BUREAU OF INDIAN STANDARDS
GUIDELINES
MANAGEMENT SYSTEMS CERTIFICATION
TITLE: GUIDELINES FOR ROLES AND RESPONSIBILITIES OF AUDITING
PERSONNEL
DOC: MSC-G6.3-02 ISSUE: 01
DATE: DEC 2004
PAGE: 1 OF 7
PREPARED BY: HEAD (MSCD)
APPROVED BY: ADG/DDG
1.
PURPOSE
1.1.
To establish guidelines for describing the roles and responsibility of auditing personnel.
2.
SCOPE
2.1
This document covers guidelines for roles and responsibility of auditing personnel.(BIS
auditors, experts, sub-contractor auditors and experts) to be nominated as team leader, lead auditor,
auditor-in-training and technical expert. Sub-contractors as nominated (team leader/lead auditor,
auditor, auditor-in-training, technical expert) shall undertake roles and responsibilities as defined in
this guidelines.
3.
DEFINITIONS
3.1
Auditor-in-training - A person who meets the requirements of qualification of an auditor
but does not have requisite audit experience as given in these guidelines. Auditor-in-training may be
included in the audit team, but should not audit without direction or guidance.
3.2 Auditors – Auditors should have education, work experience, auditor training and audit
experience as given in these guidelines and the requirements of IS/ISO 19011:2002.
3.3
Team Leaders – An audit team leader should have acquired additional audit experience as
given in these guidelines and the requirements of IS/ISO 19011:2002. This additional experience
should have been gained while acting in the role of an audit team leader under the direction and
guidance of another auditor who is competent as an audit team leader. When acting in the role of an
audit team leader, the auditor will be designated as `Team Leader’ in the audit team and the audit
team leader who is already qualified will be designated as `Lead Auditor’ in such a team.
3.4
Lead Auditors - An auditor who is competent as an audit team leader who have already
acquired additional audit experience as given in these guidelines. The team leader will be designated
as `Lead Auditor’ in case an auditor is designated as `Team Leader’ (acting in role of an audit team
leader) in the audit team as given in 3.6 above. Otherwise, in case there is no team leader acting in
role of an audit team leader, the nominated lead auditor will lead the team and will be designated as
`Team Leader and Lead Auditor’.
3.5
Technical Expert - (Audit) person who provides specific knowledge or expertise to the
audit team. Technical experts should operate under the direction of an auditor.
Note 1 - Specific knowledge or expertise is that which relates to the organization, the process or
activity to be audited, or language or culture.
Note 2 - A technical expert does not act as an auditor in the audit team. Technical expert will be
designated as `Expert’ in the audit team.
BUREAU OF INDIAN STANDARDS
GUIDELINES
MANAGEMENT SYSTEMS CERTIFICATION
TITLE: GUIDELINES FOR ROLES AND RESPONSIBILITIES OF AUDITING
PERSONNEL
DOC: MSC-G6.3-02 ISSUE: 01
DATE: DEC 2004
PAGE: 2 OF 7
PREPARED BY: HEAD (MSCD)
APPROVED BY: ADG/DDG
3.6
Auditor Expert - An auditor who also qualifies as an expert as per the requirements of these
guidelines. Such a person will be designated as `Auditor Expert’. (Similarly, Team Leader and
Expert; Lead Auditor and Expert may also be designated).
4.
