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IRCA Auditor: Requirements for Certification as an
Original Title: Irca 1000 Auditor Certification Requirements
Description: for IRCA Lead Auditor
Contents Note: This contents is hot-linked. Click on a section to be taken to that page
1. Introduction to IRCA Auditor Certification 2. Certification Grades and Summary of Grade Applicabilities 3. Instructions for Initial Certification, Maintenance of Certification, Renewal of Certification and Changing Your Certification Grade (Regrade) 3.1 How to: Make an initial application 3.2 How to: Maintain your certification 3.3 How to: Renew your certification 3.4 How to: Regrade 3.5 IRCAs evaluation process: What we do 4. Essential Guidance for Application 4.1 4.2 4.3 4.4 4.5 4.6 4.7 General Guidance on educational requirements What audits do we accept for certification? What training course certificates does IRCA accept? Guidance on continuing professional development (CPD) Guidance on work experience Guidance on flexibility and potential concessions within IRCAs criteria p. 3-4 p. 5
p. 6-8 p. 6 p. 7 p. 7 p. 7 p. 8 p. 9-15 p. 9 p. 9 p. 9-11 p. 11-12 p. 12-14 p. 14-15 p. 15 p. 16-19 p. 16 p. 17 p. 18 p. 19 p. 20-22 p. 23-24 p. 23 p. 23 p. 23 p. 23 p. 23-24
IRCA 1000 (Rev 1) 15.04.2013
Appendix I Scheme-specific requirements and guidance are given for the following: Part 1 - Quality Management System Auditor Scheme Part 2 - Environmental Management System Auditor Scheme Part 3 - Occupational Health and Safety Management System Auditor Scheme Part 4 - Information Security Management System Auditor Scheme Part 5 - Information Technology Service Management System Auditor Scheme Part 6 - Business Continuity Management System Auditor Scheme Part 7 - Energy Management System Auditor Scheme Part 8 - Pharmaceutical Management System GMP Auditor Scheme Part 9 - Aerospace Quality Management System Auditor Scheme Part 10 - TickIT Auditor Scheme Part 11 - Food Safety Management System Auditor Scheme Part 12 - Social Systems Auditor Scheme Part 13 - EICC-GeSI Auditor Scheme Part 14 - Maritime Auditor Scheme Part 15 - SSiP Assessor Scheme Appendix II Definitions Appendix III IRCA Code of Conduct
p. 25 p. 26 p. 27 p. 28-29 p. 30 p. 31-32 p. 33 p. 34-36 p. 37-40 p. 41 p. 42-44 p. 45-46 p. 47-49 p. 50-52 p. 53-58
Each scheme is based on a key standard, such as: ISO 9001: Quality management systems Requirements (latest issue) ISO 14001: Environmental management systems Requirements (latest issue), etc.
The scope of certification is general. You may select from a list of up to six standard industry sectors in which you have acquired work experience. These details, although included within the register, are self-declarations and outside the scope of certification. The details of all certificated auditors are included within a register that is publicly available. The schemes are intended for: Auditors, eg those for whom auditing is a significant part of their role, including supply chain auditors, those employed by certification bodies/registrars, and those conducting audits within their own organisations Practitioners, eg consultants, audit programme managers, and others involved in auditing through the development and maintenance of management systems, auditor training and standards development.
You should consider this grade if you conduct internal partial system audits of your organisations management system, or a suppliers management system. It is likely that you will not be a fulltime auditor, and you may only audit a few times each year. Whilst the internal auditor grade requires the applicant to have conducted audits, the provisional grade does not. It is therefore appropriate for professionals who have attended an internal auditor training course, but that do not or have not had the opportunity to conduct audits, yet wish to receive formal recognition of their ability. The auditor grade is appropriate for those who conduct full system audits as a member of an audit team and/or as a sole auditor. They may be conducting internal full system audits, second-party full system audits, or conducting third-party audits for certification purposes but do not yet have sufficient experience of leading audit teams. Whilst the auditor grade requires the applicant to have conducted audits, the provisional grade does not. It is therefore appropriate for professionals who have attended an auditor training course, but that do not or have not yet had the opportunity to conduct audits.
Partial system audits are audits that do not cover the entire management system in a single audit. They are commonly departmental, or focused on a particular process, procedure or requirement. It is important to note that the training course certificate is valid for initial application for a period of three years, after which it will no longer be accepted for auditor certification in an initial application. Internal full system audits are accepted. See 4.3 g (p.10).
This grade applies to competent auditors experienced at managing audits and at leading audit teams. This would be the case for auditors working as audit team leaders for certification bodies or those who perform supplier audits for organisations. This grade is appropriate for Senior Audit professionals with an extensive and demonstrable history of conducting full system audits as lead auditors, who may no longer lead audit teams, or conduct audits on a regular basis. Principal Auditors are not required to submit evidence of audits at regrade, as they may have progressed into audit training or management roles. However, submission of any audits carried out is recommended.
Training course certificates are valid for a period of three years, after which they will typically no longer be accepted for auditor certification in initial application (see 4.3b). However, once registered at the provisional auditor grade and as long as the CPD requirements are met, you will be eligible to apply to upgrade to Auditor and Lead Auditor status, should you start to conduct audits and lead audit teams at any point in the future. Internal full system audits are accepted. See 4.3 g (p.10).
3.1 How to: Make an initial application Step 1 Select the grade you want to apply for by reviewing Section 2 of this document (p.5), and checking that you meet the requirements outlined in Section 5 (p.16) and the relevant scheme appendix (p.25-58), in terms of: Step 2 Complete the IRCA auditor certification application form (available at www.irca.org): Indicate which discipline(s) and grades you are applying for, and attach evidence as required. We accept applications and supporting documentation in the following languages: English Japanese Spanish. Relevant work experience Required education/qualifications Required auditor training Required audit experience (except for provisional grades).
See the What we do later in this section to learn how we manage your application. Do not send the annual certification fee. If your application is successful, we will write and ask you to pay the annual certification fee.
