TITLE:Guidelines on Criteria for Sub-Contractor for Auditing

BUREAU OF INDIAN STANDARDS

MANAGEMENT SYSTEMS CERTIFICATION /

GUIDELINES

TITLE:Guidelines on criteria for sub-contractor for auditing

DOC: MSC-G7.3-01

ISSUE: 02

DATE: MAR 2006

PAGE: 1 OF 18

PREPARED BY: HEAD (MSCD)

APPROVED BY: ADG/DDG

1. PURPOSE

To ensure that all sub-contractors engaged for auditing meet uniform criteria set out in these guidelines.

2. SCOPE

These guidelines are to set out the criteria for acceptability of sub-contractors required for management system audits (pre-audit, certification/initial, renewal, follow-up, special audits, trial assessment, survey, surveillance audits and any other audits/verification) under any scheme of the Bureau of Indian Standards Management System Certification activity.

3. DEFINITIONS

3.1 Sub-contractor - Any person desirous of becoming Auditor-in-Training/ Auditor/ Team Leader /Lead Auditor/expert for deployment in Quality Management System (QMS), Environmental Management System (EMS), Occupational Health and Safety Management System (OHSMS) and Hazard Analysis Critical Control Point (HACCP) audits and meeting the criteria laid down in this guidelines.

3.2 Application - Prescribed application form to be submitted by the sub-contractor desirous of becoming Auditor-in-Training/Auditor/Team Leader/Lead Auditor under any scheme of Management Systems Certification activity.

3.3 Applicant - Sub-contractor desirous of becoming Auditor-in-Training/Auditor/Team Leader/Lead Auditor under any scheme of Management Systems Certification activity.

3.4 Auditor-in-training - A person who meets the requirements of qualification of an auditor but does not have requisite audit experience as given in these guidelines. Auditor-in-training may be included in the audit team, but should not audit without direction or guidance.

3.5 Auditors – Auditors should have education, work experience, auditor training and audit experience as given in these guidelines and the requirements of IS/ISO 19011:2002.

BUREAU OF INDIAN STANDARDS

MANAGEMENT SYSTEMS CERTIFICATION /

GUIDELINES

TITLE:Guidelines on criteria for sub-contractor for auditing

DOC: MSC-G7.3-01

ISSUE: 02

DATE: MAR 2006

PAGE: 2 OF 18

PREPARED BY: HEAD (MSCD)

APPROVED BY: ADG/DDG

3.6 Team Leaders – An audit team leader should have acquired additional audit experience as given in these guidelines and the requirements of IS/ISO 19011:2002. This additional experience should have been gained while acting in the role of an audit team leader under the direction and guidance of another auditor who is competent as an audit team leader. When acting in the role of an audit team leader, the auditor will be designated as `Team Leader’ in the audit team and the audit team leader who is already qualified will be designated as `Lead Auditor’ in such a team.

3.7 Lead Auditors - An auditor who is competent as an audit team leader who have already acquired additional audit experience as given in these guidelines. The team leader will be designated as `Lead Auditor’ in case an auditor is designated as `Team Leader’ (acting in role of an audit team leader) in the audit team as given in 3.6 above. Otherwise, in case there is no team leader acting in role of an audit team leader, the nominated lead auditor will lead the team and will be designated as `Team Leader and Lead Auditor’.

3.8 Technical Expert - (Audit) person who provides specific knowledge or expertise to the audit team. Technical experts should operate under the direction of an auditor.

Note 1 - Specific knowledge or expertise is that which relates to the organization, the process or activity to be audited, or language or culture.

Note 2 - A technical expert does not act as an auditor in the audit team.

Technical expert will be designated as `Expert’ in the audit team.

3.9Auditor Expert - An auditor who also qualifies as an expert as per the requirements of these guidelines. Such a person will be designated as `Auditor Expert’. (Similarly, Team Leader and Expert; Lead Auditor and Expert may also be designated).

4. REFERENCES

i) Doc:MSC-F7.1-01 Application for Selection of Personnel for Auditing

ii) Doc:MSC-P7.1-01 Procedure for Personnel Selection, Registration and Control

5. CRITERIA FOR PERSONNEL

5.1Sub-contractor auditors including team leaders for QMS/EMS/OHSMS/HACCP should possess the personal attributes like ethical, open-minded, diplomatic, observant, perceptive, versatile, etc., as mentioned in clause 7.2 of IS/ISO 19011:2002 to enable them to act in accordance with the principles of auditing as described in IS/ISO 19011:2002.