GUIDELINES
4.1
Roles and Responsibility of Team Leader
i)
Auditor acting in the role of an audit team leader (team leader trainee) shall carry out
all the responsibilities of team leader under the direction and guidance of already
competent audit team leader i.e. nominated lead auditor in the team.
ii)
Team leader shall adhere to the principles of auditing, like, ethical conduct, fair
presentation, due professional care, independence, evidence based approach as given
in IS/ISO 19011:2002.
iii)
Team leader should assist MSCO(R) in selection of audit team, if required/requested
by MSCO(R) to ensure that team is selected in such a way that all the requirements of
competence of audit team as per IS/ISO 19011:2002 and ISO/IEC Guide 62/66 are
fulfilled.
iv)
Team leader should assist MSCO(R) in finalizing arrangement for travelling,
accommodation and other auditing needs with auditee. Help from other auditors may
be solicited.
v)
Team leader shall prepare an audit plan covering audit objectives, scope, criteria,
dates and places for on-site audit activities, time and duration of audit including
meetings with auditee’s management and audit team meetings in consultation with
MR and if required in consultation with MSCO(R). The audit plan shall be circulated
to the audit team members and auditee.
vi)
Team leader shall in consultation with audit team assigned to each team member
responsibility for auditing specific processes, functions, sites, areas for activity taking
into account the effective use of resources. Changes to the work assignment may be
made as the audit progresses to ensure the achievement of the audit objectives.
vii)
Team leader shall prepare work documents which may include checklists, if required,
and other forms for reporting, audit findings, records of meetings, etc.
BUREAU OF INDIAN STANDARDS
GUIDELINES
MANAGEMENT SYSTEMS CERTIFICATION
TITLE: GUIDELINES FOR ROLES AND RESPONSIBILITIES OF AUDITING
PERSONNEL
DOC: MSC-G6.3-02 ISSUE: 01
DATE: DEC 2004
PAGE: 3 OF 7
PREPARED BY: HEAD (MSCD)
viii)
APPROVED BY: ADG/DDG
An audit team leader should be able to
-
to plan the audit and make effective use of resources during the audit.
to represent the audit team in communications with the audit client and
auditee.
to organize and direct audit team members.
to provide direction and guidance to auditor-in-training.
to lead the audit team to reach the audit conclusions.
to prevent and resolve conflicts, and
to prepare and complete the audit report.
ix)
Team leader shall conduct an opening meeting with the auditee’s management and
where appropriate, also those responsible for the functions or processes to be audited.
x)
The purpose of an opening meeting is
a)
b)
c)
d)
xi)
to confirm the audit plan;
to provide a short summary of how the audit activities will be undertaken;
to confirm communication channels; and
to provide an opportunity for the auditee to ask questions
The opening meeting should be formal and records of the attendance should be kept.
The meeting should be chaired by the audit team leader, and the following items
should be considered, as appropriate.
a)
b)
c)
d)
e)
f)
g)
h)
i)
j)
thanks the applicant/licensee for inviting BIS;
introduction of the participants, including an outline of their roles;
confirmation of the audit objectives, scope and criteria;
confirmation of the audit timetable and other relevant arrangements with the
auditee, such as the date and time for the closing meeting, any interim meetings
between the audit team and the auditee’s management, and any late changes;
methods and procedures to be used to conduct the audit, including advising the
auditee that the audit evidence will only be based on a sample of the information
available and that therefore there is an element of uncertainty in auditing;
confirmation of formal communication channels between the audit team and the
auditee;
confirmation of the language to be used during the audit;
confirmation that, during the audit, the auditee will be kept informed of audit
progress;
confirmation that the resources and facilities needed by the audit team are
available;
confirmation of matters relating to confidentiality;
BUREAU OF INDIAN STANDARDS
GUIDELINES
MANAGEMENT SYSTEMS CERTIFICATION
TITLE: GUIDELINES FOR ROLES AND RESPONSIBILITIES OF AUDITING
PERSONNEL
DOC: MSC-G6.3-02 ISSUE: 01
DATE: DEC 2004
PAGE: 4 OF 7
PREPARED BY: HEAD (MSCD)
APPROVED BY: ADG/DDG
k) confirmation of relevant work safety, emergency and security procedures for the
audit team;
l) ascertain union relations or any potential problems;
m) verify that all members of the organization know what is happening;
n) confirmation of the availability, roles and identifies of any guides;
o) the meth od of reporting, including any grading of non-conformities like major
and minor non-conformities and their definitions.
