verify the applicant's ability in understanding the application of the standard

for those elements of the standard that are personally witnessed; and

iv. may perform the assessment of document review and audit reporting activities off-site.

3.3.5 Selection Criteria for Verifying Auditors

3.3.5.1 Persons who can demonstrate a broad range of auditing experience may apply for approval

as verifying auditors to the auditor certification body. The information to be supplied with the

application shall substantiate the following:

i. IATCA Senior QMS Auditors who have been certified to that grade for a minimum of

12 months.

3.3.5.2 In addition to the above qualification, applicants for verifying auditor are required to

demonstrate experience of either:

i. a minimum of 10 audits (complete or partial) as team leader in the last 3 years, or


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ii. responsibility for management and/or maintenance of a management system or audit

program for at least 12 months.

3.3.5.3 In the establishment of new programs other competent persons approved by the auditorcertification body may act as verifying auditors. An example of a suitably qualified person for this

role would be a Lead Auditor certified by a national auditor certification body member of IATCA.

3.3.5.4 Verifying auditors shall be competent to assess the verification objectives identified in

Clause 3.3.1.

3.3.5.5 Verifying auditors shall have the ability to assess the performance of applicants. This may

be demonstrated through various means such as supervisory and/or management experience

involving performance assessment of other people.

3.3.5.6 Verifying auditors shall be required to have an understanding of IATCA criteria for

certification, including the role as a verifying auditor. This may be demonstrated through:

i. organization as per 3.3.2 or auditor certification body procedures that requires objective

evidence of understanding of IATCA criteria for certification; and

ii. training in IATCA criteria and procedures.

3.3.6 Reporting the Verification Process

3.3.6.1 The report on the applicants competence prepared by verifying auditors shall include

details of the assessment against all of the objectives in Clause 3.3.1 and shall indicate those aspects

of the audit and of the management system standard which have been observed. The report shall

include detailed comments on the applicants ability in the following areas for each audit activity

witnessed as applicable:

i. maintain ethical behaviour;

ii. effective communication in the language of audit either directly or through an

interpreter and/or technical experts;

iii. performance of the document review;

iv. performance of audit planning including preparation of working documents;

v. performance at opening meeting;

vi. maintaining flexible but focused attitude during the audit;

vii. understanding of the application of each element of the standard;

viii. interaction with the audited and suitability of data gathering;

ix. handling documents and information in a professional and confidential manner;

x. document findings and notify audited of critical non conformances;

xi. input to decision making process;

xii. participation in team meetings;


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xiii. performance during closing meeting;

xiv. performance of audit reporting;

xv. effective management of the audit process to ensure audit requirements are met (seniorauditor only).

3.3.6.2 The report shall be retained according to 3.9 and be made available according to 3.3.3.1 iii.

3.3.7 Role of the Auditor Certification Body

3.3.7.1 The auditor certification body shall approve the selection of each verifying auditor.

3.3.7.2 The auditor certification body shall:

i. assess the acceptability of persons selected as verifying auditors in accordance with this

document;

ii. conduct a review at least every three years to assure itself that each verifying auditorcontinues to meet the requirements of a verifying auditor defined in this document;

iii. only recognise verifying auditor where the auditor certification body is satisfied that the

verifying auditor is carrying out the role and responsibilities of a verifying auditor in a

satisfactory manner.

3.3.7.3 The auditor certification body shall approve the procedure, that is developed by an

organization that designates verifying auditors, which describes the role and duties of verifying

auditors and the organization that designates them in accordance with this document, prior to

acceptance of verifying auditor reports from verifying auditors selected by that organization.

3.3.7.4 These procedures shall include how complaints against verifying auditors are resolved.

3.4 Interview Process (optional)

3.4.1 The auditor certification body shall determine if an applicant is to be interviewed. An

interview may be required if the process of verification of the information provided with the

application does not fully confirm the accuracy of all the information, or if the educational standard

of the applicant does not meet the requirements of Section 2 of this document, or for any other

reason related to auditor certification criteria.

3.4.2 The auditor certification body shall have a documented process for the selection and training

of interviewers and for the conduct of the interviews.

3.4.3 The following shall be considered in conducting the interview process:

i. selection and training of the interviewers;

ii. timing, place and duration of the interview;

iii. an agreed checklist of the information to be sought from the applicant;

iv. a methodology for the reasonable determination of the knowledge relevant to QMS

auditing and the personal attributes of the applicant;


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v. a credible process of reporting the outcomes of the interview and advising the

interviewee of the result;

vi. an appropriate appeal process for persons interviewed.3.5 Certificates and/or Identification Cards

3.5.1 Certificates and/or identification cards shall state:

! Auditors name ! Certification grade

! Certification expiry date ! Certification body name/logo

! Certification member ! Certification date

!

3.6 Cancellation of Certification

3.6.1 The auditor certification body shall have a documented process for the cancellation of

certification and the withdrawal of certificates.

3.7 Complaints and Appeals

3.7.1 An auditor certification body shall have documented procedures for the consideration of

complaints and appeals against its certification, re-certification and cancellation decisions.

3.8 Acceptable Alternatives QMS Standards

3.8.1 Acceptable QMS standards for the purpose of QMS auditing experience to attain and

maintain certification are ISO 9001/ISO 9002 and /or other standards or normative documents thataddress QMS and are rigorous enough that experience in auditing to the alternative documents can

be readily transferred to auditing to ISO 9001.

3.8.2 The auditor certification body shall conduct a formal review in deciding on equivalent

alternative QMS standards.

3.9 Records

3.9.1 The organisation that designates verifying auditors and the auditor certification body shall

maintain the necessary records to demonstrate conformance to the requirements in this document.

These records shall be maintained for the period determined in the IATCA MLA.

IATCA_QMS_AuditorCriteria

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