Q-1807-1 - DQS Japandqs-japan.jp/members/download/Q18001_11-29-10.doc · Web view2010/11/29 · AUDITOR / LEAD AUDITOR RE-QUALIFICATION: Maintain ISO-9000 qualification Appendix

UL DQS Inc. Document Number: Q-1800-1 Page 1 of 23

Prepared By: Angel Tucker Issued: 3/11/91

Reviewed By : Michael J. Caruso Revised: 11/29/10

Approved By : Michael J. Caruso

Subject: Auditor Appointment Procedure

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 SCOPEThis 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 DOCUMENTSQ-1600-1 Control of Records ProcedureISO 19011 Guidelines for quality and/or environmental management system auditing

4 DEFINITIONS SEE DEFINITION DOCUMENT, Q-0000-3Qualifier – 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

6 Competency: All Auditors and Lead Auditors are required to demonstrate competency during the appointment 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).

5.2 Code of Conduct: All auditing personnel are to abide by the following code of conduct:a. To act in a strictly trustworthy and unbiased manner in relation to both UL DQS and the

organization involved in an assessment.b. To disclose to UL DQS any relationships they may have with the organization to be assessed

before undertaking any assessment function of that organization.c. 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.

d. 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.

e. Not to act in any way prejudicial to the reputation or interest of UL DQS, or to the assessed organization.

f. 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.

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Document Number: Q-1800-1 Issued: 3/11/91

Subject: Auditor Appointment Procedure Revised: 11/29/10

5.3 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.

5.4 Minimum Basic Qualification Requirements:

a. Auditor training according to ISO 19011

b. 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

c. Other trainings of equal standing will be accepted in justified exceptional cases, provided the training comprised at least 40 hours.

d. Education as required by job description.

e. 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.

f. 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.

5.5 The minimum requirements may be satisfied by 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.

7 PROCEDURE

6.1. Candidate Auditor Background ReviewPrior to developing the competency assurance 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.

6.2 Candidates 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.

6.3 Developing 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 QualificationIn 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 and documented using the appropriate forms listed in the appendices. Prior to being deemed competent, auditors must demonstrate their 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.

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6.5 Initial 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.

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

a. Competence: Skills and competence must be determined for each standard and auditor levelb. 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.

c. Maintaining Competency 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. Regional audit management can modify the 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.

7.0 Appointment Process 7.1 When 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 records and complete the Auditor Appointment Form (see form for instructions). In order to recommend for appointment, records must show that the candidate meets requirements.

7.3 Approval Outcomes: The evaluator will send the approved Auditor Appointment form to an 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 CV shall documents on the competency form 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 CV will 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-auditor are 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.

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7.4 Lead 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.

7.5 Qualifiers: 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 years2. 2 or less internal corrective actions issued from the review process in the past year3. 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 managementRegional 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 Certification or their designee.

7.6 Competency 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 EMS standards. The nominator shall justify the candidate’s ability to perform as a CV and 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 EMS standards, 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 CV will 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.

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7.7 Status Codes in DynamicsPer the nomination process, each auditor will be classified in Dynamics with the following categories:

Availability to audit:

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

Color coding:

a. Green – auditor has a valid appointment without constraintsb. Yellow – auditor has a valid appointment with constraints; constraints shall be documented in

Dynamicsc. Red – auditor does not have a valid appointment and can not be used until authorization is

granted per the appointment processd. Blue – auditor has preferential status 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

8.0 MAINTENANCE AND MONITORING 8.1 Each 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.

8.2 For the base QMS and EMS standards, 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.

8.3 Qualifier 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.

8.4 The 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.

8.5 Monitoring Competency8.5.1 The 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

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8.5.2 The 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 management shall evaluate competence for each base standard, QMS and EMS, and each role (Auditor/Lead Auditor) in which they are qualified.

8.5.3 Auditors 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.

8.5.4 Auditors 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.

8.6 Evaluation 8.6.1 Regional audit Management shall continually evaluate auditor performance to assure audit

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 annually2. customer feedback (surveys) – 80% minimum3. team member feedback (as available per section 8.8) – negative feedback will be reviewed

with the evaluator and auditor and actions taken documented4. 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)

8.6.2 If the results are below the minimum score allowed (per evaluation form), an onsite evaluation is required for the base standard qualification as a minimum by a person knowledgeable in the standard. When specified, specific standard requirements 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.

8.6.3 The 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 standard2. a more in-depth interview/exam or3. Downgrade the auditor’s qualification until the required competence has been obtained.

Decision/justification and results of the subsequent actions will be documented.

8.7 Evaluation by UL DQS customers 8.7.1 Following 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

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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%).

8.7.2 Regional audit management reviews and signs off on each evaluation and, where necessary, annotate the need for a progress review or participation in training measures. In case of below-average evaluations or when no improvement has been discernible during the appointment period, this will be taken into consideration for the next appointment extension. They may result in a downgrading of the auditor’s status, a contract limited to one year or contract termination.

8.7.3 In case of a negative evaluation, an analysis is performed immediately and corrective action is agreed if necessary.

8.8 Mutual evaluation of auditors 8.8.1 In order to ensure that the quality of services provided by UL DQS auditors on site conforms

to UL DQS directives regarding audit planning, conduct and follow-up, UL DQS auditors are instructed to critically but constructively evaluate their colleagues. The introduction to systematic, goal setting and methodology is effected by way of the qualification training for all auditors, conducted by the regional management. The results of these evaluations make up part of what the regional audit management needs to evaluate the auditor’s continued ability to conduct assessments in a neutral, technically and socially competent manner while adhering to the UL DQS processes and accreditation rules. Other factors are customer evaluations, participation in trainings as well as customer service feedback regarding adherence to process requirements as well as completeness and correctness of audit documents submitted.