p) clarify possible outcome of the audit;
q) time-span for corrective action;
r) information about conditions under which the audit may be terminated;
s) information about any appeal system on the conduct or conclusions of the audit;
t) invite questions
xii)
Depending upon the scope and complexity of the audit, team leader may make formal
arrangements for communication within the audit team and with the auditee during
the audit.
xiii)
Team leader should ensure that the audit team confer periodically to exchange
information, assess audit progress, and to reassign work between the audit team
members as needed.
xiv)
During the audit, the audit team leader should periodically communicate the progress
of the audit and any concerns to the auditee and audit client, as appropriate,
especially, the evidence collected which suggest an immediate and significant risk
should be reported without delay to the auditee.
xv)
Where the available audit evidence indicates that the audit objectives are unattainable,
the audit team leader should report the reasons to the audit client and the auditee to
determine appropriate action.
Such action may include reconfirmation or
modification of the audit plan, changes to the audit objectives or audit scope, or
termination of the audit.
xvi)
Any need for the changes to the audit scope and audit duration which can become
apparent as on-site auditing activities progress should be reviewed by team leader
with and approved by the auditee.
xvii)
The team leader should arrange a meeting with audit team prior to the closing
meeting to review the audit findings; to agree on the audit conclusions; to discuss
audit follow-up, if required.
BUREAU OF INDIAN STANDARDS
GUIDELINES
MANAGEMENT SYSTEMS CERTIFICATION
TITLE: GUIDELINES FOR ROLES AND RESPONSIBILITIES OF AUDITING
PERSONNEL
DOC: MSC-G6.3-02 ISSUE: 01
DATE: DEC 2004
PAGE: 5 OF 7
PREPARED BY: HEAD (MSCD)
APPROVED BY: ADG/DDG
xviii) Audit team leader shall conduct the closing meeting chaired by him/her. The closing
meeting should be held to present the audit findings and conclusions in such a manner
that they are understood and acknowledged by the auditee, and to agree, if
appropriate, on the timeframe for the auditee to present a corrective and preventive
action plan. Participants in the closing meeting should include the auditee, and may
also include the audit client and other parties. If necessary, the audit team leader
should advise the auditee of situations encountered during the audit that may decrease
the reliance that can be placed on the audit conclusions.
xix)
During closing meeting, any diverging opinions regarding the audit findings and/or
conclusions between the audit team and the auditee should be discussed and if
possible resolved. If not resolved, all opinions should be recorded.
xx)
The closing meeting should be formal and minutes, including records of attendance
should be kept by team leader.
xxi)
Agenda of the Closing Meeting:1.
Thank the organization for the cooperation, if necessary make reference to
individuals.
2..
Request the auditee to defer questions until after the presentation of
findings.
3.
Stress the conformities, commenting generally on complying aspects of the
system.
4.
Emphasize that the audit did not cover every aspect of the auditee's activities
& was carried out on sample basis and therefore, where no non-conformities
were reported, it does not necessarily follow that none exist.
5.
Highlight negative aspects if any, including non-conformities.
6.
Present the detailed findings and announce the outcome.
7.
Invite the auditee to specify at the end of the meeting, a tentative date by
which corrective actions are likely to be implemented.
8.
Need for follow-up visit/audit, if applicable.
9.
Scope of Certification.
10.
Payment of licence fee.
11.
Privileges of the licensee.
12.
Need to keep up the management system during surveillance.
13.
Procedure for surveillance.
14.
Suspension, withdrawal, surrender of licence.
15.
Invite questions and feedback on the findings and conduct of the audit from
auditee.
16.
Thank the organization again, Audit Team and everybody.
17.
Close the meeting.
