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EVALUATION AND APPROVAL OF AUDITORS

Deliverable 4.4.3: Design of a governmental Social Responsibility and Quality
Certification System



















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TABLE OF CONTENTS
1. Scope and fi eld of Appli cation ___________________________________ 3
2. Normati ve references _______________________________________ 3
3. Terms and definiti ons _______________________________________ 3
3.1 certi fied cli ent _____________________________________________ 3
3.2 impartiality ________________________________________________ 3
3.3 management system consultancy ______________________________ 3
3.4 third-party certi fi cation audi t ________________________________ 4
3.5 cli ent _____________________________________________________ 4
3.6 auditor ___________________________________________________ 4
3.7 competence ________________________________________________ 4
3.8 guide _____________________________________________________ 4
3.9 observer __________________________________________________ 4
3.10 technical area______________________________________________ 4
4.Responsibili ties ________________________________________________ 4
5. Competence requirements for auditors _________________________ 5
5. 1 Audi tors grade _____________________________________________ 5
5. 2 Requi rements f or Audi tors and Techni cal Experts _______________ 5
6. Descripti on of the Procedure _________________________________ 7
6. 1. Sel ecti on procedure of audi tors / techni cal experts ______________ 7
6. 2 Pre-assessment candi date audi tors / techni cal experts ____________ 7
6. 3 Eval uati on of audi tors / techni cal experts for i ni ti al certi f i cati on or
upgrade _________________________________________________________ 7
6. 4 Eval uati on of audi tors to mai ntai n the audi tor status ____________ 8
6. 5 Renewal of audi tor perf ormances _____________________________ 8
6. 6 Audi ts/ techni cal experts expel __________________________________ 8
6. 7 Certi f i cati on Body database _____________________________________ 8












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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.


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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.


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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
member of an audit team
Lead Auditor Competent to lead an audit
team
Additionally recognizes the
competency of an auditor in
the management of an audit
team
5.2 Requirements for Auditors and Technical Experts

5.2.1 Personal Attributes, knowledge and skills, work experience

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
Personal Attributes Criteria
Requirements
/Assessment Methodology
Ethical
Demonstrates the ability to
perform the audits in a fair,
truthful, sincere, honest and
discreet environment.
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

Open-minded-
Shows the will to consider
alternative ideas or points of
view
Diplomatic
Shows perception in dealing
with people
Observant
Demonstrates awareness of
the dynamics of physical
surroundings and activities
Perceptive
Demonstrates instinctively
awareness of, and ability to
understand, situations
Versatile
Demonstrates the capacity to
adjust readily to different
situations
Logical
Makes decisions based on
facts and reasoned logic
Tenacious
Demonstrate persistency and
focus on achieving objectives
Decisive
Reaches timely conclusions
based on logical reasoning
and analysis


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Knowledge & Skill:
Audit Principles,
procedures and
techniques
ISO 19011 7.3.1 a)
Audit Training
Audit experience
Management System
and reference
Documents
ISO 19011 7.3.1 b)
Audit Training
Work experience
Audit experience
Organization
situations
or status
ISO 19011 7.3.1 c)
Work experience
Education
Applicable laws,
regulations and other
Requirements
ISO 19011 7.3.1 d)
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.






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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


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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).






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TABLE 2:MINIMUM REQUIREMENTS FOR SELECTION AND UPDATING
OF AUDITORS

REQUIREMENTS Trainee
auditor
Auditor Lead auditor Technical
expert
Academic
qualifications
Secondary education
tertiary
education
Total work experience
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 4
years of work
experience in
related
knowledge
area
Specific
work experience
At least 2 years of working experience in quality and social
responsibility issues
Auditor Training
Seminars in audit and MS disciplines of duration 40 h or post
graduate degree in Management System

Audit experience -
4 audits of at least 20
days (the 16 in situ), as
trainee the last 3 years,
under the supervision of
lead auditor
3 audits of at least
15 days (the 12 in
situ) as auditor the
last 2 years

Continual professional
development
-
45 h of continual
professional development
the last 3 years
30 h of continual
professional
development the last
2 years

Customer Perception Average score : 8/10 average score: 8/10
Performance
Evaluation
good good


TABLE 3: REQUIREMENTS RELATED TO AUDITORS 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
development
10 h /year training for further
professional development
20 h /year training for further
professional development
Customer Perception
Average score: 8/10 from
customer satisfaction
questionnaires
Average score: 8/10 from customer
satisfaction questionnaires
Performance
Evaluation
good good






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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.