8.8.2 The regional audit management will take negative evaluations into account for the next appointment extension. They may result in a downgrading of the auditor’s status, a contract limited to one year or contract termination. A summary of mutual evaluations become part of the auditor’s personnel file. In case of a negative evaluation, an analysis is performed immediately and corrective action is agreed if necessary.

8.9 CONTINUAL PROFESSIONAL DEVELOPMENT (CPD)

8.9.1 In order to continue to improve auditor knowledge and skills, auditors shall participate in activities that will continue to develop their skills. Regional audit management shall identify development needs and assure that each auditor participates in CPD annually. Alternatively, regional management may identify specific skills development needs by individual which require more or less CPD annually. When the training is done in house, the training record must document who the trainer was, duration of training, attendees and date. The trainer must have documented evidence they are competent to be the trainer.

8.9.2 If an auditor is certified by an external auditor certification organization (e.g. RAB-QSA, IRCA) with CPD requirements, regional management can accept evidence of this certification being maintained rather than requiring separate CPD records. CPD activities include training, private study, coaching, attendance at meetings, seminars, conferences, and other relevant activities.

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8.9.3 Compilation, preparation and implementation of the further education program lies in the realm of responsibility of the regional audit management, with product managers rendering standard-specific support. The further training program of UL DQS is published annually and forwarded to the auditors. The training program defines the initial qualifications necessary for attendance at respective courses and specifies which standards require additional further training.

8.9.4 At the end of the year, the auditor management team prepares an attendance summary and analysis that shows which auditors have not taken part in any further training measures in the past year. This information is forwarded to the respective assessors who are then requested to demonstrate other, potentially equivalent further training, if possible. If evidence cannot be provided, auditors will be ranked as “passive”, that is the regional management freezes them for further assignments until receipt of a registration for a UL DQS further training or participation in a seminar has been documented. If neither registration nor participation can be demonstrated, the appointment will not be extended after it has expired.

8.9.5 The regional management team organizes any additional training and exam measures necessary for the maintenance of qualification (e.g. re-qualification for automotive standards etc.). They will also keep relevant evidence of successful attendance in the auditor files. In the event of negative results, auditors will be blocked off from respective standards by removing the corresponding “expertise key” from the auditor database.

8.9.6 The managing director(s) of the international offices of UL DQS are responsible for implementation of training measures there; they are also responsible for keeping records of respective further trainings conducted. Adherence to this provision will be monitored by way of internal audits.

9.0 CHANGE IN STATUS

9.1 The regional management is in charge of upgrading auditors to the next higher status. The auditor receives a written notice; the personnel file is supplemented and entered into Dynamics. The requirements for this are defined in the guideline Status of Auditors.

9.2 DowngradingThe auditors’ status will be downgraded in cases where:

1. Auditor related objectives of this process have not been achieved 2. Auditors do not live up to their selection criteria in the field 3. UL DQS processes are not being adhered to 4. Customers have issued justified complaints5. Continued Professional Development was not adhered to 6. Contents of trainings have not been implemented

The regional audit management reviews indications of any such circumstances. As a matter of principle, there will always be a consultation with the one concerned.An initial, minor offense against these provisions will lead to a written notice being issued to the auditor. The auditor’s status may remain unchanged; however, notice will be sent to the certification group and will change the status to “yellow” in Dynamics. In case of repetitions or a major offense, the regional management will submit a proposal for downgrading to the managing director(s) for their decision-making. The auditor will be notified in writing of the change in status, complete with a justification.

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9.3 Appointment Cancellation In order to cancel an appointment, at least one of the following reasons must be in evidence:

1. Conduct implying non-fulfillment of selection criteria2. Repeated major offense after downgrading has already been effected 3. Obvious lack of insight regarding the offense and refusal of corrective measures 4. Conduct detrimental to business 5. Major breach of an auditor’s contractual obligations 6. None or little possibilities for assignment in respective standards/business sectors

The regional management submits a request for appointment cancellation to the managing director(s) for their decision making. The applicant will be notified of their decision in writing, complete with a justification.

9.4 Appointment Extension After the appointment has expired, Regional audit management reviews the evaluations and decisions and determines if the appointment can be renewed. The justification for the renewal and action plans will be documented on the evaluation for. The criteria will include justification, action plans and interim renewal date. In case of a positive result, regional management recommends renewal to the managing director(s) who authorizes the renewal by their signature. In case of a negative result, Regional management will recommend termination of the auditor agreement to the managing director(s).Any changes to the auditor’s status will be document in Dynamics in accordance with section 7.7

10.0 Qualification Process Oversight

The VP Certification or designee will periodically audit of the qualification approvals submitted to assure that the approvals are in compliance with this procedure. The audit will include at least one record from each region that approved new qualifications in a given quarter. If an approval was granted which does not comply with the requirements of ISO 19011, then a corrective action will be opened. The region will be required to resolve the situation including initiating action as warranted in regard to audits conducted by the individual. In addition, repetitive instances of noncompliance will result in loss of regional competency verification.

11.0 RECORDS Records will be maintained per Q-1600-1

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APPENDIX A – ISO 9001 STANDARDAUDITOR: Prerequisites for Candidate Auditor Path:

Secondary education and minimum 5 years work experience OR Post-secondary education and minimum 4 years work experience

Two years of work experience must be in Quality Management Successfully complete accredited ISO 9001 40 hour lead assessors course. Acceptable objective

evidence is the lead assessor course certificate, valid IRCA Card or the RABQSA Certificate. [Note: if IRCA card or RABQSA card is provided as evidence, the Lead Assessor certificate may need to be presented in the event of audit

Training Program Requirements: Minimum of 1 observation visit unless waived by regional management Train on a minimum of 4 audits for 20 audit days (11 days must be on-site).

o (Up to 25% of the days can be offsite activity such and document review, audit planning and closure)

o Training may be reduced to 3 audits for 15 days if Candidate Auditor is already qualified as an ISO-14001 Auditor.