3.2 How to: Maintain your certification Your entry onto the IRCA online register of certificated auditors is dependent on you paying your annual certification fee every 12 months (starting from your initial certification date) and by compliance with the IRCA Code of Conduct. 3.3 How to: Renew your certification We dont require you to submit any other documentation at the end of year one and year two. At the end of the third year, all certificated auditors are required to complete the renewal of certification process by providing evidence of continuing professional development, audit experience (depending on grade) and declarations of ongoing compliance with the IRCA Code of Conduct, including any complaints against you. If you are successful at renewal, we will award you certification for a further three-year certification period, and so on. Please refer to Section 6 (p.20) for the grade-specific renewal criteria. We will write to you two months prior to your certification expiring to remind you that your renewal is due. 3.4 How to: Regrade You can apply to be regraded at any time. When we offer you initial certification, we will indicate the audit experience and competencies you need to attain the next grade(s) of certification. To apply for regrade, you should complete IRCA/106 log sheets, enclose any additional information requested, and send it to us with the regrade fee. Please visit www.irca.org for costs. A successful application for regrade will not normally result in a change to your renewal of certification date. There is no regrade fee if you are regraded as part of the (three-year) renewal of certification process. Please contact us if you need any further advice on how to regrade.
3.5 IRCAs evaluation process: What we do We usually take about four weeks to process each application, but that time may vary depending on the time required to verify the information submitted with the application. Giving us all the information we need will speed up the application process, which has four stages: 1) Administrative check All applications are checked first by our certification staff to make sure you have included all of the information that we need. 2) Technical evaluation This phase is performed by IRCA's technical experts; the reviewing officers. The reviewing officers evaluate the information submitted against the certification requirements, then they will perform a verification of some or all of this information. At the conclusion of the technical evaluation, the reviewing officers will make a recommendation on certification to the certification manager. We consider verification to be an essential element supporting the overall credibility of the certification process. Consequently, great care is taken by the reviewing officers in reviewing and verifying applications against all aspects of the certification requirements. We will perform the evaluation as speedily as we can, but sometimes it is not possible to be as quick as we (or you) would like. Processing your application is likely to take longer if you have unusual educational qualifications, if your current (or former) employers are slow to provide verification information, or if the auditee organisations are not helpful. Typically, certification decisions will be made based on the documented information provided by the applicant. However, IRCA will, at its own discretion, invite a number of applicants for interview to verify the information provided, and evaluate the understanding of the auditor. 3) Certification The final decision on your certification is made by the certification manager. The certification decision is performed independently of the technical evaluation process detailed above. 4) Offer and award of certification The certification manager will write to you formally with an offer of certification to the appropriate grade. We will send you this offer and ask you to pay your first annual fee. Certification will be awarded when we receive your payment of the annual fee. Your details are then added to our online register of certificated auditors, and we will send you your certification card. Although the card is issued to you, it remains our property and you must return it to us should we ask you to. The IRCA certificate is intended for display as a formal recognition of your certification to a specific grade you should not use it as proof of certification. Please contact us if you wish to purchase a certificate.
4.1 General a) Certification is available, without restriction, to all individuals worldwide who satisfy the certification requirements. b) You must meet the requirements within Section 5 (Auditor Certification Criteria) and any additional requirements contained within the respective scheme-specific requirements (see Appendix I). 4.2 Guidance on educational requirements a) All qualifications submitted must be supported by documentary evidence. An example of acceptable evidence would be a good-quality photocopy of the original certificate indicating the awarding body, the title and date of the award, and the name of the person to whom the award was made. If any of this information is not available or not clear, we may ask you to supply us with more evidence. The same applies if a copy of a certificate is not available, such as when it has been lost or destroyed for example. Acceptable evidence would include an official letter from the awarding body confirming the award. A transcript of an award (ie an official, detailed account of the course content) would also be acceptable evidence if it clearly states the date and title of the award. If no documentary evidence can be supplied by the awarding body, it is unlikely we would accept your qualification. IRCA reserves the right to verify this information with the relevant organisation and/or individual(s). b) Where our criteria states degree or near degree, all postgraduate diplomas, undergraduate and postgraduate degrees awarded in a relevant subject will normally be accepted. c) We use the UK definition of a degree as the degree benchmark. But we recognise that not all degrees awarded in the UK and in other countries meet this standard. Many fall just short, either in content or in duration, and we call these near degrees. For the purposes of auditor certification, we recognise a near degree as meeting the tertiary education requirement. 4.3 What audits do we accept for certification? a) Normally, we will only accept audits performed during the previous three-year period. We define previous period as being that period immediately prior to the date that we received your completed application. b) Audits can only be accepted once the respective training course has been successfully completed. (For example, lead audits conducted before a Lead Auditor course has been successfully completed will not be counted). c) We will only accept audits that have been performed in accordance with the auditing guidance standard ISO 19011 or ISO 17021, and against the relevant ISO standard for the scheme you are applying for (or an alternative standard we accept as being equivalent). Audits performed against alternative national, international or company standards may be acceptable. d) We must be able to verify all audit experience you submit in your log sheets. Please make
sure you include detailed information of the audits you perform, and provide sufficient contact details so that we are able to perform a verification. e) Applying for second and subsequent auditor schemes: If you are already certificated as an Auditor, Lead Auditor or Principal Auditor on one of our other schemes and you are applying for certification or regrade to a second or subsequent scheme, then a minimum of 75% of the audit days shall need to be relevant to the scheme you are applying for. The remainder may be relevant to the scheme(s) you are already certified for. Note: This does not apply to renewal, where you need to demonstrate that you meet the audit requirements for each scheme. f) Acceptability of combined/integrated audits: For new applications, where two or more standards are being audited during a combined/integrated management system audit, we will only accept the audit days allocated to the relevant scheme for which you are applying. For recertification, where two or more standards are being audited during a combined/integrated management system audit, the full audit duration will be accepted. g) Acceptability of internal audits: We will consider accepting internal audits for Auditor, Lead Auditor and Principal grades, providing you can demonstrate that the audit was of the full management system covering all clauses and requirements of the applicable management system standard, and that it was of a part of the organisation from which you are entirely independent (eg separate business unit or sister company). Audits submitted must demonstrate this. We require you to submit, with your audit log; An organisation structure diagram of the company, showing the auditors independence from the system audited A sample audit report Any other information that you feel is supportive and relevant, such as written description of the type of audit, charts, reports, etc.
h) Acceptability of consultancy audits: We will accept audits performed by you when acting as a consultant for a client if all of the following are satisfied: The client (auditee) already had a fully established management system prior to the audit You had no part in setting up the management system being audited (except in such specific circumstances as described below) You were independent of the auditee The scope of the audit included all elements of the management system.
We will also accept pre-assessment audits performed by you on a management system that you were involved in developing, if the certification body subsequently awarded certification at the first attempt.