BUREAU OF INDIAN STANDARDS

MANAGEMENT SYSTEMS CERTIFICATION /

GUIDELINES

TITLE:Guidelines on criteria for sub-contractor for auditing

DOC: MSC-G7.3-01

ISSUE: 02

DATE: MAR 2006

PAGE: 3 OF 18

PREPARED BY: HEAD (MSCD)

APPROVED BY: ADG/DDG

5.2Sub-contractor auditors including team leaders for QMS & EMS should have the ability to apply the knowledge and skills described in 7.3 of IS/ISO 19011:2002 and gained through the education, work experience, auditor training and audit experience as described in 5.2.1 given below:

5.2.1 Sub-contractor desirous of becoming Auditor-in Training/ Auditor/Team Leader/ Lead Auditor for deployment in Quality Management Systems (QMS) and/or Environmental Management Systems shall be either registered as auditor/team leader/lead auditor as per the current standard of the Management Systems with NRBPT of QCI or International Register of Certificated Auditors (IRCA), U.K. or shall meet the following criteria:

Parameter / Auditor / Auditor in both disciplines / Audit team leader
Education / Degree in Engg. or equivalent; or Post Graduate Degree in Science or any other Degree, Post Graduate Degree, Diploma specified by BIS for selection under Scientific Cadre ’. / Same as for auditor / Same as for auditor
Total Work Experience / 4 Years
(see Note 1) / Same as for auditor
(see Note 1) / Same as for auditor
(see Note 1)
Work Experience in Quality or Environmental Management / Atleast two years of the total four years.
(see Note 2) / Two years in the second discipline (see Note 2 & 3) / Same as for auditor
(see Note 2 & 3)
*Auditor training / 40 h of audit training / 24 h of training in the second discipline
(see Note 4) / Same as for auditor
Audit experience / Four complete audits for a total of at least 20 days of audit experience as an auditor-in-training under the direction and guidance of an auditor competent as an audit team leader. (see Note 5)
The audits should be completed within the last three consecutive years. / Three complete audits for a total of at least 15 days of audit experience in the second discipline as an auditor-in-training under the direction and guidance of an auditor competent as an audit team leader in the second discipline. (see note 5)
The audits should be completed within the last two consecutive years. / #Three complete audits as an auditor for a total of atleast 15 days of audit experience under the direction and guidance of an auditor competent as an audit team leader and three complete audits for a total of at least 15 days of audit experience acting in the role of an audit team leader under the direction and guidance of an auditor competent as an audit team leader. (see Note 5)
#As approved by ADG/DDG Incharge of MSC activity, an auditor may be nominated straight away as acting in the role of an audit team leader in the second discipline without completing the 3 audits of atleast 15 days as an auditor in the second discipline.
The audits should be completed within the last two consecutive years.
*Training course should be approved by IRCA or NRBPT or EARA or IEMA When training course is not approved by IRCA or NRBPT or EARA or IEMA, applicant is required to furnish course contents along with the application form to determine its equivalence to approved courses.

Note 1 : Four years’ work experience may include experience prior to joining BIS or in BIS or experience gained by BIS officer on deputation.

BUREAU OF INDIAN STANDARDS

MANAGEMENT SYSTEMS CERTIFICATION /

GUIDELINES

TITLE:Guidelines on criteria for sub-contractor for auditing

DOC: MSC-G7.3-01

ISSUE: 02

DATE: MAR 2006

PAGE: 4 OF 18

PREPARED BY: HEAD (MSCD)

APPROVED BY: ADG/DDG

Note 2: Work experience in quality -

i)At least two years in a firm prior to joining BIS/outside BIS in the field of quality management out of total 4 years’ work experience

ii)atleast 200 inspections (which may include preliminary inspection, periodic inspection or lot inspection)

iii)atleast two years’ experience in standards formulation in the field related to Quality Management

Work experience in Environmental Management -

i)atleast two years prior to joining BIS/outside BIS in the field of Environmental Management out of total 4 years’ work experience

ii)atleast 200 inspections (which may include preliminary inspection, periodic inspection or lot inspection)

iii)atleast two years’ experience in standards formulation involving issues related to Environmental Management

Note 3: The work experience in the second discipline may be concurrent with the work experience in the first discipline except for atleast 200 inspections, experience of which qualifies for both QMS and EMS.

Note 4 : The training in the second discipline is to acquire knowledge of the relevant standards, laws, regulations, principles, methods and techniques.