BUREAU OF INDIAN STANDARDS
GUIDELINES
MANAGEMENT SYSTEMS CERTIFICATION
TITLE: GUIDELINES FOR ROLES AND RESPONSIBILITIES OF AUDITING
PERSONNEL
DOC: MSC-G6.3-02 ISSUE: 01
DATE: DEC 2004
PAGE: 6 OF 7
PREPARED BY: HEAD (MSCD)
xxii)
APPROVED BY: ADG/DDG
The other roles and responsibilities have been defined in the relevant procedures and
guidelines of MSCS documentation which shall be followed by the team leader.
xxiii) The team leader shall submit performance evaluation reports of auditors, auditor-intraining, technical expert. In case lead auditor is nominated in the team comprising of
an auditor acting in the role of team leader, lead auditor shall submit performance
evaluation report of team leader (trainee).
xxiv) The team leader shall submit the confidentiality statement, log sheets as filled-up by
auditor/lead auditor, if any and as signed by concerned persons.
xxv)
4.2
The team leader shall adhere to the Guidelines for Time Schedule for Grant of
Licence (MSC-G6.4-01) indicating time frame for various steps involved in
certification process.
Roles and Responsibility of Auditor/Expert/Auditor-in-training
(`Auditor’ shall mean auditor/expert/auditor-in-training in the following roles and
responsibility)
i)
Auditor shall adhere to the principles of auditing, like, ethical conduct, fair
presentation, due professional care, independence, evidence based approach as given
in IS/ISO 19011:2002.
ii)
Auditor should assist team leader and MSCO(R) in finalizing arrangement for
travelling, accommodation and other auditing needs with auditee.
iii)
Auditor shall assist team leader in all the activities, roles and responsibilities defined
for team leader .
iv)
Auditor shall prepare work documents which may include checklists and other forms
for reporting, audit findings, etc.
v)
Auditor should confer periodically to exchange information, assess audit progress,
and assist team leader to reassign work between the audit team members as needed.
vi)
Auditor shall submit confidentiality statement format duly filled-in before the audit to
team leader and should fill-up his/her log sheet (BIS, NRBPT, IRCA) and get it
signed by auditee/team leader as required and submit to team leader before the
closing meeting.
BUREAU OF INDIAN STANDARDS
GUIDELINES
MANAGEMENT SYSTEMS CERTIFICATION
TITLE: GUIDELINES FOR ROLES AND RESPONSIBILITIES OF AUDITING
PERSONNEL
DOC: MSC-G6.3-02 ISSUE: 01
DATE: DEC 2004
PAGE: 7 OF 7
PREPARED BY: HEAD (MSCD)
APPROVED BY: ADG/DDG
vii)
During the audit, the auditor should periodically communicate the progress of the
audit and any concerns to the team leader and if required with the permission of team
leader to auditee and audit client, as appropriate, especially, the evidence collected
which suggest an immediate and significant risk should be reported without delay to
the auditee.
viii)
An auditor should be able:
-
to provide direction and guidance to auditor-in-training.
to assist the audit team leader to reach the audit conclusions.
to assist team leader to prevent and resolve conflicts, and
to assist team leader to prepare and complete the audit report.
to assist team leader to plan the audit and make effective use of
resources during the audit.
to assist team leader to represent the audit team in communications with
the audit client and auditee.
to undertake any work relating to audit like making arrangements
coordinating with applicant/licensee as assigned by team leader
to cooperate with the team leader and act in such a manner that the team
looks cohesive under the leadership of nominated team leader.
ix)
Auditors-in-training should not audit without direction or guidance of auditor/team
leader and should undertake any work as allotted by team leader.
x)
Technical experts should operate under the direction of auditor/team leader. and
should undertake any work as allotted by team leader
xi)
Technical experts shall submit a report covering technical aspects of the audit in the
prescribed format.
xii)
The auditor/expert shall adhere to the Guidelines for Time Schedule for Grant of
Licence (MSC-G6.4-01) indicating time frame for various steps involved in
certification process.
xiii)
The other roles and responsibilities have been defined in the relevant procedures and
guidelines of MSCS documentation which shall be followed by the auditor/expert.