NABET Criteria for QMS Auditor Registrationqcin.org/nabet/auditors/QMS/cri_qms_08.pdf · QMS...

QMS AUDITOR REGISTRATION

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NABET Criteria for QMS Auditor Registration


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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


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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. NABET 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. NABET 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 NABET 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, NABET 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 NABET. We value your suggestions and feedback. Please contact NABET Office for latest information.


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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. 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


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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 NABET 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 NABET Auditor Registration. They should submit evidence of having completed the continuing professional development (CPD) as per NABET 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.

2.2 This experience may have been part of general work experience.


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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 Party Audits are acceptable only when the complete independence of the

organization’s audit function from its operational activities can be demonstrated.

ii. Second Party Audits are acceptable where it can be demonstrated that the audit was planned and performed in a manner similar to a third party audit.

iii. Third Party Audits that also cover the document review and the report preparation.

iv. Certification & Pre-certification Audits, only one audit is acceptable if an applicant has participated in both certification and pre-certification audit.

v. Consultancy Audits that 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 satisfied:

• a 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 NABET 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.

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.


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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

NABET 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 NABET. Processing of application The application is processed as follows:

a) Administrative check

The NABET 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 NABET. 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.

c) Interview

An interview may be required in circumstances: i) where the criteria for registration has not been fully met and when additional

information is required from the applicant in person.


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ii) to prevent rejection of applicants who are able to demonstrate the appropriate personal attributes and skills required of a competent auditor but who do not comply with the academic qualifications requirement.

Interviews will be conducted at

a. Nearest metro-city closest to the applicant by NABET authorized representative, as per mutually agreed date and time or

b. Through tele-conferencing or video-conferencing as per mutual

convenience No fee is charged for the interview.

d) Confidentiality

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.


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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 NABET.

The Certificate & Registration Card will be sent within 3-4 weeks after the receipt of the fee.

c) Interview Fee. In case the applicant is called for interview, he/she shall have to appear for the interview at own expense. There will be no other fee charged for the interview.

d) Regrade Fee

This fee covers the administrative cost required for each regrade consideration of NABET registered auditors. This fee is due with the re-grade submission and is non refundable. Where a regrade application is successful, the difference in the certification fee on pro-rata basis is to be paid for registration to the new grade for that current year.

e) Reconsideration Fee This fee covers the administrative costs for reconsideration of the application for a higher grade on submission of necessary documentation.

f) 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.


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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 NABET 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 NABET concerning his/her registration. Similarly complaints Made

• by registered auditors against NABET • 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 NABET.

NABET will deal with the matter in accordance with its procedures for appeals, complaints handling and disciplinary proceedings. NABET 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.


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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: a) Audit Experience 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: i) 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. ii) 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.


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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 NABET 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.


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Section IX: Code of Conduct for Auditors

1. To act in a professional and unbiased manner. Be truthful, accurate and fair to the assigned work without any fear or favor.

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 process.

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 NABET, the employer or the

organization being audited.

7. To co-operate fully in any formal enquiry procedure of NABET as per appeals procedure.


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Annexure A Guidance for filling Application

1. Please read NABET 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, NABET 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 NABET. 9. Any additional information like Audit Reports etc. may be asked for by NABET. 10. All correspondence should be addressed to :

NABET C/o Quality Council of India

2nd Floor, Institution of Engineers Building Bahadhur Shah Zafar Marg

New Delhi -110 002

NABET 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 NABET office before submitting the application)


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Annexure B Auditor Pre- Requisites

Table 1

Grade Education

(refer Table 2)

Total Experience (in years)

Experience in Quality

Systems (in years)

No. of Audits Remarks

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* Beside the above all applicants are required to have successfully completed a NABET 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 NABET Criteria.

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)


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Annexure –C Fee Structure

I) Application Package

First time Rs. 200/- Re-registration No Charges

II) Application Fee

First time Rs. 2,000/- Re-registration Rs. 1,500/-

III) Annual Registration Fee (for application approved between) Provisional Auditor Rs. 2,400/- (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)

15% discount on the total fee is given to the Applicants applying for 3 years registration. IV) Re-grade Fee Rs. 1,500/- V) Reconsideration Fee Rs. 1,500/-

VI) Duplicate Card Fee Rs. 250/-

VII) Duplicate Certificate Fee Rs.250/-

Applicable taxes, if any will be charged extra. 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 NABET office.


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Annexure –D Application Form

(Please read the QMS criteria and instructions before filling the form)

1. Mr./Ms./Mrs. ___________________________________________________________________________

(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 12. General Education (Senior Secondary) Period Board Qualification Educational Institution &

Address Subjects Grade

Home Office

Please

Affix here passport

size photo


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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 (Name & Address)

Dates Result From To

15. Membership of Professional Bodies:

S.No. Professional Body (Name & Address) Membership Valid Till Grade No.


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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


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17. The application must be signed by a proposer who has known the applicant for more than two years (The proposers should be registered auditors (preferably by NABET)/Senior officers/Department Heads) 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.

NABET 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 NABET 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 NABET to make any enquiry as deemed fit as part of the reviewing process. NABET 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 NABET 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 NABET. Once registered, I commit to notify NABET 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 NABET code of conduct for consultants. Signature ________________________________________ Date ______/_________/_______


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Annexure –E QMS Audit Log

1. Mr./Ms./Mrs. ________________________________________________________________ 2. Audit Standard ______________________ 3. Audit Type ______________________________ 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 ______________________ 17. Contact Person __________________________________ Designation ____________________ 18. Tel (Nos.) __________________________________ 19. Fax No. ____________________ 20. Email address __________________________________ ______________________________ 21. Employer Signature ____________________________ Company Stamp __________________

Auditor Lead Auditor


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CLAUSES COVERED

ISO 9001:2000 Covered By No. of NC’s Raised

Remarks Clause No.

Applicant (Mark √ )

Other Team Members (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 NABET 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.


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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: Name: ________________________________________________________________

Address: ________________________________________________________________

________________________________________________________________

________________________________________________________________

Designation ____________________________________ Signatures ___________________

Tel. No. _____________________ Fax No. _________________ Email _____________

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)


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Annexure –G CONTINUING PROFESSIONAL DEVELOPMENT (CPD) LOG

Sheet No. ______________

Name __________________________ Registration No. __________________

Date (DD/MM/YY)

Duration of CPD In hours

Type of Activity Formal / Informal

Details of Activity (Title & Duration)

Name / Designation / Contact Details incl. tel.

/fax nos.

Description of Activity and how it meets CPD requirements

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 the activity to be attached.

Date post:	20-Mar-2018
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NABET Criteria for QMS Auditor Registrationqcin.org/nabet/auditors/QMS/cri_qms_08.pdf · QMS...

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