Must receive a score of “M” for all requirements documented in QF-1800-2 and must receive a final score of “M” on each element/attribute/skill defined on the QF-1807-1 or QF-1807-1A. If qualifying with reduced training path based on prior experience, a score of “M’ is required for all requirements audited during the audit and it is allowed to not include evaluation in all clauses.

Training or prior audit experience must include auditing on registration, continuous, and preliminary assessments in order to qualify for that assessment type.

The qualification audit must be a registration, triennial reassessment or continuous assessment. Training audits must be completed within a three-year period. The auditor shall be qualified in ISO-9001:2008 if the training audits included evaluation during an

ISO-9001 audit or audit to a standard which incorporates ISO-9001:2008. (i.e. ISO/TS 16949, TL-9000, etc.)

If the training requirements do not include ISO-9001:2008 based audits or for auditors previously qualified for ISO-9001 the auditor must have completed the ISO-9001:2008 classroom training course.

LEAD AUDITOR – Prerequisite for Candidate Lead Path: Qualified as ISO 9001 auditor in the UL DQS program or other accredited registrar

Training Program Requirements: Participate as a Candidate Lead on a minimum of 3 Registration, reassessment or scope expansions

totaling 15 audit days o (Up to 25% of the days can be offsite activity such and document review, audit planning and

closure)o If already qualified as an ISO-14001 auditor and lead auditor, may immediately qualify as

ISO-9001 lead auditor upon obtaining ISO-9001 auditor qualification. Audits must be a multi-path audit. One team member must be a Qualified Lead Auditor Qualification audit evaluation by team member with “Qualifier” status Candidate lead audits must be completed within a two-year period.

AUDITOR / LEAD AUDITOR MAINTENANCE: All qualified auditing personnel shall participate in a minimum of 4 audits totally 20 audit days (11 days

onsite) (Any ISO 9001 based standard) annually

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APPENDIX B – ISO 14001, RC14001 AND RCMS PROGRAMAUDITOR:Prerequisites for Candidate Auditor Path:

Secondary education and minimum 5 years work experience OR Post-secondary education and minimum 4 years work experience.

Two years of work experience must be in Environmental Management in order to qualify for Environmental Experience.

o Any questions by the region about whether work experience counts towards the EMS requirement shall be referred to the EMS PM.

o The EMS PM may require completion of an environmental legislative and regulation course to supplement the work experience.

Successfully complete accredited ISO 14000 lead assessor’s course. Training Program Requirements:

Minimum of 1 observation visit unless waived by regional management. Train on a minimum of 4 audits for 20 audit days:

o Up to 25% of the days can be offsite activity such and document review, audit planning and closure.

o Training may be reduced to 3 audits for 15 days if Candidate Auditor is already qualified as an ISO-9000 Auditor.

Must receive a minimum score of “M” for all requirements documented in QF-1800-2 and must receive a minimum final score of “M” on each element / attribute / skill defined on the QF-1815-1.

Training or prior audit experience must include auditing on registration, continuous, and preliminary assessments in order to qualify for that assessment type.

The qualification audit must be a registration, triennial reassessment or continuous assessment. Training audits must be completed within a three-year period. For RC14001 and RCMS all ISO 14001 training requirements apply plus the following additional

requirements:1) Successfully complete an Accredited ACC qualified Responsible Care training course and pass any exam at its conclusion;2) A minimum of 2 years Environmental and / or OHS experience in the past 10 years, or equivalent experience in the Chemical Industry;3) Meet the continuing education requirements of 15 total hours every three years;4) Participate in a minimum of one (1) RC14001 / RCMS on-site performance evaluation audit every year;5) Auditors must participate in at least 4 audits, totaling 20 days covering all requirements of ISO 14001 and / or RC14001 / RCMS Program audits within the past three (3) years;6) Auditors will be certified as RABQSA Responsible Care Lead Auditors or BEAC Certified Responsible Care Auditors

All Auditors will take and pass the BEAC Responsible Care Certification Examination prior to do any RC14001 or RCMS audits as a qualified Auditor or Lead.LEAD AUDITOR:Prerequisite for Candidate Lead Path:

Qualified as ISO 14000 auditor in the UL DQS program or other accredited registrarTraining Program Requirements:

Participate in a minimum 3 Registration, reassessment, or scope expansion assessments totaling at

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least 15 audit days: Up to 25% of the days can be offsite activity such and document review, audit planning and closure. If already qualified as an ISO-9001 auditor and lead auditor, may immediately qualify as ISO-14001

lead auditor upon obtaining ISO-14001 auditor qualification and being evaluated as meeting requirements for Stage 1 Assessments. This evaluation must be included on the QF-1815-1 Audit in Training form.

Audits must be a multi-path audit. One team member must be a Qualified Lead Auditor Evaluator on qualification audit must have “Qualifier” status Candidate Leads must be completed with 2-year period.

OTHER EMS PROGRAM QUALIFICATIONS:Environmental Experience Requirements:

If less than two years environmental work experience, a course on environmental legislation and regulations is required.

Alternative methods of approval of environmental experience as UL DQS EMS audit experience is gained to supplement prior work experience must be documented and approved by the EMS PM. The documentation must include an evaluation by an EMS Qualifier with Environmental Experience. The evaluation must include knowledge of general environmental principles, regulations, risks and effects and how they are applied to an ISO 14001 audit situation.

