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QMS AUDITOR REGISTRATION

NBQP/1001/0709/06

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Criteria for QMS Auditor Registration


NBQP/1001/0709/06

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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


NBQP/1001/0709/06

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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.


NBQP/1001/0709/06

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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.


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


NBQP/1001/0709/06

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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.


NBQP/1001/0709/06

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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.


NBQP/1001/0709/06

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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.

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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.


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


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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 regrade 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


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.

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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.


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


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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.


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


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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)


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*


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)


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/-


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


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


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 ______/_________/_______


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


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


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

NBQP/1001/0709/06 27

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