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International Auditor and Training Certification Association

IATCA CRITERIA FOR THE CERTIFICATION OF QUALITY MANAGEMENT SYSTEM AUDITORS

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International Auditor and Training Certification Association

IATCA CRITERIA FOR CERTIFICATION OF QUALITY MANAGEMENT SYSTEM AUDITORS

Classification 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. The Criteria 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 Prepared by: WG1 Endorsed by IATCA Executive Committee Issue 1 Version 1 - January 1996 Issue 2 Version 1 - June 1997 Name for Enquiries: John Hulbert Contact Phone: 61 2 49598388 Application Date: 23 September 2000 Date: October 1999 Date: October 1999 Application Date: Immediate Application Date: Immediate Email: iatcasecr@email.com 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 Copyright 2000 International Auditor and Training Certification Association 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
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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 2 3 4 are members of IATCA; apply IATCA Criteria to certify QMS auditors; use acceptable processes for verifying claims made by applicants for certification; have been subjected to a process of peer evaluation and successfully demonstrated that they meet the requirements to become a member of the IATCA Multilateral Agreement (MLA) Group for Quality Management System (QMS) Auditor Certification Bodies; have signed the IATCA MLA for QMS Auditor Certification Bodies; and demonstrate that they continue to satisfy the above requirements.

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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..............................................................................................................................7 1.2 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 .............................................................................................14 2.11 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 ....................................................................19 3.3.5 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. Section 2. Section 3. Overview, with introduction, auditor grades and definitions. Certification criteria for each grade of IATCA QMS auditor. (This section is directed at applicants for certification) 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 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. 1.2.1 The criteria described in this document are for:

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1.3

Definitions A System to establish quality policy and quality

For the purpose of these criteria, the following definitions apply: QUALITY MANAGEMENT SYSTEM: objectives 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. ii. 2.3 quality management systems and standards against which audits may be conducted; audit procedures, processes and techniques.

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. ii. iii. an award issued by a recognised institution following completion of a course of study involving a minimum of 600 hours tuition; distance learning that results in an award of an academic or technical qualification recognised as equivalent to (i) above; corporate/professional membership of a professional institution, which has academic/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 threeyear 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 shall include: i. ii. iii. Each element of a QMS standard, e.g. ISO 9001, ISO 9002, or an acceptable alternative QMS standard (refer to 3.8); the entire audit process from preparation to reporting in accordance with ISO 10011 Part 1; and 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 QMS audits 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. ii. iii.

is achieving the objectives stated in the organisations QMS; adheres to its own policies; and 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. ii. iii. iv. conducting and managing 5 complete QMS audits, with a total duration of at least fifteen (15) days on site, and involving at least one other QMS auditor, all 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. ii. iii. is achieving the policy objectives as stated in the organization QMS; adheres to its own policies; 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. ii. iii. iv. v. vi. a head office audit of a plant or division; one division or plant auditing another division or plant; a customer organization auditing a supplier; a third party certification audit; a consultant contracted to provide an independent conformance audit; and 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. ii. iii. iv. v. vi. vii. date(s) of audit; the duration time on-site, and the total duration for the audit; these must be shown separately; QMS standard used (e.g. ISO 9001, 9002 or acceptable alternative QMS normative document refer to 3.8); type of audit e.g. complete QMS audit defined in 1.3 or partial audit; name and contact details (name, city and zip code, person to be contacted and phone number) for the auditee; name and contact details (name, city and zip code, person to be contacted and phone number) for the organisation that employed the auditor; 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); applicants role in the audit; and elements of the QMS standard audited by the applicant.

viii. number of auditors in the audit team; ix. x.