Country of Audit Skill: EMS auditors / lead auditors are qualified for audit in a specific country by meeting one of the following requirements. Approval authority is an EMS Competency Verifier and shall be noted on the Auditor Evaluation Form. Approval via method d) is to be documented separately and also approved by the EMS PM:a) 1 year of environmental work experience in the country of the audit; orb) Certified Environmental Auditor status from an appropriate organization recognized for this purpose from the

country of the audit; orc) 1 year of environmental education on the Regulations and environmental considerations of the country of

the audit; ord) Be able to demonstrate sufficient knowledge of the Regulations and environmental considerations from the

country of the audit to the audit program management or delegates, by means of interviews, observation, references and / or assessments of environmental auditing performance. The following criteria shall be applied to the evaluation of the candidate’s knowledge:i) Regulations in the country of consideration including requirements affecting air pollution, water

pollution, soil contamination and remediation, and hazardous waste; plusii) Environmental experience in the country of consideration, as applicable; plusiii) Environmental risks and effects in light of any unique environmental conditions that may exist in the

country of consideration such as effects to the geology, weather, population, flora, fauna, ecology, water, air, soil and other natural resources; plus

iv) Interrelationships with other countries neighboring to or affected by the country of consideration.Environmental Effects: Each Auditor / Lead Auditor shall be evaluated by a Qualifier as part of the qualification process against the environmental effects listed below. Evaluation may include review of the candidate’s work experience, observation of audit performance or interviews of the candidate. Approval authority is an EMS Competency Verifier.

Air Pollution Water Pollution Water Treatment Soil Pollution and Remediation Hazardous Waste

AUDITOR / LEAD AUDITOR MAINTENANCE

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All qualified auditing personnel shall participate in a minimum of 5 ISO 14001, RC14001 or RCMS audits annually.

APPENDIX C – AS PROGRAMBASE QUALIFICATION: ISO 9000 Auditor or Lead Auditor with SIC qualification in 372 and/or 376PREREQUISITES FOR MANDATED TRAINING COURSE:

At least 4 audits for a minimum of 20 days, covering all elements of ISO 9001, during the last 3 years.TRAINING COURSE REQUIREMENTS:

Successfully complete RABQSA approved AQMS Foundation Course or AQMS Standard Auditor Course that meets the criteria for aerospace training programs established by AS9104-3

Auditors must successfully complete the 9100/9110/9120:2009 sanctioned training prior to conducting any 9100/9110/9120:2009 audits.NOTE: Auditors not authenticated for the 9100/9110/9120:2009 AQMS Standards as described above will no longer be able to do AQMS audits as of 1 July 2011.

AEROSPACE AUDITOR (AA): Submission of Aerospace Auditor Application, Education, Industry Background, Audit Experience and

Training Course Certificate to RABQSA for approval by the Registrar Management Committee (RMC). The RABQSA and RMC will approve or deny Aerospace Auditor qualification. If not approved, they will

advise of the reason to allow for resubmission. AEROSPACE EXPERIENCED AUDITORS (AEA):

To be qualified as an AEA, the candidate must meet AA requirements and satisfy one of the following three requirements. Evidence of meeting the requirement is to be submitted with the initial Aerospace Auditor package to the RABQSA and RMC or subsequently as a separate package if met via the witnessed audit method.

The RABQSA and RMC will approve or deny Aerospace Experienced Auditor qualification. If not approved, they will advise of the reason to allow for resubmission.

Requirements: Work experience consisting of 4 years in the aerospace industry within the prior 10 calendar years

directly involved in Engineering, Design, Manufacturing, Quality or Process Control for a major airframe manufacturer, prime supplier, auxiliary equipment supplier and/or appropriate NASA, DOD, FAA, MOD or equivalent organization. Generally candidate’s who did not have exposure to the quality system would not be acceptable. Direct involvement or knowledge of the following shall be included. The candidate’s previous position would have required them to have basic knowledge of all elements and responsibility for utilization of and compliance to at least some of the elements:

o Aerospace Industry Quality Perspectiveo Civil Aviation Authority Roles/ Responsibilities/ Regulations Overviewo DCMA Roles/ Responsibilitieso 1st Production Article Inspection (AS9102)o Aerospace material traceability requirementso Aerospace material accountability requirementso Aerospace subcontractor approval and control requirementso Key/ Critical characteristic classification (AS9103)o Quality requirements flow downso FOD program requirementso Use of customer supplied productso Positive Recall system

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o Stamp Controlo Nonconforming material, system requirements and operationo Sampling inspection requirements and limitations

OR Current auditor certification under an existing accredited aerospace auditor scheme; i.e., Society of

British Aerospace Companies (SBAC) TS 157. The above must be documented by a current IRCA aerospace auditor approval card

OR If the auditor candidate’s aerospace industry experience is less than 4 years within the last 10 (or more

than 6 consecutive years since last industry work experience from the date of application), the auditor candidate must have participated in a minimum of two witnessed aerospace industry audits (registration or upgrade audits are required) within the past 3 years. A qualified Aerospace Experienced Auditor who has been qualified via work experience or auditor certification method must conduct these witness audits. The auditor candidate must receive a positive recommendation for qualification on all audits, documented on the Auditor-In-Training Form; QF-1807-1; part 2. The comments must specify that the candidate has been evaluated for recommendation as an Aerospace Experience Auditor.

AUDITOR / LEAD AUDITOR MAINTENANCE Maintain ISO-9000 qualification Participate in a minimum of 4 aerospace audits during the previous 3-year period. In addition, the

individual must have completed a minimum of 15 hours of continuing education, which must include review of changes to the industry standards, auditing methods, and ISO requirements. Evidence of meeting this requirement is to be recorded in terms of Continuing Professional Development hours and can be accomplished through professional activities as described in AS9104-3, section 8.1. At least three months prior to expiration of auditor approval, auditors should provide documented evidence of the required CPD and audit experience to RAB for re-authentication.

