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QMS AUDITOR REGISTRATION
NBQP/1001/0709/06
1
CONTENTS
Section
Subject Page No.
I Introduction 2
II Definitions 3
III Registration Requirements 4
IV Application Process 7
V Registration Fees 9
VI Registration Card, Certificate, and the Register 10
VII Appeals, Complaints, Disputes, and Disciplinary Proceedings 11
VIII Criteria for Re-Registration 12
IX Code of Conduct for Auditors 14
ANNEXURES
A Guidance for Filling Application 15
B Auditors Pre-requisites 16
C Fee Structure 17
D Application Form 18
E Audit Log Sheets 22
F Consultancy Audit Verification Log 24
G Continuing Professional Development Log 25
QMS AUDITOR REGISTRATION
NBQP/1001/0709/06
2
Section I: Introduction
“Auditing” is one of the most crucial elements of a System. It gives an opportunity to the organization to
assess its performance and identify areas to further improve the existing Systems.
Educational qualifications and experience are very necessary for a person to become a competent
auditor. Besides these a strict code of conduct helps in establishing respect for the system
certification.
NBQP is offering the scheme for Registration of QMS (ISO 9001:2000/ ISO 9001:2008) Auditors.
This scheme has been prepared based on international guidelines so as to bring it in uniformity
with the global requirements. Local requirements have also been kept into consideration while
formulating the scheme.
In some countries, the process for verifying the qualifications and experience of auditors to specified criteria and granting recognition by the auditor registration body is called “Registration or Certification or Accreditation”. This document refers to such processes as Registration of Auditors.
As part of the Registration Process, the applicant will be evaluated against requirements which
reflect the key skills, knowledge and experience that define competence and which a QMS 2000
auditor need to have and demonstrate during an Audit.
NBQP reserves all rights to amend its QMS auditor certification criteria, procedures, fees etc. as
appropriate. Applicants are requested to refer to the updated criteria before applying for NBQP
Auditor Registration.
Registration under this scheme is available, without restriction, to all applicants who satisfy the
registration requirements. The scope of registration is general, i.e. it does not include nor does it
require any industry sector specific competencies. You may select from a list, up to 4 standard
industry sectors within which you have acquired work experience. These details, although included
within the register, are self declarations and are outside the scope of registration.
Although all information provided by applicants will be kept confidential, NBQP reserves the right to utilize the information provided by the applicants for legal, research, for sharing with other IPC members or for any other purpose as may be deemed fit by NBQP.
We value your suggestions and feedback.
Please contact NBQP Office for latest information.
QMS AUDITOR REGISTRATION
NBQP/1001/0709/06
3
Section II: Definitions Quality
Degree to which a set of inherent characteristics fulfills requirements.
Requirement
Need or expectation that is stated, generally implied or obligatory.
System
Set of interrelated or interacting elements.
Management System
System to establish policy and objectives and to achieve those objectives.
Quality Management System
Management System to direct and control an organization with regard to quality.
Management
Coordinated activities to direct and control an organization.
Quality Management
Coordinated activities to direct and control an organization with regard to quality.
Quality Planning
Part of quality management focused on setting quality objectives and specifying necessary operational
processes and related resources to fulfill the quality objectives.
Quality Assurance
Part of quality management focused on providing confidence that quality requirements will be
fulfilled.
Verification
Confirmation, through the provision of objective evidence, that specified requirements have been fulfilled.
Audit
Systematic, independent and documented process for obtaining audit evidence and evaluating it
objectively to determine the extent to which audit criteria are fulfilled.
QMS AUDITOR REGISTRATION
NBQP/1001/0709/06
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Audit evidence
Records, statements of fact or other information which are relevant to the audit criteria and
verifiable.
Source: ISO 9000:2005 Quality Management Systems - Fundamentals and Vocabulary
QMS AUDITOR REGISTRATION
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Section III: Registration Requirements
The following elements are taken into consideration for certification:
A) Education
1) Academic Qualifications
1.1 The Applicant must be a graduate or hold an equivalent qualification from a recognized/registered
university.
1.2 For the list of other recognized academic qualifications acceptable for registration, please refer
to “Auditor Pre-requisites”, Annexure B.
1.3 Documentary evidence (photocopies) of the academic credentials has to be submitted with the
application.
