BUREAU OF INDIAN STANDARDS
MANAGEMENT SYSTEMS CERTIFICATION /GUIDELINES
TITLE: GUIDELINES ON CRITERIA FOR BIS PERSONNEL FOR AUDITING
DOC: MSC-G7.1-01
/ ISSUE: 03 /DATE: JAN 2009
/PAGE: 1 OF 4
PREPARED BY: HEAD (MSCD)
/APPROVED BY: ADG
1. PURPOSE
To ensure that all BIS personnel for auditing meet uniform criteria set out in these guidelines.
2. SCOPE
These guidelines provide criteria for selection of BIS personnel required for Management System audits (such as adequacy, preliminary, pre-audit, certification/initial, renewal, follow-up, special audits, trial assessment, survey, surveillance audits and any other audits/ verification) i.e. auditors and experts under various Scheme of the Bureau of Indian Standards Management Systems Certification (BIS MSC) activity.
3. DEFINITIONS
3.1 Personnel - BIS personnel desirous of becoming auditing personnel for carrying out management system audits under BIS MSC Schemes, holding the designation of at least Scientist `B’ or Assistant Director and above in Group `A’. BIS personnel desirous of becoming Technical Experts in specific scope sectors may hold any designation in BIS.
3.2 Application - Application submitted by the BIS personnel on the prescribed proforma for being selected as auditing personnel under various Schemes of BIS MSC.
3.3 Applicant – BIS personnel desirous of being selected as personnel for auditing under any Scheme of BIS MSC having the requisite competence for Management System(s) and/or technical areas.
3.4 Auditor-in-training - Personnel having education, work experience and auditor training but does not have requisite audit experience. Auditor-in-training may be included in the audit team, but should not audit without direction or guidance of a Team Leader/Auditor.
3.5 Auditor – Personnel having demonstrated personal attributes and demonstrated ability to apply knowledge and skills of relevant Management Systems based on requisite education, work experience, auditor training and audit experience.
3.6 Team Leader-in-Training –Auditor acting in the role of an ‘Audit Team Leader’ under the direction and guidance of a Lead Auditor (who is already competent as an ‘audit team leader’) for gaining additional audit experience as team leader. Team Leader-in-training shall be holding the designation of at least Scientist `D’ or Joint Director and above in Group `A’.
/BUREAU OF INDIAN STANDARDS
MANAGEMENT SYSTEMS CERTIFICATION /GUIDELINES
TITLE: GUIDELINES ON CRITERIA FOR BIS PERSONNEL FOR AUDITING
DOC: MSC-G7.1-01
/ ISSUE: 03 /DATE: JAN 2009
/PAGE: 2 OF 4
PREPARED BY: HEAD (MSCD)
/APPROVED BY: ADG
3.7 Team Leader – Member of the audit team carrying out the role of an audit team leader having already acquired the additional experience as Team Leader-in-Training.
3.8 Lead Auditor – An auditing personnel, who is already qualified as Team Leader for any management system, nominated in an audit team as Auditor/Expert/Auditor-in-Training with additional responsibility of either ‘providing direction and guidance to Team Leader-in-Training’ or ‘for evaluation of performance of the Team Leader’ of the particular audit team.
3.9 Technical Expert - Person who provides specific knowledge or expertise to the audit team.
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.
Note 3 - Technical expert will be designated as `Expert’ in the audit team.
Note 4 - A technical expert may also have additional role in the audit team. Depending upon the additional role in the audit team, if any, such expert will be designated as `Auditor & Expert’ or `Team Leader & Expert’ or `Lead Auditor & Expert’ or ‘Expert & Auditor-in-training’ or ‘Team Leader-in-training & Expert’
3.10 Complete Audit - Initial (certification) or Renewal Audit (also termed as Stage 2 audit) covering steps like Document Review; Preparation & Conduct of On-Site Audit; Preparing, Approving & Distributing Audit Report of the audit process. The overall audit experience should cover the entire management system standard. Other audits such as Stage 1 audits of EMS, OHSMS, FSMS etc or special audits under any Management System may also be considered as Complete Audits provided the above mentioned steps are covered.