Note 5: A complete audit is an audit [initial (certification)/renewal/consultancy/or any other audit] covering all of the steps described in 6.3 to 6.6 of IS/ISO 19011:2002. The overall audit experience should cover the entire management system standard. However, it may not be possible to cover all the clauses of IS/ISO 9001:2000 i.e. entire management system standard as the QMS requirements under clause 7 of IS/ISO 9001 for example design and development, customer property, etc., which are permitted to be excluded may not be covered during audits.

5.3Sub-contractor auditors including team leaders for EMS should have the ability to apply the knowledge and skills described in 7.3 of IS/ISO 19011:2002 and gained through the education, work experience, auditor training and audit experience as described in 5.3.1 given below.

BUREAU OF INDIAN STANDARDS

MANAGEMENT SYSTEMS CERTIFICATION /

GUIDELINES

TITLE:Guidelines on criteria for sub-contractor for auditing

DOC: MSC-G7.3-01

ISSUE: 02

DATE: MAR 2006

PAGE: 5 OF 18

PREPARED BY: HEAD (MSCD)

APPROVED BY: ADG/DDG

Sub-contractor auditors including team leaders for OHSMS should have knowledge and skills in the areas of audit principles, procedures and techniques; Occupational Health and Safety Management System and reference documents; organizational situations; applicable laws, regulations and other requirements relevant to Occupational Health and Safety, generic knowledge and skills for audit team leaders for efficient and effective conduct of audit; specific knowledge and skills of OHSMS terminology, principles, tools, OHSMS science and technology; technical and Occupational Health and Safety aspects of operation as gained through the education, work experience, auditor training and audit experience as described in 5.3.1 given below:

5.3.1Sub-contractor desirous of becoming Auditor-in Training/ Auditor/Team Leader/ Lead Auditor for deployment in Occupational Health and Safety Management Systems (OH&SMS) and/or Environmental Management Systems shall be either registered as auditor/team leader/lead auditor as per the current standard of the Management Systems with NRBPT of QCI or International Register of Certificated Auditors (IRCA), U.K. or shall meet the following criteria:

Parameter / Auditor / Auditor in both disciplines / Audit team leader
Education / Degree in Engg. or equivalent; or Post Graduate Degree in Science or any other Degree, Post Graduate Degree, Diploma specified by BIS for selection under Scientific Cadre / Same as for auditor / Same as for auditor
Total Work Experience / 4 Years
(see Note 1) / Same as for auditor
(see Note 1) / Same as for auditor
(see Note 1)
Work Experience in Environmental Management or Occupational Health & Safety Management / Atleast two years of the total four years
(see Note 2) / Same as for auditor
(see Note 2) / Same as for auditor
(see Note 2)
*Auditor training / 40 h of audit training / 24 h of training in the second discipline
(see Note 3) / Same as for auditor
Audit experience / Four complete audits in any one of the EMS or OHSMS Certification Scheme for a total of at least 20 days of audit experience as an auditor-in-training under the direction and guidance of an auditor competent as an audit team leader. (see Note 4)
The audits should be completed within the last three consecutive years. / Three complete audits for a total of at least 15 days of audit experience in the second discipline as an auditor-in-training under the direction and guidance of an auditor competent as an audit team leader in the second discipline. (see note 4)
The audits should be completed within the last two consecutive years. / #Three complete audits as an auditor for a total of atleast 15 days of audit experience under the direction and guidance of an auditor competent as an audit team leader and three complete audits for a total of at least 15 days of audit experience acting in the role of an audit team leader under the direction and guidance of an auditor competent as an audit team leader. (see Note 4)
#As approved by ADG/DDG Incharge of MSC activity, an auditor may be nominated straight away as acting in the role of an audit team leader in the second discipline without completing the 3 audits of atleast 15 days as an auditor in the second discipline.
*Training course should be approved by EARA or IEMA or IRCA or NRBPT When training course is not approved by EARA or IEMA or IRCA or NRBPT, applicant is required to furnish course contents along with the application form to determine its equivalence to approved courses.

BUREAU OF INDIAN STANDARDS

MANAGEMENT SYSTEMS CERTIFICATION /

GUIDELINES

TITLE:Guidelines on criteria for sub-contractor for auditing

DOC: MSC-G7.3-01

ISSUE: 02

DATE: MAR 2006

PAGE: 6 OF 18

PREPARED BY: HEAD (MSCD)

APPROVED BY: ADG/DDG

Note 1 : Work experience may include experience prior to joining BIS or in BIS or experience gained by BIS officer on deputation.