2) Auditor / Lead Auditor Training
2.1 The applicant should have successfully completed NBQP registered/recognized ISO 9001:2000/
ISO 9001:2008 QMS Lead Auditor Training Course,
2.2 Evidence of having successfully completed training courses conducted by IPC members is also
acceptable.
2.3 The Training course shall have been successfully completed within the 3 year period prior to
application for certification.
2.4 Applicants who have attended an Auditor/ Lead Auditor Training Course before 3 years
from the date of application can also apply for NBQP Auditor Registration. They should
submit evidence of having completed the continuing professional development (CPD)
as per NBQP criteria for re-registration. Please refer Section VIII.
B) Experience
1) General
1.1 An applicant must have completed at least 4 years full time general work experience.
1.2 The requirements of minimum work experience may vary depending on the qualifications
of applicants. For details, please refer to “Auditor Pre-requisites”,
Annexure B.
2) Quality Assurance and/or Quality Management Systems
2.1 An applicant must have completed a minimum of 2 years relevant work experience in
Quality assurance and/or implementation or operation of quality management systems,
which provides the practical knowledge necessary to effectively audit such quality
management systems.
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2.2 This experience may have been part of general work experience.
2.3 The requirements of this work experience may vary depending on the qualifications of
applicants. For details, please refer to “Auditor Pre-requisites”., Annexure -B
3) Auditing
3.1 All audits should have been conducted in accordance with the auditing guidance standard ISO
19011:2002.
3.2 The totality of an applicant’s auditing experience shall include each element of ISO 9001:2000/ ISO
9001:2008 QMS standards.
3.3 The auditor and the auditor’s organization shall have independent management and operating
structure from the audited organization.
3.4 The scope of acceptable audits should cover all elements specified in the ISO 9001:2000/ ISO
9001:2008 quality system standard in accordance with ISO 19011:2002. The acceptable audits are
as follows:
i. First Part y Audits are acceptable only when the complete independence of the
organization’s audit function from its operational activities can be demonstrated.
ii. Second Party Auditsare acceptable where it can be demonstrated that the audit was
planned and performed in a manner similar to a third party audit.
iii. Third Part y Auditsthat also cover the document review and the report preparation.
iv. Certification & Pre-certification Aud its, only one audit is acceptable if an applicant has
participated in both certification and pre-certification audit.
v. Cons ultancy Auditsthat are preformed as contractually specified on behalf of a client by
an Auditor for ISO 9001:2000/ ISO 9001:2008 QMS provided the following are satisfiea fully
documented and established quality system was being operated
by the auditee prior to the audit,
neither the consultant nor his/her organization had any part in setting up the quality
system being audited,
the consultant was totally independent of the auditee, the scope of
the audit covered all elements of the quality system
Consultancy Audit Verification Log should be completed for all consultancy audits and
sent along with the application for consultancy audits and sent along with the
application for NBQP Auditor Registration.
vi. Surveillance audits are not acceptable for initial registration.
However, for renewal of registration five surveillance audits may be considered
equivalent to one full quality system audit (only if the five surveillance audits
covered all the elements of ISO 9001:2000/ ISO 9001:2008 QMS standard).
3.5 The maximum gap between any two audits must not be more than 12 months.
QMS AUDITOR REGISTRATION
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3.6 An audit day shall not be of less than 6 hours duration excluding refreshment breaks, opening
and closing meeting. An audit shall not be less than one-day duration.
3.7 All audits must be verifiable through the Auditee. The audit logs must have the contact person’s
name and contact details of the company audited. The audit logs must contain the signatures of
the auditee and the organization on whose behalf the audit was conducted.
3.8 Incomplete audit logs will not be considered for registration.
C) Requirements for
certification
1. Provisional Auditor Grade
An applicant who satisfies the following requirements may be eligible for registration to
the Provisional Auditor Grade:
i) Education (refer A 1 and A 2 above)
ii) Experience (refer B 1 and B 2 above)
No auditing experience is required for this grade.
2. Auditor Grade
In addition to the requirements for Provisional Auditor Grade (2000), an applicant must
have completed a minimum of 5 acceptable and verifiable audits as per ISO 9001:2000/
ISO 9001:2008. The audit days should total to 20 with minimum 10 days auditing on site.
At least 2 audits must be of minimum 2 days duration. The audits should have been conducted after successful completion of the training as mentioned in Section III, para A 2
Auditor/Lead Auditor Training.
