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Document Number: Q-1800-1 / Issued:3/11/91
Subject: Auditor Appointment Procedure / Revised: 11/29/10

1.PURPOSE

To establish global requirements for Auditor, Lead auditor, Qualifier and Competency Verifier (CV) qualification, competency and training for all UL DQS Programs/products/standards consistent with the guidelines of ISO 19011 and industry specific requirements.

2.SCOPE

This procedure is applicable to all UL DQS employees and subcontractors affiliate offices, performing assessments under the direction of UL DQS Inc. and where a UL DQS certificate is issued.

3.APPLICABLE DOCUMENTS

Q-1600-1 Control of Records Procedure

ISO 19011 Guidelines for quality and/or environmental management system auditing

4.DEFINITIONS

See Definition Document, Q-0000-3

Qualifier – Person deemed competent to evaluate auditor skills competency. Any qualified lead auditor should be eligible for this role as determined by local audit management

5.GENERAL

5.1.Competency: All Auditors and Lead Auditors are required to demonstrate competency during theappointment process. The standard specific appendices list qualification parameters which meet the minimum requirement for conformance with ISO 19011 and industry specific requirements. Participation in the minimum number of audits does not necessarily assure that a candidate will be competent for a particular level. Competence shall be evaluated during a skills based verification process (i.e. witness audit or other methods that actually can see and determine auditor skills; onsite verification for initial appointment).

5.2Code of Conduct: All auditing personnel are to abide by the following code of conduct:

  1. To act in a strictly trustworthy and unbiased manner in relation to both UL DQS and the organization involved in an assessment.
  2. To disclose to UL DQS any relationships they may have with the organization to be assessed before undertaking any assessment function of that organization.
  3. Not to accept any inducement, gift, commission, discount or any other profit from the organizations assessed, from their representatives, or from any other interested party nor knowingly allow personnel for whom they are responsible to do so.
  4. Not to disclose the assessment team findings or any other information gained in the course of the assessments to any third party, unless authorized in writing by both the auditee and UL DQS to do so.
  5. Not to act in any way prejudicial to the reputation or interest of UL DQS, or to the assessed organization.
  1. The auditor’s character and occupation must be suitable to ensuring, competence, objectivity and neutrality in the assessment process. Consultancy and audit activities need to be separated from each other clearly and unambiguously and should never be within 24 months of any assessment activity.
  2. Breach of Code of Conduct: All Auditors and Lead Auditors shall cooperate fully in any formal inquiry procedure in the event of any alleged breach of this code.
  3. Minimum Basic Qualification Requirements:
  1. Auditor training according to ISO 19011
  2. Four complete audits with at least 20 days audit experience (11 of which are on site) under the supervision and guidance of a lead auditor
  3. Other trainings of equal standing will be accepted in justified exceptional cases, provided the training comprised at least 40 hours.
  4. Education as required by job description.
  5. At least five years practical workplace experience, complete with management, personnel or project responsibility, two of them relating to quality or environmental management. Participation in and being in charge of teams should be in evidence.
  6. Technical Competence – Personal development and further training in specific areas of expertise need to be in evidence), as well as solid know-how in ISO 9001 and possibly other applicable standards or specifications as well as implementation of this know-how.
  7. The minimum requirements may be satisfiedby third party or other equivalent audit experience prior to employment by UL DQS. Prior audit experience combined with UL DQS audit participation experience must meet or exceed the minimum number of audits and audit days defined in the appendices. Regional audit management shall determine the extent to which this experience may be used to satisfy auditor competency requirements. The records of prior audit experience and reasons assuring competency requirements shall be documented with appropriate approvals in the auditor’s competency records.

6.PROCEDURE

6.1.Candidate Auditor Background Review

Prior to developing the competencyassurance plan, regional audit management shall review the candidate’s background to assure they possess the minimum prerequisite education, experience, training, and skills for the relevant standard as defined in section 5.4.

6.2Candidates with prior audit experience: If a candidate possesses prior third party or equivalent audit experience, the extent of experience will be reviewed to determine if it meets the minimum number of audit days required for appointment.

6.3Developing Competency Plan: Regional audit management is responsible for developing a training plan to ensure the basic requirements in section 5.4 are fulfilled. Normally, one on-site skills based assessment audit will be conducted to verify competence.

6.4 Auditor Training and Qualification

In addition to meeting the requirements on section 5.4, the candidate auditor will successfully complete training audits, classroom training and other requirements as defined in the appendices to this procedure. All training will be conducted by a qualified lead audit anddocumented using the appropriate forms listed in the appendices. Prior to being deemed competent, auditors must demonstratetheir audit skills and knowledge on how to audit each process using the appropriate clauses of the applicable standard, in a competent manner consistent with the requirements contained in ISO 19011.

6.5Initial assignment

The appointment decision depends on the evaluation(s) results obtained in the training and competency plan. In case the candidate’s initial assignment does not receive a positive evaluation, additional evaluations may be considered.Audit management will determine on further training audits and update the competency plan accordingly.

Either ISO-9001 or ISO-14001 competence serves as a prerequisite for each of the sector specific standard. The additional sector specific competency requirements are defined in each standard/product appendix.