Acceptability of surveillance (partial system) audits: We do not normally accept surveillance (partial system) audits when submitted for initial certification or at regrade (except for Internal Auditor). However, we do accept surveillance audits for renewal of certification.
Acceptability of on-site and off-site audits: IRCA will only accept on-site audits that have involved a significant amount of interaction with the auditee(s). If the audit is limited to conducting a document review (eg records or data analysis), observation of work performed, completing checklists and sampling (eg products) without interaction with the auditee(s), it is not acceptable. Further, significant onsite preparation time (eg half a day) may not be counted towards the days on site. A maximum of one days off-site per audit will be accepted.
k) Acceptability of remote audits: IRCA will accept remote audits as a substitute for the required on-site audit days, where there has been as much interaction between the auditor and the auditee as would occur during an on-site audit. Interaction may be achieved remotely through such means as video conferencing, document and record-sharing systems, etc (remote audit activities are performed at any place other than the location of the auditee, regardless of the distance). If you have conducted extensive remote audits that you feel are suitable, please provide additional information including the scope and nature of the audit, and, if possible, supporting documentation such as audit plans and reports. l) Acceptability of audits to standards other than those issued by the ISO: We will accept audits performed against standards that we have evaluated as being equivalent to the relevant ISO standard. We maintain a list of acceptable alternative standards for each auditor scheme, but it is possible that you may claim audits against a standard that is not on this list. We have a formal process for evaluating new standards, and you are advised to contact us for advice where you consider an alternative standard may be acceptable to us. m) Audits we do not accept: Audits of the same management system that are repeated more frequently than once every 12 months Audits of less than one days duration (six hours of audit activity, exclusive of breaks), except for the internal auditor grade, where we will accept audits of three hours exclusive of breaks Gap analysis, close out or follow-up visits Audits performed before successful completion of the formal training requirement Audits performed outside the accepted three-year period. 4.4 What training course certificates does IRCA accept? a) We are looking for you to have a certificate for the successful completion of an IRCAcertified training course. IRCA does accept a very small number of non-IRCA-certified
training courses as being equivalent to its own courses. Please refer to this page on our website: http://www.irca.org/en-gb/certification/How-to-apply/accepted-alternatives/ or contact head office for information about accepted alternatives. b) You should normally have successfully completed auditor training within the three-year period immediately prior to application for certification. We may accept training completed prior to this period if you provide evidence of recent and relevant continuing professional development (CPD), work experience and currency of your auditing skills. We advise you to refer to the IRCA website (www.irca.org) for a current listing of all IRCA-certified training organisations offering IRCA-certified management system auditor training courses. c) All training course certificates submitted must be supported by documentary evidence. An example of acceptable evidence would be a good-quality photocopy of the original certificate indicating the awarding body, the title and date of the award, and the name of the person to whom the award was made. If any of this information is not available or is not clear, we may ask you to supply us with more evidence. If no documentary evidence can be supplied by the awarding body, it is unlikely we would accept your training course certificate. IRCA reserves the right to verify this information with the relevant organisation and/or individual(s). d) IRCA does not accept certificates of attendance. Certificates must be of successful completion of a course. The only exception to this rule is that IRCA will accept a certificate of attendance of an Auditor/Lead Auditor course, as meeting the training requirement for the Internal Auditor grade.
4.5 Guidance on continuing professional development (CPD) CPD is a framework that encourages you to continuously update your professional knowledge, personal skills and competencies. The purpose of CPD is to make you more effective as an auditor, and to make the auditing profession more credible. The concept of CPD and the value it contributes is now recognised and accepted throughout all professional fields. Any CPD submitted must be in subjects that are broadly related to auditing and the relevant management system. Because there are so many topics that we recognise will enhance your auditing competence, we do not attempt to list them all here. But we categorise them into four areas and three types. We also provide guidance here on what the focus of your CPD should be, and the approach you should take to conducting CPD: CPD Areas (not in order of significance): 1) Management system related (eg learning about a new standard or learning about updates to standards). 2) Auditing related (eg auditor skills refresher training). 3) Technical knowledge related (eg legislation and regulatory updates, industry changes, relevant technology changes, technical process knowledge and other technical knowledge that will enable you to audit more effectively). 4) Soft skills training (eg communication skills, conflict resolution and negotiation, personal effectiveness, creative problem solving, strategic thinking, management/business training, team building, influencing skills and other related training).
CPD Types 1. Unstructured Included in this category would be; Reading and contributing to a relevant online forum such as IRCA s discussion group on LinkedIn is also accepted Reading IRCA INform, our e-magazine available from www.irca.org Distance and open-learning study that is not assessed and does not lead to a qualification The reading of professional and technical journals, books and other publications.
2. Semi-structured Included in this category would be; Non-interactive lectures, talks etc Professional body meetings The research, preparation and first delivery of lectures/courses Technical research, either at work or at an external institution Forms of open and distance-learning that involve assessment, and that result in the acquisition of a qualification. Note: Repeated training deliveries and lectures/presentations cannot be counted more than once. 3. Structured Included in this category would be; Relevant aspects of on-the-job training and development where specific outcomes have been planned, identified and recorded by you (only new activities, training and development will be considered). General day to day tasks, activities that do not help maintain/enhance your skills as an auditor, or that are not relevant to auditing, will not be accepted Interactive and highly participative training courses Seminars and formal lectures Active participation in the development of applicable standards.