The auditing experience should have involved adequacy audit (document review), compliance audit
(site audit) and reporting (preparing audit report).
3. Lead Auditor Grade
In addition to the requirements for Auditor Grade (2000) an applicant should have
completed a further 5 acceptable audits as per ISO 9001:2000/ ISO 9001:2008 as leader
of an audit team which included at least one other auditor.
At least 2 audits as a team leader must be of minimum 2 days duration.
8
QMS AUDITOR REGISTRATION
Section IV: Application Process
The Complete application form with the requisite fee must be sent to the following address
NBQP
C/o Quality Council of India
Institution of Engineers Building (II Floor)
Bahadur Shah Zafar Marg, New Delhi 110 002
The form must be filled in English language only.
All applications must be supported by documentary evidence, e.g. legible photocopies of original
certificates etc. Original documentary evidence should be made available only when asked for.
An incomplete application or not adequately supported by required documents would
result in delay in processing or rejection of application.
Only the application fee (besides necessary documents) should be sent with the application. The
registration fee needs to be sent only after the receipt of notice from NBQP.
Processing of application
The application is processed as follows:
a) Administrative check
The NBQP staff ensures the completeness of application and enclosures
b) Technical evaluation
Then evaluation of the application is performed by a minimum of two Reviewing
Officers, who are on the Panel of NBQP. The Reviewing Officers verify the
applications against all aspects of registration criteria
The applicants must read and fill the application form carefully, supporting it with
the documents required. Unusual educational qualifications, former or current
employers who are slow to provide verification information and Auditees that are
not helpful will inevitably delay the processing.
In case an application is determined to be incomplete, the applicant will be
contacted and requested to provide additional information. The application is then
held for up to 90 days. The application will be cancelled in case the applicant fails
to furnish the desired information within the stipulated time.
QMS AUDITOR REGISTRATION
All information, correspondence and documentation submitted by applicants or by
existing registered auditors in support of registration will be considered as strictly
confidential as specified in Section I – Introduction.
e) Reconsideration
It may happen that during the processing of an application, it is observed that the
applicant can get qualified to a higher grade on submitting additional
information/evidence. In this case the applicant will be informed to exercise his/her
option.
In case of applicant opting for the higher grade, a reconsideration fee will have to be
submitted as given in the fee schedule.
C) Confidentiality
QMS AUDITOR REGISTRATION
10
SECTION V: Registration Fee
The fee structure is determined annually and is applicable from January to December. The validity
of the registration is also for the calendar year. Please refer to the current Fee Structure.
a)
Application
Fee
All application should be accompanied by the application fee, without which the application will not be processed. This fee covers the administrative costs for processing the applications.
b)
Annual
Certification
fee
Successful applicants will be intimated for the remittance of Registration Fee. The
applicants will be required to send the fee as per the fee structure within the
specified time frame.
Applicants may pay either one or three years fee along with their initial application. A discount
of 15% on total fee is allowed for three years registration.
Applicants paying one-year fee initially shall be required to pay the annual registration fee
annually for the next two years on receipt of notice from NBQP.
The Certificate & Registration Card will be sent within 3-4 weeks after the receipt of the
fee.
This fee covers the administrative cost required for each regrade consideration of NBQP
registered auditors. This fee is due with the re- grade submission and is non refundable. Where
a regrade application is successful, the difference in the certification fee on prorata basis is to
be paid for registration to the new grade for that current year.
D) Reconsideration Fee
This fee covers the administrative costs for reconsideration of the application for a higher
grade on submission of necessary documentation.
E) Issue of Duplicate Card and / or Certificate
Additional fee will be charged for issue of duplicate Card and/or Certificate
All fees are to be paid vide a demand draft or a local cheques in favor of “Quality Council of India” payable
at Delhi.
All the fees are non refundable.
C)
Regrade Fee
QMS AUDITOR REGISTRATION
Section VI: Registration Card, Certificate and Register All successful applicants will be issued the following:
i) a Certificate
ii) a Registration Card.
The validity of the Certificate and the Card will be for the period for which the fee has been
paid by the applicant (maximum three years)
The card and the Certificate are the primary evidence of validity of Registration and should be
presented on commencement of an audit and thereafter on demand as appropriate.
The Register of Auditors will be hosted on the QCI web site. Also, the details of newly
registered auditors are published regularly in QCI Newsletter “Quality India”.
In case the certified auditor does not want to publish his/her details, an application may be sent to
NBQP for the same.