COMPETENCY REVIEWER APPROVAL All qualifications/re-qualifications will be reviewed and approved by a U.S. based Competency

Reviewer.

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APPENDIX D – TL 9000 PROGRAMBASE QUALIFICATION: ISO 9000 Auditor or Lead Auditor PREREQUISITE FOR MANDATED TRAINING COURSE:

Participate in at least four (4) audits for a minimum of twenty (20) days that cover all the elements of the ISO 9001 standard within the last three (3) years.

TRAINING COURSE REQUIREMENTS: Successfully complete sanctioned 4 day QuEST forum sanctioned TL 9000 Quality System

requirements and metrics auditing courseTL-9000 AUDIT TEAM LEADER REQUIREMENTS

The TL 9000 Team Leader (not necessarily a Lead Auditor) must meet the following criteria:

a) A qualified Team Leader must have at least 2 years workplace experience within the last 10 years in the Telecommunications industry involved in Engineering, Design, Manufacturing, Quality and/or Process Control for a Telecommunications Service Provider or a 1st or 2nd tier supplier. ;

- OR -

b) Non-TL 9000 Audit Team Leader - The Team Leader must have 20 days of on-site auditing experience within the last 2 years. This experience must be in the sector relevant to the telecommunications industry being audited.

c) Auditor participated in at least 4 TL-9000 audits for a minimum of 20 on-site audit days that cover all the applicable elements and have been witnessed by a qualified TL-9000 Audit Team Leader with a positive recommendation for qualification.

AUDITOR / LEAD AUDITOR RELEVANT EXPERIENCE:The auditor is to document their telecommunications background by completing Form QF-0916-2 and submit it to Regional Management. If Regional Management agrees with that they meet the requirements for relevant experience, they are to submit it to the Global Telecommunications Program Manager for review and approval. A minimum of 10 points is required for approval. Requirements for scoring are as follows:

Telecommunications Industry Experience -A minimum of 5 points are required in this area as this is the most critical area in determining relevant experience. Review the information provided and award points as follows:

5 points for every two years workplace experience in the telecommunications industry directly involved in Engineering, Design, Manufacturing, Quality and/or Process Control for a Telecommunications Service Provider or a 1st or 2nd tier supplier (must have been within the last ten (10) years) as defined by the appropriate NACE code or equivalent method used by the registrar

3 points for each two years of workplace experience in a sector relevant to the telecommunications industry.

2 points for each year of work in industries with similar high standards (i.e., aerospace, defense, medical device, nuclear, automotive, railway, etc.)

2 points for each year of work with processes similar to the telecommunications industry (i.e., network equipment, switching, signaling, transmission, operation and maintenance installation)

UL work experience other than auditing may be considered, however, the points awarded are determined at the reviewer’s discretion

Academic Experience - A maximum of 2 points can be awarded in this area. Award 0.25 point for each telecommunications engineering related course taken while achieving a degree.

Audit Experience - Award 2 points per year or 0.25 point per TL-9000 assessment (preliminary, registration or continuous) within a year, whichever number is greater.

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Training -Only training directly related to the telecommunications industry is applicable in this area. This training includes the QuEST Forum sanctioned three (3) day TL 9000 Quality System Auditing Registrars Course or the QuEST Forum sanctioned four (4) day TL 9000 Quality System Requirements and Metrics Auditing Course. Award 0.25 point for each day of applicable telecommunications training. AUDITOR / LEAD AUDITOR RE-QUALIFICATION:

Maintain ISO-9000 qualification

Appendix E – OHSMS / BS OHSAS 18001 ProgramAUDITOR:Prerequisites for Candidate Auditor Path:OHS Experience: The OHS knowledge and skills shall include both health and safety management methods and techniques and health and safety science and technology. Health and safety methods and techniques include the understanding of terminology, principles and their application, and related management tools. Health and safety technology includes the impact of human activities on the work environment (ergonomics), industrial hygiene, interaction of chemicals and materials, human health, illness and injury, identification of potential use of administrative controls, machine guards and protective equipment and incident investigation. Any question about whether a candidate’s experience meets these requirements shall be referred to the OHS PM.

Secondary education and minimum 5 years work experience OR Post-secondary education and minimum 4 years work experience

Two years of work experience must be in Occupational Health and Safety Management or Industrial Hygiene in order to qualify for Occupational Health and Safety or Industrial Hygiene Experience. Any questions by the region about whether work experience counts towards the OHS requirement shall be referred to an OHS Competency VerifierThe OHS Competency Verifier may require completion of an Occupational Health and Safety or Industrial Hygiene legislative and regulation course to supplement the work experience.

Alternative methods of approval of other Occupational Health and Safety or Industrial Hygiene experience to supplement prior work experience must be documented and approved by an OHS Competency Verifier. The documentation must include an evaluation by an OHS Qualifier. The evaluation must include knowledge of general Occupational Health and Safety or Industrial Hygiene principles, regulations, hazards, risks and effects and how they are applied to an OHSMS / BS OHSAS 18001 audit situation.

Training Program Requirements: Minimum of 1 observation visit unless waived by regional management. Train on a minimum of 4 audits for 20 audit days. (waived for qualified UL DQS ISO 14001 Auditors):

Up to 25% of the days can be offsite activity such and document review, audit planning and closure. Training may be reduced to 3 audits for 15 days if Candidate Auditor is already qualified as an ISO

9001 Auditor.Training may be reduced to only 1 audit for qualification if Candidate Auditor is already qualified as an ISO 14001 Auditor.

Auditor that qualifies for the RC 14001 (which includes OHSMS) also can be qualified for BS OHSAS 18001 through only an interview process to demonstrate knowledge of the differences with the BS OHSAS 18001 Standard.