CPD Focus CPD should be focused on appropriately developing ones knowledge and skills to maintain ones effectiveness as an auditor. In determining what your CPD objectives should be, you should consider: 1. What has changed/ is changing? This could be a standard update, a technical change
(such as to legislation or regulation) or an important change in industry, such as technology or techniques used 2. What your strengths and weaknesses are 3. What your ambitions are for the future are 4. Feedback you have been given. CPD Approach You should consider carefully what CPD you wish to do in the three-year certification period. You should identify some objectives early on, and plan your CPD activities in advance to ensure you continue to meet the CPD requirements. You may conduct CPD in a number of ways (types and areas). IRCA will not prescribe how you should accomplish your personal CPD objectives, however IRCA will normally only accept a maximum of 20 hours unstructured CPD . In certain circumstances, IRCA may accept a greater number of hours of unstructured CPD, if the auditor can demonstrate; a) Good reason for not conducting enough semi-structured or structured CPD b) That there have been no significant changes that would warrant a semi-structured or structured approach. (For example; an update to the standard may require formal update training). If you have conducted 45 hours of CPD, but IRCA determines that you have not conducted CPD in a specific area that it believes to be critically important, IRCA will advise you of this and you will be required to submit evidence of this CPD to IRCA within an agreed timeframe. For each CPD entry on your log, you are required to state/describe: 1. What type of CPD it was 2. What areas the CPD was focused on 3. What skills/knowledge you have gained, and how these have enhanced your capabilities as an auditor 4. The contact details of someone who can confirm that the CPD took place (for structured and semi-structured). It is your responsibility to provide a case for acceptance of any activity you submit, and this must be supported by sufficient and appropriate evidence, such as records of your activities, provision of the contact details of someone who can verify that the CPD took place (for nonindependent CPD) and any formal certificates or qualifications you may have received. Completing the CPD log sheet clearly, fully and providing an accurate description of the CPD undertaken and the skills/knowledge attained, will help ensure your CPD log is accepted. 4.6 Guidance on work experience a) Please refer to the scheme-specific appendix document and the guidance section of the application form for information about what will be accepted as experience relevant to the auditor scheme you are applying for. b) Short periods of training cannot be included in this work-experience requirement,
however apprenticeships and the like may be considered as acceptable work experience. Please provide additional information if you wish any training to be considered towards your work experience.
4.7 Guidance on flexibility and potential concessions within IRCAs criteria For any auditor certification grade on any IRCA scheme, IRCA may certificate an auditor who does not meet fully the criteria as displayed, so long as the auditor can demonstrate their competence and suitability for the grade by other means. To be considered for a certification grade for which you do not fully meet the criteria, please provide the following with your application: A cover letter highlighting which grade you are seeking to be certified for (this letter should also explain why you believe yourself to be suitable for this grade) A copy of your curriculum vitae All relevant training certificates and educational certificates A recommendation from an IRCA-certified Lead/Principal Auditor (if possible) Any other supporting documentation, for example an auditor certification from another auditor-certification body Completed IRCA audit logs and CPD logs to support your application.
Note: The certification process will still require you to make a non-refundable application payment before your application can be formally reviewed. IRCA will review applications that request such concessions on a case-by-case basis, and will provide a full and justified explanation for any decisions made. Any flexibility or concessions to the IRCA requirements will be entirely at the discretion of the Certification Manager.
Education At least to secondary education level. Work experience Four years full-time experience, or two years with a degree or near degree One years full-time experience relevant to the auditor scheme. Auditor training A relevant IRCA-certified Foundation course and a relevant IRCA-certified Internal Auditor training course or The relevant IRCA-certified Auditor/Lead Auditor training course (refer to 4.4 for guidance on what training IRCA accepts). Note: IRCA will consider, on a case-by-case basis, auditors applying for an internal auditor grade that have successfully completed an Internal Auditor course, but not the respective Foundation course. The decision will be based on the information provided in the work experience and sector understanding parts of the application form. Auditing experience You need to have performed at least five internal audits, each of which must have been of at least three hours duration, have included all elements of the audit cycle audit planning, document review, auditing, interviewing and audit reporting and must not have involved areas or activities in which you yourself perform. However, we will accept audits of activities for which you are directly or indirectly responsible, eg as a line manager. (Refer to 4.3 for guidance on what audits are accepted.)
Education At least to secondary education level. Note: If you have a degree or near degree level qualification, we will reduce the requirement for work experience. Acceptable qualifications include those awarded by an institution recognised by a national governmental body or accredited by a national professional body. Work experience Four years full-time experience, or three years with a degree or near degree Two years full-time experience relevant to the auditor scheme you are applying for. Please refer to the scheme-specific appendix document for information about what will be accepted as experience relevant to the auditor scheme you are applying for. Auditor training A relevant IRCA-certified Auditor/Lead Auditor training course or The relevant IRCA-certified Auditor/Lead Auditor Conversion training course only acceptable if you have previously completed a five-day Auditor/Lead Auditor training course in another discipline. (Refer to 4.4 for guidance on what training IRCA accepts.) Auditing experience You need to have performed at least four full management system audits covering all clauses (requirements) of the applicable management system standard. Auditing activity must include document review, preparation and performance of on-site audit activities, and audit reporting. The total duration of these audits must not be less than 20 days, 15 of which must have been acquired on site. (Refer to 4.3 for guidance on what audits are accepted.) Note: Although we recommend you should complete all of the audits under the direction and guidance of an auditor competent as a team leader (one currently certificated as a lead auditor or who has equivalent competence), we acknowledge that for many auditors this will be very difficult and costly to arrange. Consequently, we will accept a minimum of one audit under these conditions. We may require this team leader to attest to your competence to audit as a team member.
Education At least to secondary education level. Note: If you have a degree or near degree level qualification, we will reduce the requirement for work experience. Acceptable qualifications include those awarded by an institution recognised by a national governmental body or accredited by a national professional body. Work experience Four years full-time experience, or three years with a degree or near degree Two years full-time experience relevant to the auditor scheme you are applying for. Please refer to the scheme-specific appendix document for information about what will be accepted as experience relevant to the auditor scheme you are applying for. Auditor training A relevant IRCA-certified Auditor/Lead Auditor training course Or the relevant IRCA-certified Auditor/Lead Auditor Conversion training course only acceptable if you have previously completed a five-day Auditor/Lead Auditor training course in another discipline. (Refer to 4.4 for guidance on what training IRCA accepts.) Auditing experience Four full management system audits as an auditor-in-training, totalling 20 days, including a minimum of 15 days on site and Three full management system audits as the leader of an audit team that includes at least one other auditor, totalling 15 days, 10 of which must have been spent on site. (Refer to 4.3 for guidance on what audits are accepted.) Note: Although we recommend you should complete all of the audits under the direction and guidance of an auditor competent as a team leader (one currently certificated as a lead auditor or who has equivalent competence), we acknowledge that for many auditors this will be very difficult and costly to arrange. Consequently, we will accept a minimum of one audit under these conditions. We may require this team leader to attest to your competence to lead an audit team. If you are already certificated to the relevant auditor grade, you need only perform the three lead audits as above.