9
QMS AUDITOR REGISTRATION
12
Section VII: Appeals, Complaints & Disciplinary
Proceedings
Registered auditors and applicants for registration have the right to appeal against decision
taken by NBQP concerning his/her registration.
Similarly complaints Made
by registered auditors against NBQP
by registered auditors against a fellow registered auditor or by
an auditee or other body against a registered auditor.
will be considered according to the procedures of NBQP.
NBQP will deal with the matter in accordance with its procedures for appeals, complaints handling
and disciplinary proceedings.
NBQP retains the right to undertake disciplinary proceedings against registered auditors who
are found to have acted contrary to the Code of Conduct. Options available include suspension
of registration and in instances of serious or sustained breach, withdrawal of registration.
Disputes if any shall be referred to the arbitration of the Secretary General, QCI or to any other
person to be nominated by him. The arbitration shall be held in the city of Delhi and shall be in
accordance with the Arbitration and Conciliation Act 1996.
QMS AUDITOR REGISTRATION
Section VIII: Criteria for Re-registration
The registration of all auditors is valid for a maximum of three years after which it has to be re-
registered.
Following factors are considered while processing the application for re-registration:
It is necessary that at least the following number of acceptable and verifiable audits must have
been conducted within the 3-year certification period:
Auditor grade : 5 audits
Lead Auditor grade : 5 audits with at least 3 of which must have been as a
leader of a team which included at least one another auditor.
Total number of audit days should be minimum 20, out of which minimum 12 days should be on
site for each of the above grades.
b) Continuing Professional Development (CPD)
It is necessary for all auditors to continually update professional knowledge, personal skills and competencies
to ensure effective audits.
All auditors are required to undertake at least 45 hours of CPD in the 3 years immediately prior to
renewal of certification. Each year at least 10 hours should have been utilized for CPD.
All professional development activities shall involve new knowledge and skills for the auditor.
It shall relate to quality principles and practices, or improving auditing methodologies and skills.
The range of training and development activities that will be considered valid for CPD are:
c) Formal
Includes interactive and highly participative events (including training courses and seminars, professional body meetings with formal lectures, active participation in standards development etc).
Courses of similar type to that included in support of initial applications for registration will not be
acceptable for CPD.
For each hour: 1 hour CPD for every attended hour up to a maximum of 15 hours per event.
a) Audit Experience
QMS AUDITOR REGISTRATION
14
i) Informal
Include non interactive lectures, talks etc. informal professional body meetings, preparation and delivery of lectures / courses, forms of open and distance learning towards a new qualification, formally assessed in some rigorous manner.
For each hour : ½ hour CPD for every attended hour up to a maximum of 15 hours per event.
In selection of appropriate professional development activities, auditors need to consider their
personal strengths and weaknesses and identify areas for personal improvement. This data
will also be required for the renewal of their registration. It remains the responsibility of each
registered auditor to provide a case for acceptance supported by sufficient, appropriate
evidence.
c) Annual Certification Fee
At the end of three years NBQP will inform all auditors on renewal of their registration after
which the application forms with the required details should be sent.
All applications for re-registration should be accompanied by the requisite re-registration fee. The application must be supported by documents of audits performed and CPD. For provisional auditor re-registration evidence of continuing professional development should be submitted along with the requisite fee.
QMS AUDITOR REGISTRATION
NBQP/1001/0709/06
Section IX: Code of Conduct for Auditors
1. To act in a professional and unbiased manner. Be truthful and fair to the assigned
work.
2. To disclose to their employer any relationship with the client that may influence the
judgment before undertaking any assignment.
3. Not to disclose any confidential information like the findings of the audit etc.to any
third party unless authorized to do so.
4. Not to misrepresent any information that may compromise the integrity of any
audit or the auditor registration processes.
5. Not to accept any gift or any other favor from the organization audited, or their
representative and not to allow the colleagues to do so.
6. Not to act in a manner detrimental to the reputation of NBQP, the employer or the
organization being audited.
7. To Co- operate fully in any formal enquiry procedure of NBQP and appeals
procedure, act always within the spirit of NBQP goals.
NBQP/1001/0709/06 14
QMS AUDITOR REGISTRATION
16
Annexure A
Guidance for filling Application
1. Please read NBQP criteria for QMS Auditor Registration before filling in the application form.
All information given must be completed otherwise it might result in rejection or delay of
application. The information given must be concise and to the point (if necessary use additional
sheets)
2. All correspondence and other documentation submitted in support of application must be in
English or accompanied by a registered translation to the original.