Must demonstrate competency in auditing of the BS OHSAS 18001 Standard by receive a minimum score of ”M” for all requirements documented in QF-1800-2 and must receive a minimum final score of ”M” on each element / attribute / skill defined on the QF-1815-2. Qualification to BS OHSAS 18001 will automatically qualify for OHSMS.

Training or prior audit experience must include auditing on registration, continuous, and preliminary assessments in order to qualify for that assessment type (Waived for qualified UL DQS ISO 14001 Auditors).

The qualification audit must be a registration, triennial reassessment or continuous assessment.Training audits must be completed within a three-year period. LEAD AUDITOR:Prerequisite for Candidate Lead Path:

Qualified as OHS auditor in the UL DQS program or other accredited registrar

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Training Program Requirements: Participate in a minimum 3 Registration, reassessment, or scope expansion assessments totaling at

least 15 audit days: Up to 25% of the days can be offsite activity such and document review, audit planning and closure.If already qualified as an ISO 9001 or ISO 14001 lead auditor, may immediately qualify as a BS OHSAS 18001 lead auditor upon obtaining BS OHSAS 18001 auditor qualification and being evaluated as meeting requirements for Stage 1 Assessments. This evaluation must be included on the QF-1815-2 Audit in Training form.

Audits must be a multi-path audit. One team member must be a Qualified Lead Auditor. (Waived for qualified UL ISO 14001 Lead Auditors)

Evaluator on qualification audit must have OHS ”Qualifier” status.

Candidate Lead Audits must be completed with 2-year period. OTHER OHS PROGRAM QUALIFICATIONS:Occupational Health and Safety Experience Requirements: Country of Audit Skill:

OHS auditors are qualified for audit in a specific country by meeting one of the following requirements. Approval authority is an OHS Competency Verifier and shall be noted on the Auditor Evaluation Form. Approval via method d) is to be documented separately and also approved by an OHS Competency Verifier.

a. 1 year of Occupational Health and Safety or Industrial Hygiene work experience, OHS management system work experience only doesn’t applied, in the country of the audit; or;

b. Certified Occupational Health and Safety or Industrial Hygiene Auditor status from an appropriate organization recognized for this purpose from the country of the audit; or;

c. 1 year of Occupational Health and Safety or Industrial Hygiene education on the Regulations and Occupational Health and Safety or Industrial Hygiene considerations of the country of the audit; or;

d. Be able to demonstrate sufficient knowledge of the Regulations and Occupational Health and Safety considerations from the country of the audit to the audit program management or delegates, by means of interviews, observation, references and/or assessments of Occupational Health and Safety auditing performance. The following criteria shall be applied to the evaluation of the candidate’s knowledge:

i) Occupational Health and Safety or Industrial Hygiene regulations in the country of consideration; plusii) Occupational Health and Safety or Industrial Hygiene experience in the country of consideration, if applicable; plus;iii) Occupational Health and Safety or Industrial Hygiene risks and effects in light of any unique Occupational Health and Safety or Industrial Hygiene conditions that may exist in the country of considerationiii) ISO 14001 Auditor Country of Audit Skill be considered acceptable with an evaluation including 'knowledge of general Occupational Health and Safety or Industrial Hygiene principles, regulations, risks and effects and how they are applied to a BS OHSAS 18001 audit situation."

Product Manager Competency RequirementThe Product Manager must meet the requirements in this appendix. Ongoing competency evaluation is required every 4 years and documented using QF-0800-1, Basic Competency Requirements for Product Manager (PM’s).

APPENDIX F – ISO/TS 16949 PROGRAMBASE QUALIFICATION: ISO 9000 Auditor or Lead Auditor. All TS auditors shall meet the basic competency requirements outlined in the body of this procedure.PREREQUISITES FOR IATF AUDITOR QUALIFICATION PROCESS:

At least 6 ISO 9001:2000 third party audits as a lead auditor* (3 at least in manufacturing industries). Note: Automotive manufacturing first or second party auditing experience may be considered.AND, in addition, either of the following conditions:

Experience Requirements - 6 years full time appropriate practical experience (including 2 years

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dedicated to QA activities) in the past 10 years in an organization meeting TS applicability requirements. Experience in industries with similar scopes of applicability in chemical, electrical or metallic commodities may be considered at the discretion of the TS16949 Subject Matter Expert or Regional Program Leaders.

Must be tested or interviewed for knowledge of the core tools by the Global Program Leader, Regional Program Leaders, or Regional Management qualified in TS prior to application to the Auditor Development Process. Record of the test or interview will be submitted to RTS and retained in the qualification files.

A Completed Application form, auditor’s CV, log of ISO9001 third party audits and ISO9001 Lead Auditor certificate will be submitted to the VDA to obtain their approval and access to the IATF Auditor Qualification Process.