This grade is for Senior Audit professionals with an extensive and demonstrable history of conducting full system audits and lead audits. Principal Auditors may or may not conduct audits on a regular basis, as it is not uncommon for some to have progressed into managerial roles later in their career. Some examples of the sorts of individuals that may qualify for this grade include (but are not limited to): full-time third-party auditors, audit managers, certification managers, audit training and development personnel (including management system auditor training course designers), and persons involved in the development of relevant audit and management system standards (such as ISO 19011). Work experience Eight years full-time experience relevant to the auditor scheme you are applying for. Please refer to the scheme-specific appendix document for information about what will be accepted as experience relevant to the auditor scheme you are applying for. Other requirements Six years certification to Lead Auditor grade by IRCA (or acceptable alternative) prior to certification. Note 1: You must have completed six years certification as a Lead Auditor and meet the criteria for Lead Auditor certification at the second recertification (this is the earliest time possible to be eligible for Principal Auditor). If you have already completed two recertifications as a Lead Auditor, you may transition to Principal Auditor at any time. Note 2: You may choose to maintain your Lead Auditor certification, rather than progressing to Principal Auditor. However, you will need to continue to meet the renewal requirements for Lead Auditor if you do so. Or Submission of evidence of three years full-time employment as a management systems auditor with an accredited certification body (or demonstrable and significant evidence of contracted third-party audits with an accredited certification body). Note: Acceptable evidence of employment as a management systems auditor would typically include a letter from senior management confirming the duration and nature of the employment.
You must renew your certification every three years, ie at the end of the third complete year. We will write to you two months before your certification period expires and ask you to send us your audit and CPD log, CPD objectives log and other documents. We will evaluate these against the renewal requirements listed below and make a certification decision. We will then write to you with the results. All criteria must be met for each individual scheme for which you hold certification. The renewal of certification process involves the following six requirements: 1) 2) 3) 4) 5) 6) Continuing professional development (CPD) Audit experience Other requirements Declaration of complaints Compliance with the IRCA Code of Conduct Payment of the annual fee.
For Internal Auditor and Provisional Internal Auditor There is no CPD requirement. For Provisional Auditor, Auditor, Lead Auditor and Principal Auditor CPD Log: You must have completed at least 45 hours of appropriate CPD during the three-year period immediately prior to renewal of certification. (A maximum of 20 hours unstructured is permitted unless an exception is agreed with IRCA see guidance). Through CPD, you are required to demonstrate your currency of knowledge and skills through updates in subject areas within the four main categories, as stated in 4.5: Management system related Auditing related Technical knowledge related (eg legislation and regulatory updates) Soft skills training, eg communication skills, conflict resolution and negotiation, personal effectiveness, creative problem solving, strategic thinking, management/business training, team building, influencing skills or similar (not in order of significance).
Note: CPD does not have to be conducted in all categories. You should identify CPD that is essential to maintaining your currency and effectiveness as an auditor, and CPD that can enhance your effectiveness as an auditor.
2) Audit experience We need you to record and submit your audit experience on the audit log sheets (IRCA/106) that we supply. For Internal Auditor: You need to have completed a minimum of five internal audits, the total duration of which must have been at least 15 hours.
For Provisional Internal Auditor and Provisional Auditor There is no audit requirement.
For Auditor: Five audits, two of which must be full system audits. Three of the five audits may be surveillance or partial system audits. Audit experience within the three-year certification period shall be not less than eight on-site audit days. You must have performed these audits within the previous three-year certification period.
For Lead Auditor: Five audits, two of which must be full system audits. Three of the five audits may be surveillance or partial system audits. A minimum of one full system audit shall be while leading a team that includes at least one other person (a total team of two persons minimum). Note: IRCA may exercise discretion over this requirement, should the auditor have a substantial and demonstrable history of conducting lead audits. Audit experience within the three-year certification period shall be not less than eight on-site audit days. You must have performed these audits within the previous three-year certification period.
For Principal Auditors: There is no formal audit requirement, however we strongly encourage you to submit a record of any audits that you do conduct, to support your application for recertification. Evidence of continuing involvement in auditing, such as the management of audit programmes, auditor training design or management, audit standards involvement and/or other responsibility in audit management, should be provided.
3) Additional Requirements For all grades other than Principal Auditor: There are no other requirements For Principal Auditor: You must submit evidence of continued work experience related to the relevant management system(s) and evidence of continued involvement in auditing or audit-related activities. 4) Declaration of complaints We need you to tell us about any complaints made against your professional conduct. It is important we know of any complaints, as we need to consider these as part of the renewal of certification process. We will investigate all instances of complaints. If complaints are made against your conduct and you do not declare them, the consequences will be far more serious and may result in suspension or withdrawal of your certification. 5) Compliance with the Code of Conduct We need you to make a declaration that you have always acted in compliance with the Code of Conduct (see Appendix III). 6) Payment of the annual fee And finally, we need you to pay the annual fee. Because the fee will be dependent on the grade we offer you after renewal, we do not ask you to pay this fee until we have completed renewal. We will write to you with the results of the renewal, enclosing the invoice and fee-due date. Failure to pay your annual fee within 28 working days of the date of the invoice will result in your certification being withdrawn, and the removal of your details from the online register. Once we have received your payment, we will write to you again enclosing your new certification card.
7.1 Appeals and complaints You have the right to appeal against any certification decision taken by us. We operate a quality system that includes established procedures for considering appeals and complaints. 7.2 Enforcement of certification We enforce (ie suspend or withdraw) certification for three reasons: 1) If you fail to meet the certification criteria for the grade to which you are certificated. This enforcement occurs when you apply to renew your certification. In most cases, withdrawal will be preceded by an offer of an alternative grade, for a period during which you have the opportunity to meet the requirements of, and be reinstated to, the grade you originally held. 2) If you breach the Code of Conduct. We reserve the right to undertake action against your certification if we find you to have acted contrary to the Code of Conduct options available include suspending or, in instances of serious or sustained breach, withdrawing your certification. 3) If you fail to pay the requisite fees. 7.3 Confidentiality We undertake to consider as strictly confidential all information, correspondence and documentation you submit to us in support of your certification activities. We reserve the right to publish relevant details of each certificated auditor in our register, available online at www.irca.org. We reserve the right to disclose details of your certification record to other auditor certification and accreditation bodies. We will do so with discretion and only in instances where we consider withholding this information will compromise the integrity of certification, eg where we have taken action against (ie suspended or withdrawn) your certification, and you have applied to another auditor-certification body without fully disclosing your record while certificated by us. 7.4 Legal status The certification of auditors by us and all activities associated with the administration of the register is governed in accordance with English law, and is subject to the exclusive jurisdiction of the English courts. 7.5 Fees Fees are set annually and apply to the calendar year (1 January-31 December). Contact us direct or see www.irca.org for details of current fees applicable for your country. Application fee: We need you to pay this fee when you send in your application. Alternatively, we will invoice you on receipt of your application. This fee covers the costs of the application process and is not refunded if the application is unsuccessful. Failure to pay this fee will cause a delay in the processing of your application.