6.6Auditor Training Process: Auditor training shall be documented on the applicable Auditor in Training and competencyplan as follows:

  1. Competence: Skills and competence must be determined for each standard and auditor level
  2. Feedback: During the training process, evaluators should provide constructive feedback on the candidate’s performance throughout the course of the process.The evaluator and candidate shall discuss and sign the evaluation forms.
  3. MaintainingCompetency Records and Results: The candidate is responsible for maintaining their records and discuss with their audit manager or designee at the completion of each training experience. Regionalaudit management can modifythe training plan to reduce or increase the number of training audits based on the competency results.

d. Monitoring Progress:Regional audit management shall ensure the training plan has been successfully completed.

7.0Appointment Process

7.1When the candidate has successfully completed the training plan and met the competency requirements, the Candidate Auditor must have successfully demonstrated competence through a skills based assessment by an appointed Lead Auditor or Qualifier. Audit management will assign the appropriate level for this verification.

7.2 Recommendation: The evaluator shall review all competence recordsand complete the Auditor Appointment Form (see form for instructions). In order to recommend for appointment, records must show that the candidate meets requirements.

7.3Approval Outcomes: The evaluator will send the approved Auditor Appointment form toan independent Competency Verifier (CV) competent in the standard/industry. The results will be reviewed and recommendation documented on appropriate forms.

a.Competent: If a favorable decision is made, the CVshall documents on the competencyform indicating approval and forwards it to the VP Certifications for final approval. If approved, the competency form will be sent to the Managing Director for appointment.

b. Not Competent: If the decision is unfavorable, the CVwill document what additional action is required prior to the next qualification attempt. Regional audit management will review the decision with the qualified and candidate. If in agreement, they will develop a revised training plan, conduct the required actions and resubmit for approval.

c. Disagreement: If the CV’s decision is different from the recommendation of the qualifier, the CV will contact audit management and explain the reason(s) for not agreeing to the recommendation. Unresolved disagreements may be appealed to the VP Certification for resolution.

Equivalencies: A candidate appointed as a co-auditorare considered competent as an Auditor for Registration Assessments, stage one assessments and Preliminary Evaluations and as a Lead Auditor for Continuous Assessments where the auditor is the only one on the assessment.

7.4Lead Auditor Qualification:The same process identified in section 7 will also be used for appointments. Regional audit management will determine when an auditor is ready to progress to the role of Lead Auditor based on continued competence as an auditor. A training plan will be developed and the Candidate Lead will conduct the required number of audits under the direction of another qualified Lead auditor. If the Candidate has previous experience in other standards or from other third audit assessments, this will be considered as part of the skills based competence verification.A Qualifier appointed in the standard must perform the skills based evaluation. Lead auditor qualification and approval shall be processed in the same manner as Auditor appointment defined in section 7.0.

Equivalencies: Once the candidate has been appointed as a Lead Auditor, they are qualified as a Lead Auditor for Registration Assessments and Preliminary Evaluations and continuous assessments with multiple audit team members.

7.5Qualifiers: A Qualifier is required to perform the qualification evaluation for Lead Auditor status or for Auditor status if reduced training path to one audit or without on-site audit. The requirement to be a Qualifier is as follows:

  1. Qualified as Lead Auditor for Registration Assessments for a minimum of 2 years
  2. 2 or less internal corrective actions issued from the review process in the past year
  3. Demonstrated knowledge of the basic UL DQS program requirements (via interview with Certification staff or via qualification as a Technical Reviewer – TR). The interview shall include requirements from all standards for which the candidate qualifier is certified. This interview may be done by several TR’s to meet this requirement).
  4. Demonstrated ability to train individuals as attested to by regional or program management

Regional audit management may recommend Lead Auditors who meet the above to Qualifier status via nomination process. In cases where Regional audit management wishes to waive any of the above, justification must be made in writing and approved by the VP Certificationor their designee.

7.6Competency Verifiers: The top level of UL DQS management in each global region shall nominate the management/staff which will serve as CV for QMS and/or EMSstandards. The nominator shall justify the candidate’s ability to perform as a CVand submit it to the VP Certification.

The nomination shall confirm that the manager and the CV assume full accountability and responsibility for assuring only qualified competent candidates who meet the ISO 19011 minimum requirements are approved for qualification. CV’s must be competent in the QMS and/or EMSstandards, demonstrate good decision making skills and a high level of integrity.

If the VP Certification concurs with the nomination, the nominee will be required to complete the Competency Verifier Exam and/or be interviewed by the VP Certification or designee.

This Exam and/or interview will be administered by the VP Certification or designee. The outcome will be communicated to the nominator with written justification if the decision is not favorable. If the nominator decides to continue with the nomination, after the actions are taken, the nominee will be retested. Upon successful completion of the Competency Exam, the CVwill be included on a list maintained by Certification and posted on the UL DQS Intranet.

If not approved, the decision will be justified and sent to the regional manager with the final recommendation.

NOTE: The Auditor Evaluation form is used for all onsite witness evaluations. The Nomination Form is used for the annual evaluation, change in auditor status, all appointments or recommendation for cancellation/extension.