MANDATED TRAINING:Successfully complete the assessment and qualification event once granted the access to the IATF Qualification Process.Auditors must possess a UL DQS sponsored IATF certification to perform assessments for UL DQS. To obtain the additional sponsorship, those registered in the ADP process must request through the ADP system. If not registered in ADP, local operations shall contact RTS for assistance.MAINTAINING AUDITOR CERTIFICATIONOver view - In addition to performing a minimum number of audits and audit days on an annual basis, TS auditor qualification maintenance requires (1) An annual performance evaluation documented on QF-1800-3 and (2) A witness audit done once per the assessors 3 year certification cycle and documented on QF-1807-1A.Auditor Personal Development – The auditor shall be responsible for undertaking 20 hours continuing personal development per year which shall be a combination of directly related subject matter (Automotive related or audit related techniques, e.g. Core Tools, Special Processes, Lean Manufacturing Tools & Techniques, 6 Sigma, ISO19011, ISO/IEC 17021 Part 1) and related subject matter (Other management systems, Quality, Environmental & Health & Safety, e.g. AS9100, ISO14001, OHSAS 18001, IRIS & AQAP). For Unstructured training (i.e. reading a book), 3 hours are accepted as one CPD hour; on Semi-structured training, such as open and distance learning which involves formal assessment (e.g. IATF training modules within the ADP, as well as preparation and delivery of lectures and or training courses), 2 hours are equivalent to one CPD hour; Structured training, including open face to face training courses which result in the acquisition of a qualification or active participation at professional body meetings and the participation in the development of standards, each hour is equivalent to one CPD hour (for more information, go to the TS 16949 Rules 3rd edition FAQ available on the IATF website: IATF Global Oversight Website . Unstructured CPD can not constitute more than 6 CPD hours of the annual acceptable hours. The auditor shall be responsible to complete an annual development plan based on the competency profile generated from the auditor development process.Minimum TS Audits/Audit days for Maintenance - Conduct a minimum of one (1) ISO/TS 16949 audit per three month period within a minimum total of ten (10) audit days within any twelve (12) month period from the date of qualification. Failure to meet this requirement shall result in withdrawal of their auditor credentials and the auditor shall be turned inactive in the IATF database. Regional management shall report any auditor not meeting this requirement to the IATF database administrator, who will request to VDA withdrawing the auditor’s qualification. This data shall be documented and reported annually on the QF-1800-3 Auditor Performance evaluation.Global Witness Audit Schedule - Each country/area will maintain an annual schedule for their auditor witness

audits. This will be developed at the beginning of the year and forwarded to the TS PM. The schedule shall include full-time and subcontracted TS auditors. Overall, each region must schedule the witness audits to ensure that every TS Auditor is witnessed at least once in every three year period of their certification/recertification, excluding the witness immediately after initial certification described below. Harmonized procedures applicable to the witness process, from the DQS Group shall be considered.

Witness Auditor Approval – Witness auditors must be approved by the VDA. Area Managers, Country Leaders or Regional Program Leaders may propose potential candidates for VDA approval by completing form QF-1800-9 and forwarding it to the TS PM. The TS PM will evaluate these submittals to ensure the candidate has the appropriate background, and possesses the aptitude for training and

http://www.iatfglobaloversight.org/

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evaluating, Leadership skills, decision making ability and program knowledge for this task (Ii.e. demonstrated by taking the examination within the IATF ADP). Approved requests will be forwarded to the VDA. All records of VDA approval of witness auditors will be retained by RS.

Initial Qualification Witness Audits – Newly qualified TS auditors shall be successfully witnessed within six months after original qualification, meanwhile, the auditor can not act as team leader in an audit until successfully witnessed. The witness audit results shall be documented using form QF-1814-2.

Witness Audit Conduct – Witness audits may occur on Stage 2 or Surveillance or recertification audits. The witness auditor shall not be part of the audit team. The following represents the minimum duration for witness audits for each type of audit:

Stage 2 – 2 days Surveillance/Recertification – 1 day

Competence to Assess TS - Witness audits must result in a decision as to whether the auditor is competent or not. An auditor must be deemed not competent if any of the following are noted:

The auditor did not demonstrate effective implementation of the automotive process approach, including use of customer/business measurements and requirements

The auditor did not effectively sample th system or demonstrate knowledge of automotive core tools The auditor did not reach the proper conclusion regarding classification of AR’s or the outcome of the

auditWhen deemed not competent, the reaction process outlined below will be followed. If deemed competent, but with non-conformances to UL policy/procedures (which include VDA rules) noted, an ETQ CAR shall be generated to correct the issues. Opportunities for improvement in audit methodology (which are not non-conformances) should be provided to the auditor and require no further action.

Annual Evaluation - Annual evaluation of ISO/TS 16949 auditors must be conducted by regional management qualified in the program (or their designee) or the regional program leader and documented on the QF-1800-3. The annual assessment must include evidence that ALL of the following data was used as part of this evaluation:

Feedback from witness audits (either internally witnessed or VDA witnessed), if any. Feedback from the technical review process Post audit surveys (either global or local survey results) Feedback from organizations audited. If no feedback received, local management shall proactively

contact organizations evaluated to gather this feedback. Aforementioned survey results from organizations may be used to meet this requirement.

Feedback from customers (This is the customer of the organization. If none, local management must state such Feedback from the Review Process)

ADP results (including examiniation and any opportunity for improvement detected) Auditor Personal Development requirements

Annual evaluations shall be submitted to the Regional Program Leader for evaluation. The Program Leader shall evaluate the results of the annual evaluation to determine competence. Failure to implement these requirements and maintain this process shall result in a withdrawal of auditor credentials. Result of the evaluation shall be submitted to RS and the TS PM.Reaction Process When Auditors Deemed not Competent - If it is determined that competence is lacking during the annual evaluation or from a witness audit, the following actions shall be taken:

The auditor shall not conduct TS audits as lead until such time that issues are verified as corrected A corrective action shall be entered to address the issue and plan for further development initiated by

regional management. Corrective action must be fully implemented and deemed effective within 3 months of the decision that the auditor was not competent. Failure to meet this timing will result in the auditor being disqualified from TS (with VDA notification)

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For cases where the auditor was deemed not competent during a witness audit, the only acceptable means of verifying the effective is another on-site witness assessment

For cases where the auditor was deemed not competent from an annual evaluation, regional management shall propose a verification activity based on the reason they were deemed not competent as part of the proposed corrective action. This must be agreed to by the TS PM.