The OH&S Scheme is based on the auditing key standards: BS OHSAS 18001: Occupational health and safety management systems Requirements (latest issue), HSG65 and BS8800 (latest issues). Guidance on who this scheme is intended for Occupational health and safety professionals intending to demonstrate a core competency in audit management performance Management systems auditors (eg quality, environmental, IT, etc) who possess a considerable understanding and knowledge of OH&S issues, and who are able to demonstrate sufficient competence to participate in OH&S or integrated management system audits Occupational health and safety management system auditors who wish to have their auditing competence recognised.
ISO 22301: Societal security Business continuity management Requirements.
Note: As a guide, courses such as the Energy Institutes Certificate in Energy Management Essentials (or equivalent) would meet this requirement, as would higher-level energy management-related qualifications. The EnMS Scheme is based on the auditing key standard: ISO 50001: Energy management systems Requirements with guidance for use (latest Issue). Guidance on who this scheme is intended for Energy management system auditors, eg those employed by third-party certification bodies/registrars or by purchasing organisations Energy management practitioners, eg energy consultants and other energy personnel Employees conducting energy management system audits within their own organisation, ie internal audits.
Appendix I Part 8 Pharmaceutical Management System GMP Auditor Scheme Specific Requirements and Guidance
Scheme specific (additional) requirements In the sector understanding and work experience sections of the application form, you are required to demonstrate the following knowledge and competencies: Understanding of the lifecycle of a pharmaceutical medicinal product Knowledge and understanding of pharmaceutical GMPs and the relevant pharmaceutical legislation, eg EudraLex Volume 4 or the 21 CRF standards associated with them. This should be supported by; Evidence of successful completion of a GMP awareness training course or Two years demonstrable work experience in a GMP environment Knowledge and understanding of the pharmaceutical supply chain and the context of individual suppliers within the globalisation of the pharmaceutical supply chain, and the associated storage and distribution requirements Knowledge of ICH Q8 (current edition) and the interaction of ICH Q9 Quality risk management (current edition) and ICH Q10 Pharmaceutical quality system (current edition). This should be supported by; Evidence of successful completion of a GMP awareness training course or Two years demonstrable work experience in a GMP environment Understanding of patient risk and general risk management to establish the control strategy that can include parameters and attributes related to drug substance, finished product, starting materials and components. This should embody a working relationship with applicable GMP Understanding the requirements of a Pharmaceutical Quality Management System, and the importance of this in maintaining control and facilitating continual improvement throughout the product lifecycle Understanding of the required GMPs for the processes that the auditor is intending to audit, for example:
an auditor who is responsible for assessing the conformance of suppliers of active pharmaceutical ingredients must be familiar with EudraLex Volume 4 Part 2: ICH Q7 Manufacture of drug substances, and ICH Q11 if the drug substances are being developed as well an auditor performing internal audits on behalf of a biotech company must be familiar with EudraLex Volume 4 (Good manufacturing practice guidelines) and with Annex 2: Manufacture of biological medicinal products for human use.
Audit requirements For Internal Auditor grade, for initial certification and renewal of certification, all GMP audits will be accepted, including those that are not full management system audits. For Auditor/Lead Auditor grades, for initial certification and renewal of certification, only full management system GMP audits will be accepted. Note: Please indicate on the audit log any audits that are full management system audits. The Pharmaceutical GMP Auditor Scheme is based on the auditing key standards: In Europe The GMP Directive 2003/94/EC and EudraLex Volume 4 In the USA CFRs Title 21, Parts 210 and 211 ICH Q10: Pharmaceutical quality system (current edition) ICH Q9: Quality risk management (current edition) ICH Q8: Pharmaceutical development (current edition) ICH Q7: Good manufacturing practice guide for active pharmaceutical ingredients ISO 19011: Guidelines for auditing management systems (current edition) ISO 17021: Requirements for bodies providing audit and certification of management systems (current version). Guidance on who this scheme is intended for: Internal auditors who conduct full or partial GMP and pharmaceutical quality management system audits within their own organisation Pharmaceutical auditors conducting audits of: o o o o o o suppliers of starting materials and packing components contract service providers manufacturing operations packing operations testing laboratories warehouse and distribution operations
Third-party pharmaceutical auditors working for clients within the pharmaceutical industry Pharmaceutical quality practitioners consultants, audit programme managers and other related personnel Audits of pharmaceutical operations performed by regulators to ensure compliance
Pharmaceutical auditors working for third-party certification bodies/registrars who complete full GMP and pharmaceutical quality management system audits of suppliers, including: o o audits of raw material and component suppliers audits of different phases of the product lifecycle (ie research and development, clinical trial manufacture, commercial manufacture, distribution and supply, and product discontinuation).
Note: If you are seeking auditor training or auditor certification to the PQG supplier standards for packaging and excipients, you should visit the CQI's Pharmaceutical Quality Group's website for further information.
Scheme specific (additional) requirements Within the sector understanding and work experience sections of the application form, all applicants are required to demonstrate knowledge and competence in the application of aerospace requirements. This means services and products that have airworthiness, regulatory, legal or aerospace-specific requirements. It will not be sufficient for you to have experience of products such as seats and cabin equipment, simple fasteners, general forgings, castings, fabrications or machined parts that, while used in aerospace applications, are subject to general engineering requirements rather than the airworthiness requirements detailed below. You should demonstrate on the form knowledge and competence in the majority of the following aerospace industry-specific aspects of aerospace industry quality, regulatory and/or military aerospace requirements: First article inspection Airworthiness and safety requirements Aerospace material traceability requirements Aerospace subcontractor approval and control Variation management of key characteristics Flow-down of aerospace QMS requirements Foreign object damage/debris (FOD) prevention Use of customer-supplied products Calibration controls and positive recall systems Acceptance authority media Nonconforming material management Sampling inspection/statistical process control requirements and limitations Special processes Configuration management/requirements control Aerospace manufacturing techniques Tool control Design development verification and validation.
Auditor training requirements For all aerospace auditor grades, you must have successfully completed (at a minimum) an IRCAcertified QMS Auditor training course appropriate to the grade for which you wish to apply. For all aerospace auditor grades, your work experience must have been within the last five years unless you have successfully completed an aerospace-specific auditor course within the last five years, such as the AS 9100 Auditor training course, in which case your work experience may still be accepted.