3. Please cross whatever is not applicable.
4. A legible photocopy of the qualifications, mark sheets, NBQP registered/ recognized training
courses attended and membership certificates must be attached.
5. The mailing address of the auditors will be included in the Register of Auditors
a) The register will be placed on the QCI website, which will be updated regularly.
b) In case an applicant does not want his/her address to be published in the
register, a separate application must be attached stating so along with this
application
6. The Audit logs for each audit that the applicant wants to be considered must be enclosed with
this application. Photocopies of Audit logs may be used.
Only one Audit Log is to be used for Documentation and Site Audit of a company.
7. Only initial application fee should be sent with application by a local cheque (Delhi) or
Demand draft in favor of “Quality Council of India” payable at New Delhi. The application fee is
not refundable.
8. Grade Registration Fee should be sent only on receipt of intimation from NBQP.
9. Any additional information like Audit Reports etc. may be asked for by NBQP.
10. All correspondence should be addressed to :
NBQP
C/o Quality Council of India
2nd Floor, Institution of Engineers Building
Bahadhur Shah Zafar Marg
New Delhi -110 002
NBQP MAY VERIFY THE DATA IN THE APPLICATION FORM AND/OR AUDIT LOG SHEETS, BY
CONTACTING THE AUDITEE/EMPLOYER
(In case of doubt, please seek clarification from NBQP office before submitting the application)
QMS AUDITOR REGISTRATION
NBQP/1001/0709/06 17
Annexure B
Auditor Pre- Requisites
Table 1
Beside the above all applicants are required to have successfully completed a NBQP recognized Auditor /
Lead Auditor Training Course.
# 5 audits (minimum) as Auditor * additional 5 audits (minimum) as Lead Auditor
For minimum number of audit days, please refer to NBQP Criteria.
Grade
Education
(refer Table
Total
Experience in
Quality
No. of Audits
Remarks
Experience
2)
(in years)
Systems (in
years)
Provisional
Auditor
A01 to A02 6 2 -
A03 to A06 4 2 - A07 10 3 - Interview if required
Auditor
A01 to A02 6 2 5# A03 to A06 4 2 5# A07 10 3 5#
Lead Auditor
A01 to A02
6
2
5*
A03 to A06 4 2 5*
A07 10 3 5*
QMS AUDITOR REGISTRATION
NBQP/1001/0709/06 18
Table 2
Code Education
A01
Graduate ( in Arts, Science or Commerce)
(i.e. 12 years of school and min. 3 years of Technical Education)
A02
Diploma (Technical)
(i.e. 12 years of school and min. 3 years of Technical Education)
A03
Engineering Graduate ( B.Tech., B.E. etc also Diploma + AMIE) (i.e.
12 years of school and min. 4 years of Technical Education)
A04
Post Graduate (in Arts, Science or Commerce, M.B.A., C.A. & I.C.W.A. ,etc)
(i.e. 12 years of school + 3 years of graduation + min. 2 years of Post Graduation)
A05
Engineering Post Graduate (M. Tech. M.E. & M.B.A.)
(i.e. 12 years of school + 4 years of technical education + min. 2 years of Post
Graduation)
A06 Doctorate /Ph.D.
A07
I.T.I. ( or equivalent qualification from a government recognized institute) (i.e. 10
years of school + 2 years of technical education & 1 year of practical
experience)
QMS AUDITOR REGISTRATION
Annexure –C
Fee Structure
15% discount on the total fee is given to the Applicants applying for 3 years registration.
IV) Re-grade Fee Rs. 1,500/-
18% GST will be charged extra, as applicable w.e.f. 1, July 2017
Note:
a. The fees are non refundable
b. Only Crossed local cheques or demand drafts are acceptable. All Cheques/demand
drafts should be in favor of “Quality Council of India”, Payable at New Delhi.
c. For any clarification, please contact NBQP office.