4. REFERENCES
i) Doc:MSC-P7.1-01 Procedure for Personnel Selection, Registration and Control
ii) Doc:MSC-G7.1-04 Guidelines for Upgrading Auditing Personnel to Team Leader and Registration / Renewal of Auditors with Registration Body
iii) Doc:MSC-F7.1-01 Application for Registration of BIS Personnel for Management System Auditing
iv) Doc:MSC-F7.1-07 Application for Registration of BIS Personnel for Management System Auditing as Technical Expert
v) Doc: MSC-G7.1-05 Guidelines on Criteria for Competence for different Management
Systems (as identified through abbreviation of the particular Management System as part of Document Number)
/BUREAU OF INDIAN STANDARDS
MANAGEMENT SYSTEMS CERTIFICATION /GUIDELINES
TITLE: GUIDELINES ON CRITERIA FOR BIS PERSONNEL FOR AUDITING
DOC: MSC-G7.1-01
/ ISSUE: 03 /DATE: JAN 2009
/PAGE: 3 OF 4
PREPARED BY: HEAD (MSCD)
/APPROVED BY: ADG
5. CRITERIA FOR PERSONNEL
5.1 Personnel meeting the competence requirement (in terms of education, training and work experience or a combination thereof) for a particular Management System would be initially selected as Auditor-in-Training.
5.2 The status of auditing personnel could be upgraded from Auditor-in-Training to Auditor, Team Leader-in-Training and Team Leader progressively based on the actual audit experience gained in accordance with the guidelines on criteria for the relevant management system. Such experience should be completed within the last three consecutive years at every stage.
5.3 All auditing personnel should possess personal attributes 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 clause 4 of IS/ISO 19011:2002.
5.4 Auditors including team leaders for audits under various Schemes of BIS MSC should have the ability to apply the knowledge and skills described in clause 7.3 of IS/ISO 19011:2002 as gained through education, work experience, auditor training and audit experience required for each of the management system.
Note 1: Training in a Management System is to acquire knowledge of the relevant standards, laws, regulations, principles, methods and techniques as relevant to the particular Management System.
Note 2: The training course should be approved by appropriate approving agencies. In case the course is not approved, its equivalence to approved courses shall be determined as evidence from the course content. Training courses organized by NITS would be deemed approved.
Note 3: Training courses for Management Systems are generally of 40 h duration which include training on IS/ISO 19011:2002. Therefore, training courses of 24 h duration for additional Management System would be considered adequate for the purpose of acquiring knowledge of relevant standard, laws, regulations, principles, methods and techniques for the additional Management System.
5.5 The education, work experience, auditor training and audit experience required for auditing personnel of a particular management system shall be as given in the relevant guidelines on criteria for competence for the particular management systems.
/BUREAU OF INDIAN STANDARDS
MANAGEMENT SYSTEMS CERTIFICATION /GUIDELINES
TITLE: GUIDELINES ON CRITERIA FOR BIS PERSONNEL FOR AUDITING
DOC: MSC-G7.1-01
/ ISSUE: 03 /DATE: JAN 2009
/PAGE: 4 OF 4
PREPARED BY: HEAD (MSCD)
/APPROVED BY: ADG
5.5.1 The work experience required for each management system may include experience prior to joining BIS or within or outside BIS.
5.5.2 Work experience for one management system may be concurrent with that of the other management system.
5.5.3 Audit experience can be gained simultaneously for more than one management system. The audit mandays credited to the auditing personnel when deputed for more than simultaneously auditing one management system should be calculated depending upon the actual time spent for each management systems in such a manner that the sum total of mandays credited for each management system is equal to the total audit mandays spent for the audit.
5.6 Technical Experts - The technical experts, for nominations on the audit teams for various management systems audits should satisfy the criteria as given guidelines for competence for the respective management systems.
5.6.1 Allocation of ‘fields of expertise’ to each expert shall be made with respect to the scope sectors or product categories as appropriate to the relevant management systems as given under guidelines on criteria for competence for the respective management systems.
6. MAINTENANCE OF AUDITING ABILITY AND PERFORMANCE OF BIS AUDITORS / EXPERTS
6.1 The continuing acceptability of the auditors should be based upon the criteria mentioned in the Guidelines for Continual Professional Development and Maintenance of Auditing Ability, satisfactory feedback, performance reports and adherence to the required CPD hours.
6.2 For technical experts, the continuing acceptability shall be based on satisfactory feedback and performance reports.
6.3 It is the responsibility of auditors to complete the requisite number of audits and MSCO(R) should be approached for the same. MSCO(R) should bring to the notice of auditors regarding the minimum number of audits to be completed.
6.4 ADG/DDG-In charge may relax the above mentioned criteria in deserving cases based on the recommendations by MSCO(R)/DDG(R)/Head (MSCD) keeping in view the circumstances and justification for such relaxation.