Adding additional aerospace scopes to your registration: 9100/9110/9120 Auditors who wish to have the 9100/9110/9120 aerospace auditing scopes added to their certification shall undertake recognised AQMS 9100/9110/9120 courses in order to have these certifications. Self study is not acceptable. Additional audit requirements For all grades: If you wish your aerospace certification scopes to include the 9100/9110/9120 aerospace standards, the audits you submit must cover some or all of these. (Scopes assigned to you will be aligned to the audits submitted.) CPD requirements For all grades other than Internal Auditor and Provisional Internal Auditor: At least 45 hours of appropriate CPD must have been completed over the previous three years. A minimum of at least 15 hours of this must be directly related to development of specific aerospace industry or services auditing skills, and address currency of aerospace standards and regulations. Examples of acceptable ways of keeping up-to-date might include: Audits in aerospace companies while employed by a certification body or consultant Attendance on aerospace QMS training courses, such as AS/EN9100, AS/EN9110 and EASA Part 21 or Part 145 Courses run by aerospace primes for their suppliers, other training courses, or membership of a quality group run by the CQI or similar.
Guidance on acceptable work experience Note 1 Acceptable aerospace experience means employment in an organisation that is an aerospace prime or major supplier to a prime, designing or producing engine parts, avionics, landing gear, airframe components or auxiliary equipment, or a repair/maintenance organisation that has one or more of the following: AS9100/EN9100 certification AS9110/EN9110 certification FAR/EASA Part 21 or Part 145 approval CAA, JAA or FAA approval to airworthiness standards ISO 9001, where the applicant can clearly show the experience was not of products such as seats, fasteners, general forgings, castings or fabrications that, while used in aerospace, are
subject to general engineering requirements rather than the airworthiness requirements detailed above. Employment in one of the following is also considered as satisfying the aerospace work experience requirements: Civil, military (including armed forces personnel) or space organisations such as a national aviation authority (NAA), European space agency (ESA), NASA, or a government ministry or department of defence (MOD/DoD) where the prime responsibility was for aerospace. Note 2 For acceptable aerospace experience within the organisation as described in Note 1, the applicants role is required to have been related to the Aerospace QMS. Examples would include quality manager or engineer; production or manufacturing engineer, if involved in setting quality standards or validating compliance of products or methods of manufacture in accordance with design intent; design engineer, if working with airworthiness requirements; supplier quality engineers, if evaluating suppliers QMS or products in compliance with aerospace requirements; applicants working in a national aviation authority (NAA), space agency or government department of defence, having responsibility for monitoring the design, manufacture and procurement of aerospace products from appropriately approved aerospace prime organisations or suppliers to prime organisations, the assessment and approval of such organisations quality management systems and compliance with airworthiness requirements. Also, armed forces personnel who have direct experience of the repair and maintenance of military aircraft and associated aircraft systems and subsystems. The Aerospace QMS Scheme is based on the auditing key standards: ISO 9001: Quality management systems Requirements (latest edition) or AS/EN/JSIQ 9100: Quality management systems Aerospace Requirements (latest edition) or AS/EN 9110: Quality management systems Aerospace Requirements for maintenance organisations (latest edition). Note a): AS9120: Quality management systems Aerospace Requirements for stockist distributors also exists, but is not deemed to be comprehensive enough for the IRCA Aerospace Sector Scheme, and so audits to this standard alone are not acceptable audit experience. Note b): The IRCA Aerospace QMS Scheme must not be confused with the International Aerospace Quality Group ICOP Scheme. The IRCA Scheme is not sufficient for auditors conducting certification audits to the standards referenced above to gain entry on to the OASIS database.
Guidance on who this scheme is intended for QMS auditors expected to check the effectiveness and compliance with aerospace requirements, such as those employed by third-party certification bodies/registrars (but not for ICOP certification), or to conduct second-party audits on behalf of purchasing organisations, or on behalf of organisations carrying out first-party audits of a size or complexity beyond the capability of internal auditor grades
Quality practitioners, eg quality consultants, quality managers and other quality personnel that require the greater understanding or professional standing conferred by the grade Technical personnel/airworthiness surveyors etc with employment experience with civil aerospace regulatory authorities and government military aerospace organisations.
Scheme specific (additional) requirements In the sector understanding and work experience sections of the application form, you are required to demonstrate the following knowledge and competencies: Generic QMS auditing competence and skills as detailed in Appendix I Part 1 An understanding of quality assurance issues in rapid application development environments, especially those concerning customer involvement, system documentation and control of non-conforming product An understanding of the importance of industry-recognised lifecycle methods in computer system development, how they should be deployed, and their relative strengths and weaknesses An awareness of major contemporary issues in software development and quality assurance, both technically and standards related An in-depth knowledge of at least one industry-recognised software process (not necessarily hands-on programming experience) and associated process management techniques A working knowledge of key lifecycle activities, such as project management, risk management, requirements capture, feasibility, analysis, design, coding, configuration management, testing, integration, implementation, operation, support and maintenance An understanding of the importance of configuration management and change control in modern software development environments A broad understanding of current computer system architectures An awareness of integration issues in hardware/software systems, particularly when bought in or subcontracted software components are being utilised A wide knowledge of IT and IT applications/issues, such as database software, embedded systems, expert systems, real-time systems, data warehousing, communication systems, networks, web-based system design, information security, safety-critical systems, formal methods, development tools, etc.
For Part II of FSMS Scheme As with Part 1, plus the following: Acceptable qualifications corresponding to post-secondary education, within general microbiology and general chemistry, in the category in which you are seeking certification (see categories below). This may be part of a science-based degree or near degree qualification, or a separate award by a recognised institution. Each additional category requires this qualification. For those meeting the training requirements through an FSMS Auditor Conversion course, a minimum of a one-day course in HACCP principles, hazard assessment and hazard analysis, and food safety management principles including relevant prerequisite programmes (PRPs) of the Codex Alimentarius.
Part II: Auditing experience For initial certification to your first category, you need to have performed a minimum of 12 FSMS audit days and all under the direction and guidance of a Lead Auditor (or similarly qualified) competent to attest to your competence. The audits must have been conducted within four different organisations in the category you are applying for. Each additional category requires four FSMS audits under the direction and guidance of a qualified auditor in the new category.
The FSMS Scheme is based on the auditing key standards: Part I: ISO 22000: Food safety management systems Requirements for any organisation in the food chain (latest issue). Part II: As with Part I, but including additional requirements based on ISO/TS 22003, for auditors who only carry out third-party certification audits.