I) Application Fee
First Time Rs.2,000/-
Re-registration Rs. 1,500/-
II) Annual Registration Fee (for application approved between)
Rs. 2,400/-
Provisional (Jan –Jun)
Rs. 1,800/- (Jul – Dec)
Auditor Rs. 4,800/- (Jan –Jun)
Rs. 3,000/- (Jul – Dec)
Lead Auditor Rs. 6,000/- (Jan –Jun)
Rs. 3,600/- (Jul – Dec)
V) Reconsideration Fee Rs. 1,500/-
VI) Duplicate Card Fee Rs. 250/-
VII) Duplicate
Certificate Fee Rs.250/-
QMS AUDITOR REGISTRATION
NBQP/1001/0709/06 20
Annexure –D
Application Form (Please read the QMS criteria and instructions before filling the form) Please
Affix here
1. Mr./Ms./Mrs.
___________________________________________________________________________ size photo
(First Name) (Middle Name) (Last Name)
2. Date of Birth __________________________________________________________
3. Home address __________________________________________________________
_________________________________________________________
__________________________________________________________
____________________________ Pin Code _____________________
4. Tel. No. ____________________________ 5. Fax No. ____________________
6. Email address _________________________________________________________
7. Office address _________________________________________________________
__________________________________________________________
__________________________________________________________
__________________________________________________________
____________________________ Pin Code _____________________
8. Tel. No. ____________________________ 9. Fax No. ____________________
10. Email address _______________________________________________________
11 . Mailing address Home Office
12. General Education (Senior Secondary)
Period Board Qualification Educational Institution & Subjects Grade
Address
QMS AUDITOR REGISTRATION
13. Technical Education (Graduation & above):
Period Institution Name & Address Qualification
Subjects
Grade
14. Registered / recognized training courses attended:
S.No.
Title of the Course
Conducted / Organized by Dates
Result
(Name & Address) From To
QMS AUDITOR REGISTRATION
NBQP/1001/0709/06 22
15. Membership of Professional Bodies:
S.No. Professional Body (Name & Address)
Membership
Valid Till
Grade No.
16. Experience (Please write in chronological order with present experience listed first): A. General:
Period
Organization with address
Department
Designation
Reporting to/ Duties/
Responsibilities
B. Related to Quality System:
Period
Organization with address
Department
Designation
Reporting to/ Duties/
Responsibilities
NBQP/1001/0709/06 23
17. . The application must be signed by a proposer who has known the applicant for more (The proposers should be registered auditors (preferably by NBQP)/Senior officers/Department Heads)
Than two years
Proposer’s Name __________________________________________________________
Address: __________________________________________________________
__________________________________________________________
Tel. No.: ________________________________ Fax No. __________________
Registration No.: ________________________________ E-mail.___________________
Signature ________________________________ Date _____/_______/________
18. Please indicate with a cross maximum of four sectors which can be supported by your experience.
NBQP QMS Auditor Registration Criteria does not verify and certify the sectoral experience
19.Do you want your contact details to be published in the section relating register of auditors? Yes /No
20. Declaration by applicant
I have carefully read all NBQP guidelines for registration of auditor. I confirm that the
information in support of the application is correct to the best of my knowledge.
I authorize NBQP to make any enquiry as deemed fit as part of the reviewing process. NBQP
can also verify data filled in the audit log sheets. I understand that in case any information is
found to be incorrect, it may result in rejection of my application and/or my disqualification. I
authorize NBQP to utilize the information provided by me for legal, research, training, sharing
with other IPC members and/or for any other purpose as may be deemed fit by NBQP.
Once registered, I commit to notify NBQP immediately of any changes in my status where
information regarding such changes, if declared may affect the consideration for my
registration. I also confirm to follow the NBQP code of conduct for consultants.