Note: Lack of competence may be observed outside of the annual appraisal. If regional management notes competence/performance issues before the annual appraisal, a special appraisal shall be conducted using the QF-1800-3 and shall follow the same evaluation process.For clarification, the TS audit-day requirement is implemented as follows:

In the first year of qualification, a 12 month calendar form the certification date In the second year of qualification and on, an annual calendar from Jan 1-Dec 31

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APPENDIX G – RC14001 PROGRAMBASE QUALIFICATION: ISO 14001 Auditor or Lead AuditorPREREQUISITES FOR MANDATED COURSE:

A minimum of 2 years Environmental and / or OHS experience in the past 10 years, or equivalent experience in the Chemical Industry

RC 14001 MANDATED CERTIFICATION COURSE: Pass American Chemical Council’s qualified Responsible Care Course and ANAB or BEAC proctored

exam.AUDITOR / LEAD AUDITOR MAINTENANCE:

15 hours of continuing education in the environmental or OHS field in each three-year period. Participate in a minimum of one (1) RC14001 or RCMS on-site performance evaluation audit every

year. Participate in 2 registrations or Triennial Reassessment over a three year period Lead auditors must participate in at least 4 audits, totaling 20 days covering all requirements of ISO

14001:2004 and / or RMCS audits within the past three years;

APPENDIX H – HSPM PROGRAMBASE QUALIFICATION: ISO 9001 Auditor or Lead AuditorPREREQUISITES FOR MANDATED COURSE:

NONEHSPM MANDATED CERTIFICATION COURSE:

Pass IECQ qualified HSPM Assessor CourseINITIAL QUALIFICATION WITNESS AUDITS

Newly certified HSPM auditors shall be successfully witnessed on their first HSPM audit after certification, prior to being entered into the internal database as a qualified HSPM auditor and used on subsequent HSPM audits. The witness audit results shall be conducted by a HSPM qualifier and documented using form QF-1814-3 with applicable clauses.

AUDITOR/LEAD AUDITOR MAINTENANCE

Maintaining ISO 9001 auditor/lead auditor qualification Participate in a minimum of 3 HSPM audits during the previous 3-years period with no occurrence of

major customer complaint or nonconformity during HSPM assessment or report review.

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UL DQS Inc.

Revision History SheetDocument Number: Q-1800-1 Issue Date: March 11, 1991

Document Title: Lead Auditor/ Auditor Qualification Procedure

Date Description of Change Originator11/16/04 SA 8000 auditor and lead auditor qualification requirements are added. Modify 6.2.3.2a to make the

qualification letter optional. Update 6.4.2 regarding the audit roles allowed for an audit to count towards the maintenance requirement. Update Appendix B to require evaluation of competence to perform Stage 1 Evaluations before an individual qualifies as an EMS Lead when already qualified as a QMS Lead.

P.V.RajuL. Hamilton

1/21/05 Revised to incorporate TS Rules 2 changes. D. Parlagreco

3/7/05 Revised requirements for attaining and maintaining Qualifier status. Clarified requirement for Auditor evaluation to be performed by a Lead Auditor. Changed requirement to allow Auditor requalification to be performed by a Lead Auditor and not requiring a Qualifier.

D. Parlagreco

3/25/2005 Revised to add competency for schedulers, sales and CSP. Complete revision to TS competency section to address CBA 2005-002.

Parlagreco

6/13/05 Added section 6.6 to include competency requirements for schedulers, CSP’s, and Sales. L. Ziemnick

2/10/06 Revised section 5.5 to add Competency Verifier Exam requirements and also flowchart defining process (Attachment 3). Also revised training hours for ISO 9000 Lead Auditor Course to meet ISO19011 requirement.

L. Ziemnick

2/17/06 Revise Appendix B to include RC14001/RCMS requirements S. Freeman

11/8/06 Add Appendix I for HSPM auditor qualification. Corrected Appendix F for ISO-9001 prerequisite audit experience.

Eric PuL. Hamilton

4/26/07 Note qualification audit can occur on triennial reassessment type. Remove QS-9000 qualification requirements. Update 6.4.4 for alternative methods to address continual professional development. Update Appendix F regarding responsibility for monitoring TS recertification date.

L. Hamilton

9/10/07 Compliance with 17021 requirements Update to referencesadding competency requirements for management.

A. Tucker

1/17/08 Address Global Management Team competencies in 6.6.4 L. Hamilton

5/12/08 Added Appendix E for OHSAS 18001 program and changed reference for HSPM Assessor Evaluation Form

Eric Pu

9/24/08 Added activities on Appendix F to ensure that TS requalified auditors are timely witnessed. Manuel Díaz

4/16/09 Updated procedure to reference UL DQS and R3 regarding ADP process Manual Diaz

10/9/09 Revised Appendix C AS Program to replace AIR5493 with AS9104-3. Also, revised Appendix C to include new requirements of AS9104-3. Removed requirement of package submission and review prior to submission in Appendix C.

H. Gamboa

12/21/09 Updated Appendix F – ISO/TS Program to reference the ADP system D. Tarantino

7/1/10 Revise Appendix E, for BS OHSAS 18001, Appendix G RC 14001 and Appendix B EMS. Deleted references to obtaining qualification without environmental experience.

J. Skaggs

7/14/10 Updated entire procedure to define the Auditor appointment process. A. Tucker9/1/10 Revised Appendix C AS Program to include requirements for AS91XX:2009 sanctioned

training.H. Gamboa

9/15/10 Appendix E revised to include OHS Experience which previously appeared in another section

A. Tucker

9/30/10 Added competency evaluation for PM in Appendix E; changed SME to PM A. Tucker11/29/10 Revised Appendix to address auditor/lead auditor maintenance and correct HSPM assessor

evaluation form number referred.Eric Pu

Documents

Q-1807-1 - DQS Japandqs-japan.jp/members/download/Q18001_11-29-10.doc · Web view2010/11/29 · AUDITOR / LEAD AUDITOR RE-QUALIFICATION: Maintain ISO-9000 qualification Appendix