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 recertification. 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 recertification. 2.10.4 Professional Development 2.10.4.1 Each IATCA QMS Auditor and IATCA Senior QMS Auditor shall, in each year of the 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. ii. iii. iv. v. vi. vii.

to act professionally, accurately and in an unbiased manner; to strive to increase the competence and prestige of the auditing profession; to assist those in my employ or under my supervision in developing their management, professional and auditing skills; not to undertake audits I am not competent to perform; not to represent conflicting or competing interests and to disclose to any client or employer any relationships that may influence my judgment; 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; 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 of applicants 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 a verification of the applicants auditing competence through audit witnessing by a verifying auditor.

ii

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. ii. iii. originals which may be returned after sighting by an officer of the auditor certification body; or photocopies of the above certified as a true copy of the original by the applicants employer, sponsor or verifying auditor, or 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. ii. iii. verifying auditors or audit team leaders; auditees; the auditors employer(s) and/or sponsor(s).
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3.2.2.5 Where the auditor certification body is not able to obtain information from all the above reference sources the reasons shall be documented. The auditor certification body shall confirm that reference sources are appropriate to verify the accuracy of the evidence submitted by the applicant. 3.2.2.6 Telephone interviews or other appropriate means shall be used as part of the evaluation of each application. For each initial application, re-certification and upgrade, the accuracy of the following information submitted shall be verified through the desktop review: i. ii. iii. personal attributes relevant to the conduct of the audit; QMS experience including audit team leader experience (if applicable); work experience, including: a. nature of the business of the organisation; b. dates of commencement and termination of employment; and c. responsibilities during employment. 3.2.2.7 For each initial application, and for each application for an upgrade, the accuracy of the audit experience information submitted shall be verified for at least two of the audits recorded on the audit log. This shall include verification of all of the following: i. ii. iii. iv. v. vi. vii. ix. applicants competence in performing all phases of the audit; audit dates and audit duration on-site; QMS standard used; type of audit conducted (e.g. complete or partial audit); audit performed in accordance with ISO 10011; applicants role in the audit; number of auditors in the audit team; auditors relationship to audited organisation.

viii. name of the audit team leader; and 3.2.3 Subcontractors 3.2.3.1 Organisations who employ QMS auditors may review the information relative to the criteria described in Clauses 3.2 and 3.2.1 and make such reviews and supporting records available to auditor certification bodies. Auditor certification bodies may accept these reviews in lieu of the equivalent review process conducted by themselves. This arrangement shall be based on a contractual agreement between the organisation and the auditor certification body that stipulates the specific responsibilities that apply.

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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. ii. iii. by working independently then resolving any differences in decisions; or by one reviewing the work of the other; or 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. ii. iii. verify an applicants competence to ISO 10011. Part 1; assess an applicants ability to understand the application of an acceptable management system standard (e.g. ISO 9001) to the organization being audited; and 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 Auditors 3.3.3.1 The organization shall: i. ii. iii. select verifying auditors (in accordance with Clause 3.3.4); develop procedures acceptable to the auditor certification body for selection of verifying auditors and for the verification processes used by verifying auditors; 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. v. perform in an ethical manner; and 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; witnessing audit/s and assessing the applicants ability to perform competently in accordance 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; 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. 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); shall comply with the IATCA Code of Conduct; 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 may perform the assessment of document review and audit reporting activities off-site.

ii.

iii.

3.3.4.2 In the conduct of these responsibilities verifying auditors: i. ii. iii. iv.

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 auditor certification 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. ii. organization as per 3.3.2 or auditor certification body procedures that requires objective evidence of understanding of IATCA criteria for certification; and 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. ii. iii. iv. v. vi. vii. ix. x. xi. xii. maintain ethical behaviour; effective communication in the language of audit either directly or through an interpreter and/or technical experts; performance of the document review; performance of audit planning including preparation of working documents; performance at opening meeting; maintaining flexible but focused attitude during the audit; understanding of the application of each element of the standard; handling documents and information in a professional and confidential manner; document findings and notify audited of critical non conformances; input to decision making process; participation in team meetings;
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viii. interaction with the audited and suitability of data gathering;

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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 (senior auditor 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. ii. iii. assess the acceptability of persons selected as verifying auditors in accordance with this document; conduct a review at least every three years to assure itself that each verifying auditor continues to meet the requirements of a verifying auditor defined in this document; 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. ii. iii. iv. selection and training of the interviewers; timing, place and duration of the interview; an agreed checklist of the information to be sought from the applicant; 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. vi. 3.5

a credible process of reporting the outcomes of the interview and advising the interviewee of the result; an appropriate appeal process for persons interviewed.

Certificates and/or Identification Cards

3.5.1 Certificates and/or identification cards shall state: ! ! ! 3.6 Auditors name Certification expiry date Certification member ! ! ! ! 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 that address 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. Certification grade Certification body name/logo Certification date

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