Signature ________________________________________ Date ______/_________/_______
QMS AUDITOR REGISTRATION
NBQP/1001/0709/06 24
Annexure –E
QMS Audit Log
4. Role in Audit
5. Names of Team Members i) ________________________ ii)__________________________
iii)________________________ iv) _________________________
6. Doc. Audit From: ________________ to ____________________ No. of days __________________
7. Site Audit From: ________________ to ____________________ No. of days __________________
AUDITEE DETAILS 8. Company Name & address ________________________________________________________________
________________________________________________________________
___________________________ Pin Code ______________________
9.. Contact Person __________________________________ Designation ____________________
10.Tel (Nos.)__________________________________ 11. Fax No. ____________________
12 Email address __________________________________ 13. No. of Employees ____________
14. Product /Service________________________________________________________________
15. Auditee Signature__________________________ Company Stamp EMPLOYER DETAILS (Audit conducted on
behalf of)
16.Company Name & address ____________________________________________________________
____________________________________________________________
___________________________ Pin Code _______________
1
Mr./Ms./Mrs. ________________________________________________________________
2 Audit Standard ______________________ 3. Audit Type ______________________________
Auditor Lead Audit
17. Contact Person __________________________________ Designation ______________
18. Tel (Nos.) __________________________________ 19. Fax No. ______________
20. Email address __________________________________ _________________________
21. Employer Company Stamp_________________________ Signature __________________
NBQP/1001/0709/06 23
QMS AUDITOR REGISTRATION
CLAUSES COVERED
ISO 9001:2000
Covered By
No. of NC’s
Raised Remarks
Clause No. Applicant Other Team Members
(Mark √ ) (Mark √ )
4.1
4.2
5.1
5.2
5.3
5.4
5.5
5.6
6.1
6.2
6.3
6.4
7.1
7.2
7.3
7.4
7.5
7.6
8.1
8.2
8.3
8.4
8.5
GUIDANCE FOR QMS AUDIT LOG Please refer to NBQP criteria for QMS Auditor Registration before filling this log sheet. All information must be completed otherwise it might result in delay or rejection of application. Photocopies of audit log format may be used. Audit type
1. FPA (First Party Audit) 2. SPA (Second Party Audit) 3. CON (Consultancy Audit) 4. TPA (Third Party Audit)
For Third Party Audits (TPY) further classification should be indicated i.e. a) Preliminary (Stage 1) b) Registration (Stage 2) c) Surveillance (SUA) d) Follow UP (FUP) e) Re-assessment (REA )
Employer details (audit conducted on behalf of ) –should give information on whose behalf the audit was conducted. In case
the Auditee and the Employer details are the same then the audit will be treated as First Party Audits. Only, independent, full system audits on established management systems carried out against ISO 9001 or equivalent
Quality standards, which are planned, conducted and reported in accordance with ISO 19011 (Guidelines for
Environmental Quality and /or Management System Auditing) are acceptable. Close out, follow up and surveillance visits are not acceptable for initial registration.
First Party / Internal Audit meeting the criteria may be acceptable for registration provided evidence is submitted to
substantiate that the auditor was independent of the system being audited and that the auditor had no part in developing the management system being audited.
Consultancy audits which meet the criteria carried out by a consultant on behalf of al client may be acceptable for
registration provided that the consultant has no role in developing the management system being audited. Evidence to
substantiate this claim that an independent and impartial audit has been conducted will need to be attached. Please also
refer Consultancy Audit Verification Log Annexure –H.
NBQP/1001/0709/06 25
QMS AUDITOR REGISTRATION
Annexure –F
Consultancy Audit Verification Log
This is to confirm that Mr. /Mrs. /Ms. ____________________________ acting as an Auditor
/ Lead Auditor for the company __________________________________ carried out a
contractually specified audit against a recognized Quality Management System Standard ISO
9001:2000/ ISO 9001:2008 on ______________ which met the following criteria:
a) a fully documented and established Quality Management System was being operated by the
auditee prior to the audit.
b) the consultant had no part in setting up the Quality Management System being audited.
c) the consultant was totally / independent of the auditee.
d) the scope of the audit covered all elements of the Quality Management System.
Auditee Details:
Audit Details:
Date: From __________________ to ________________ total man days _________________
Date of Registration of Company _________/___________/____________
Auditee / Employer Signature _________________ Designation_________________________
Date: _________________/ ______________/ _____________
(PLEASE ATTACH THE REGISTRATION AUDIT SUMMARY REPORT)
Name:
________________________________________________________________
Address:
________________________________________________________________
________________________________________________________________
________________________________________________________________
Designation
____________________________________ Signatures ___________________
Tel. No. _____________________ Fax No. _________________ Email _____________
CONTINUING PROFESSIONAL DEVELOPMENT (CPD) LOG
Name _________________________________ Registration No______________
Date
Duration
of Type of Activity Details of Activity Name / Designation /
Description of
Activity
(DD/MM/YY) CPD In Formal / Informal (Title & Duration) Contact Details incl. tel. require
hours
/fax nos.
Note Kindly refer Section VIII “Criteria for Re-registration” to fill this CPD log
* To be signed and stamped by Tutor / Lecturer / Organizer / Manager to CPD Provider or alternatively proper evidence of completion
of
NBQP/1001/0709/06 26
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