Evaluating Auditor Candidates
A.1 General
This annex is an integral part of this part of ISO 10011 and provides methods for judging auditor candidates against the criteria defined therein.
A.2 Evaluation panel
A key tool in the implementation of this part of ISO 10011 is the. formation and operation of an evaluation panel, that may be internal or external to the auditee. whose main purpose is to evaluate the qualifications of auditor candidates.
This panel should be chaired by an individual currently active in managing significant auditing operations, who has met the auditor qualification recommendations given in this part of ISO 10011, and who is acceptable to a majority of other members of the panel and to the management of the organization responsible for the activities of the panel. The panel should include representatives from other areas with current and informed knowledge of the audit process. The should include clients who require audit reports, and auditees who have been subject of regular audits of a substantial nature.
Methods of selecting specific members of the panel are dependent on the type of anticipated audit activity, such as:
- Internal audits : panel members should be selected by the organization's management.
- Customer audits : panel members should be selected by the customer unless otherwise agreed.
- Independent third party audits : panel members should be selected by the board of management of a national certification scheme or equivalent.
An evaluation panel should consist of not less than two members.
Evaluation panels should operate under defined rules with procedures that are designed to ensure that the selection process is not arbitrary, that it maintains the criteria established in this part of ISO 10011 and is not susceptible to a conflict of interest.
A.3 Evaluations
A.3.1 Education and training
There should be evidence to show that the candidate has acquired the necessary knowlwdge and skills to carry out and manage audits. This may take the form of an examination administered by a National Certification Body, or other appropriate means acceptable to the evaluation panel.
In evaluating auditor candidates, the panel should also make use of
- interviews with candidates;
- examinations;
- candidates' written work.
A.3.2 Experience
The panel should satisfy itself that the experience claimed by a candidate has actually been achieved and has been gained within an acceptable time frame.
A.3.3 Personal attributes
The panel should use techniques such as
- interviews with candidates;
- discussions with former employers, colleagues, etc;
- structured testing for appropriate characteristics;
- role playing;
- observations under actual audit conditions.
A.3.4 Management capability
The panel should use techniques such as
- interviews with candidates;
- discussions with former employers, colleagues, etc.;
- structured testing for appropriate characteristics;
- role playing;
- observations under actual audit conditions;
- reviewing records of training and related examinations.
A.3.5 Maintenance of competence
The evaluation panel should periodically review auditor performance, taking into account audit programme management's assessment of performance. Any reevaluation of auditor certification arising from these reviews should be carried out by the evaluation panel.
A.3.6 Panel decisions
The evaluation panel should only approve or disapprove the proposed candidates. Review of auditor performance should also result only in approval or disapproval. Decisions should be documented and communicated to the candidates.
by EDY
A.1 General
This annex is an integral part of this part of ISO 10011 and provides methods for judging auditor candidates against the criteria defined therein.
A.2 Evaluation panel
A key tool in the implementation of this part of ISO 10011 is the. formation and operation of an evaluation panel, that may be internal or external to the auditee. whose main purpose is to evaluate the qualifications of auditor candidates.
This panel should be chaired by an individual currently active in managing significant auditing operations, who has met the auditor qualification recommendations given in this part of ISO 10011, and who is acceptable to a majority of other members of the panel and to the management of the organization responsible for the activities of the panel. The panel should include representatives from other areas with current and informed knowledge of the audit process. The should include clients who require audit reports, and auditees who have been subject of regular audits of a substantial nature.
Methods of selecting specific members of the panel are dependent on the type of anticipated audit activity, such as:
- Internal audits : panel members should be selected by the organization's management.
- Customer audits : panel members should be selected by the customer unless otherwise agreed.
- Independent third party audits : panel members should be selected by the board of management of a national certification scheme or equivalent.
An evaluation panel should consist of not less than two members.
Evaluation panels should operate under defined rules with procedures that are designed to ensure that the selection process is not arbitrary, that it maintains the criteria established in this part of ISO 10011 and is not susceptible to a conflict of interest.
A.3 Evaluations
A.3.1 Education and training
There should be evidence to show that the candidate has acquired the necessary knowlwdge and skills to carry out and manage audits. This may take the form of an examination administered by a National Certification Body, or other appropriate means acceptable to the evaluation panel.
In evaluating auditor candidates, the panel should also make use of
- interviews with candidates;
- examinations;
- candidates' written work.
A.3.2 Experience
The panel should satisfy itself that the experience claimed by a candidate has actually been achieved and has been gained within an acceptable time frame.
A.3.3 Personal attributes
The panel should use techniques such as
- interviews with candidates;
- discussions with former employers, colleagues, etc;
- structured testing for appropriate characteristics;
- role playing;
- observations under actual audit conditions.
A.3.4 Management capability
The panel should use techniques such as
- interviews with candidates;
- discussions with former employers, colleagues, etc.;
- structured testing for appropriate characteristics;
- role playing;
- observations under actual audit conditions;
- reviewing records of training and related examinations.
A.3.5 Maintenance of competence
The evaluation panel should periodically review auditor performance, taking into account audit programme management's assessment of performance. Any reevaluation of auditor certification arising from these reviews should be carried out by the evaluation panel.
A.3.6 Panel decisions
The evaluation panel should only approve or disapprove the proposed candidates. Review of auditor performance should also result only in approval or disapproval. Decisions should be documented and communicated to the candidates.
by EDY