Note 2: Work experience in Environmental Management Field -

a)atleast two years in a firm prior to joining BIS/outside BIS in the field of Environmental Management out of total 4 years’ work experience

ii)atleast 200 inspections (which may include preliminary inspection, periodic inspection or lot inspection) .

iii) atleast two years’ experience in standards formulation involving issues related to

Environmental Management

Work experience in Occupational Health and Safety Management Field –

i)atleast two years in a firm prior to joining BIS/outside BIS in the field of Occupational Health and Safety Management out of total 4 years’ work experience

ii)atleast 200 inspections (which may include preliminary inspection, periodic inspection or lot inspection

iii)atleast two years’ experience in standards formulation involving issues related to Occupational Health and Safety Management

Note 3 : The training in the second discipline is to acquire knowledge of the relevant standards, laws, regulations, principles, methods and techniques.

Note 4: A complete audit [initial (certification)/renewal/consultancy/or any other audit] is an audit covering all of the steps described in 6.3 to 6.6 of IS/ISO 19011:2002. The overall audit experience should cover the entire management system standard.

5.4Auditors including team leaders for FSMS should have the ability to apply the knowledge and skills described in 7.3 of IS/ISO 19011:2002. They also should have knowledge and skills in the areas of audit principles, procedures and techniques, Food Hygiene, Food Safety, FSMS and reference documents; organizational situations; applicable laws, regulations and other requirements relevant to Food Hygiene, Food Safety, FSMS, generic knowledge and skills for audit team leaders for efficient and effective conduct of audit; specific knowledge and skills of FSMS terminology, principles, tools, HACCP systems; technical aspects of operation related to Food Hygiene, Food Safety, FSMS as gained through the education, work experience, auditor training and audit experience as described in 5.4.1 given below:

BUREAU OF INDIAN STANDARDS

MANAGEMENT SYSTEMS CERTIFICATION /

GUIDELINES

TITLE:Guidelines on criteria for sub-contractor for auditing

DOC: MSC-G7.3-01

ISSUE: 02

DATE: MAR 2006

PAGE: 7 OF 18

PREPARED BY: HEAD (MSCD)

APPROVED BY: ADG/DDG

5.4.1Sub-contractor desirous of becoming Auditor-in-Training/ Auditor/Team Leader/Lead Auditor for deployment in FSMS and HACCP certification shall meet the following criteria:

Parameter / Auditor
(Fresh) / Auditor (if auditor in QMS/EMS/OHSMS/ISMS) / Audit team leader
Education / Degree in Engineering/Technology or Post-graduate degree in science, food microbiology/dairy chemistry/dairy technology/food technology /food chemistry/food and nutrition/chemistry/ agriculture or any other related discipline. / Same as for auditor / Same as for auditor
Total Work Experience / 5 Years
(see Note 1) / Same as for auditor
(see Note 1) / Same as for auditor
(see Note 1)
Work Experience in Food Safety Management / Atleast two years of the total five years.
(see Note 2 ) / Same as for auditor (see Note 2 ) / Same as for auditor
(see Note 2 )
*Auditor training / 40 h of audit training / a) 24 h of FSMS for subject training or 24 h HACCP training + 4 h of Continual Professional Development in FSMS (Note 3) / Same as for auditor
Audit experience / a) Four complete audits for a total of at least 20 days of audit experience as an auditor-in-training under the direction and guidance of an auditor competent as an audit team leader. (see Note 4)
or
100 days experience of HACCP/FSMS consulting activity in atleast two organizations
b) The above should be completed within the last three consecutive years. / a) Three complete audits for a total of at least 5 days of audit in HACCP/FSMS auditing as an auditor-in-training, under the direction and guidance of an auditor competent as an audit team leader. (see note 4)
or
100 days experience of HACCP/FSMS consulting activity in atleast two organizations
or
A suitable combination of number/days of audit and consulting activity with the concurrence of the Competent Authority
b) The above activities should be completed within the last two consecutive years. / a) Three complete audits as an auditor for a total of atleast 15 days in FSMS acting in the role of an audit team leader under the direction and guidance of an auditor competent as an audit team leader. (see Note 4)
b) Atleast 5 audits comprising a total of 10 days in HACCP audits for QMS/EMS/OHSMS team leaders
c) The audits should be completed within the last two consecutive years.
*Training course should be approved by IRCA or NRBPT or EARA or IEMA When training course is not approved by IRCA or NRBPT or EARA or IEMA, applicant is required to furnish course contents along with the application form to determine its equivalence to approved courses.

Note 1: Five years’ work experience may include experience prior to joining BIS or in BIS or experience gained by BIS officer on deputation.