7.7Status Codes in Dynamics

Per the nomination process, each auditor will be classified in Dynamics with the following categories:

Availability to audit:

  1. Active – auditor is in good status with either a “Green” or “Yellow” code
  2. Passive – auditor is not in good status and can’t be used with either a “Yellow” or “Red” code

Color coding:

  1. Green – auditor has a valid appointment without constraints
  2. Yellow – auditor has a valid appointment with constraints; constraints shall be documented in Dynamics
  3. Red – auditor does not have a valid appointment and can not be used until authorization is granted per the appointment process
  4. Blue – auditor has preferentialstatus meaning the auditor is given the first choice of an assignment if available.If not available, then an auditor with green status is selected.

Certification coordinator is responsible for entering data into Dynamics

8.0Maintenance and Monitoring

8.1Each auditor must regularly audit in order to maintain his or her audit skills. The minimum number of audits required for maintenance of qualification is indicated in the applicable standard appendix. Completion of the minimum number of audits is to be verified at the time of qualification. If an auditor does not perform at least 4 third party audits per year, includes any management system standard, then the audit would be consider at high risk and onsite competency verification would be required.

8.2For the base QMS and EMSstandards, participation as a Qualifier counts towards the minimum number of audits required. For sector specific standards requiring minimum audit days, the individual must act in the role of auditor or lead auditor for the audit to count towards the maintenance requirement. Where indicated, maintenance of qualification in sector specific standards is verified through external sources.

8.3Qualifier status shall be reviewed at the appointment renewal. This shall include review under the criteria of paragraph 7.5. The Qualifier’s supervisor shall also include a justification of the number of times the Qualifier was used to perform qualifications or observations in the past period, and for whom.

8.4The Regional Manager or Country Leader shall review such records against the performance of the auditors reviewed to ensure that the Qualifier’s assessment is accurate.

8.5Monitoring Competency

8.5.1The auditor evaluation shall include a review of all competency records prior to reconsideration for reappointment. If the information identifies competency issues, an evaluation will be made to see if a special onsite skills base assessment activity is required. This evaluation will include, but is not limited to, all competency records and evaluations over the 3 year period, customer complaints, report review history, accreditation and other audit information, and verifications of competency, etc. A record of this decision will be made and reviewed by the audit management and the Certification dept.

Note: It is required the onsite skills based competency must have occurred during the appointment period in order to recommend reappointment without an onsite skills based assessment being performed

8.5.2The frequency of on-site witness audit will be increased where the auditor’s continued competence is questionable based on report review and/or customer complaint results. Audit managementshall evaluatecompetence for each base standard, QMS and EMS, and each role (Auditor/Lead Auditor) in which they are qualified.

8.5.3Auditors who have not undergone mutual evaluation during the past appointment period (e.g. in cases of assessments in small or very small organizations where no audit team has been assigned), will be recorded in a separate list (monitoring program)are not subject to the above and will require a witness audit unless other skills based evaluations have occurred during the 3 year period by another means.

8.5.4Auditors which have received significantly below-average customer evaluations (less than 50% on the scale) in spite of available, even positive mutual evaluations may be entered into the program at any time when requested by the regional audit management. The same holds true for auditors where customer complaints have been received or in cases of demonstrated non-adherence to UL DQS directives.

8.6Evaluation

8.6.1Regional audit Management shall continually evaluate auditor performance to assureaudit skills are maintained and effectively practiced and to identify any areas of improvement. As part of the base standard requalification, the individual’s performance in each specific standard is to be evaluated by regional management and the applicable Regional Program Leader if one is assigned.

The evaluation will consider the results of the following:

  1. technical report reviews – no major nonconformance’s or less than 3 minors annually
  2. customer feedback (surveys)– 80% minimum
  3. team member feedback (as available per section 8.8)– negative feedback will be reviewed with the evaluator and auditor and actions taken documented
  4. Interview or exam (as applicable based on the results from items 1-3 or required by the specific standard).
  5. CPD – per company goals, standard requirements or competency plan (see section 8.9)

8.6.2If the results are below the minimum score allowed (per evaluation form), an onsite evaluation is requiredfor the base standardqualification as a minimum by a person knowledgeable in the standard. When specified, specificstandardrequirements may be part of the evaluation as either an interview or exam and documented in the evaluation form. The on-site evaluation is conducted in the same manner for initial qualification as described in section 7.

8.6.3The results will be documented and given to regional audit management who will analyze and determine the next actions to be taken. Options are:

  1. another onsite evaluation for either base or specific standard
  2. a more in-depth interview/exam or
  3. Downgrade the auditor’squalification until the required competence has been obtained. Decision/justification and results of the subsequent actions will be documented.

8.7Evaluation by UL DQS customers

8.7.1Following the delivery of services, each customer receives an evaluation sheet, which queries our customer’s experiences with the auditors assigned according to various criteria. The auditor management team records these evaluations separately for each auditor and analyzes them during the first quarter of the following year. Each auditor is provided with a personal analysis of his or her evaluations that is geared to the average evaluation of all UL DQS auditors and the qualitative requirements (min. evaluation 80% with a max. of 100%).