Guidance on who these schemes are intended for Part I: Environmental health officers Quality, environmental or health and safety management systems auditors who possess a considerable understanding and knowledge of food safety issues, and who are able to demonstrate competence to participate in food safety or integrated management system audits Food safety auditors who wish to have their auditing competence recognised.
Processing 1 (Perishable animal products, including all activities after farming, eg slaughtering) Processing 2 (Perishable vegetable products) Processing 3 (Products with long shelflife at an ambient temperature) Feed production Catering Distribution Services
The Social Systems Auditor Scheme is based on any of the following audit criteria: The Worldwide Responsible Accredited Production (WRAP) programme The Ethical Trading Initiative (ETI) Base Code performed in accordance with the SEDEX Members Ethical Trade Audit (SMETA) Best Practice Guidance The current versions of the EICC-GeSI Validated Audit Process (VAP) Audit Criteria, using the Electronic Industry Code of Conduct (EICC) and performed in accordance with the EICC-GeSI VAP Audit Operations Manual Any suitable proprietary scheme that includes the following United Nations (UN) and International Labour Organization (ILO) Conventions and core management principles.
ILO Conventions 29 and 105 and Recommendation 35 (Forced and Bonded Labour) ILO Convention 87 (Freedom of Association) ILO Convention 98 (Rights to Organise and Collective Bargaining) ILO Conventions 100 and 111 and Recommendations 90 and 111 (Equal Remuneration for Male and Female Workers for Equal Value; Discrimination in Employment and Occupation) ILO Convention 138 and Recommendation 146 (Minimum Age) ILO Convention 135 and Recommendation 143 (Workers Representatives) ILO Convention 155 and Recommendation 164 (Occupational Safety and Health) ILO Convention 159 and Recommendation 168 (Vocation Rehabilitation and Employment of Disabled Persons) ILO Convention 177 and Recommendation 184 (Home Working) ILO Convention 170 (Safe Use of Chemicals) ILO Convention 110 (includes reference to Provision of Housing for Migrant Workers). (A total of 185 ILO Conventions are published and others may be relevant.)
Note: EICC-GeSI Auditor training courses are accepted for registration onto this scheme.
Electronic Industry Code of Conduct (current version) The EICC Code of Conduct establishes standards to ensure that working conditions in the electronics industry supply chain are safe, that workers are treated with respect and dignity, and that business operations are environmentally responsible. The EICC Code of Conduct encourages broad adoption of CSR best practices by all ICT companies and suppliers, through guidelines for performance and compliance with critical CSR policies. The EICC Code of Conduct is the primary reference document for the EICC-GeSI Audit Criteria. EICC-GeSI provides the tools for audit compliance with the code and helps companies report progress, hence the significance of the following two key criteria documents; EICC-GeSI Validated Audit Process (VAP) Audit Criteria (current version) EICC-GeSI VAP Audit Operations Manual (current version).
Auditor training All applicants must have successfully completed a QMS Auditor/Lead Auditor training course and a two-day approved ISM Code training course OR an approved combined QMS Auditor/Lead Auditor/ISM Code training course, within a three-year period immediately prior to any application for certification. Such training courses must meet the requirements of ISO 19011:2011. Audit experience Auditor Requires a minimum of five audits, consisting of a maximum of four against the ISM code for the issue of the Ships Safety Management Certificate, and a maximum of two audits for the purpose of issuing the Document of Compliance for the shipping company. Applicants shall state on their audit log sheets (IRCA/106) which certificate has been issued for each audit, and further details of at least five audits shall be included on the Supplementary Audit log form (IRCA/150). Lead Auditor Requires a minimum of a further five audits (in addition to those specified above) as team leader, leading a team of two or more auditors. The overall total of 10 audits shall include one audit (as team leader) for issuing the Document of Compliance to a company managing a minimum of 10 vessels, or include two audits (as team leader) for issuing the Document of Compliance for companies managing less than 10 vessels. Note: Details of the above audits must be included on the Supplementary Audit form IRCA/150. Renewal of certification The generic requirements for renewal of certification apply (see Section 6), although all qualifying audits shall have been performed against a management system that includes all the elements of the ISM code. In addition to the IRCA/106 audit log sheet, all auditors are required to complete the IRCA/150 Supplementary Maritime (ISM) audit log form for each audit claimed. The maritime scheme is based on the following key document: ISM Code: The International Management Code for the Safe Operation of Ships and for Pollution Prevention (latest issue). Guidance on who this scheme is intended for Maritime auditors, such as those employed by: Flag administrations Recognised organisations Third-party certification bodies/classification bodies/registrars Charterers, oil majors or P&I clubs.
Additional requirements: For the Reviewer: You must provide a letter of recommendation from the SSiP Committee.
Please note: For both an assessor and reviewer, assessment verifications must have taken place during the previous two-year period, and assessments must have taken place during the previous three-year period. We must be able to verify all assessment and verification experience you submit in your log sheets. We will only accept assessments that have been performed in accordance with the requirements of the CDM 2007 ACOP Appendix 4 for Core Criteria Stage 1. Assessments performed against alternative national, international or company standards may be acceptable, as long as the issues required in Core Criteria Stage 1 are addressed as a basic minimum. We will accept OHSAS 18011 audits performed by you if the scope of the audit included all elements of CDM 2007 ACOP Appendix 4 for Core Criteria Stage 1.
The renewal of certification process involves five requirements: Continuing professional development (as per generic criteria) Assessment experience (generic criteria does not apply) Declaration of complaints (as per generic criteria) Compliance with the IRCA Code of Conduct (as per generic criteria) Payment of the annual fee (as per generic criteria).
The SSIP Scheme Assessor Certification Scheme: To have credibility, the SSIP scheme requires competent and consistent assessors. To be efficient and competitive, SSIP Forum member organisations need competent assessors. The purpose of the IRCA SSIP Assessor Certification Scheme (SSIP Scheme) is to provide confidence to SSIP Forum member organisations and contractors/clients using assessed service providers and organisations/contractors who apply for approval via the SSIP scheme, that assessors certified to this scheme are competent. As part of the certification process, we will evaluate you against requirements that reflect the key skills and attributes that define competence, and which you, the SSIP assessor, need to have and demonstrate during an assessment process. The management of health and safety in construction requires that a competency assessment of organisations (including principal contractors, contractors, designers and CDM coordinators) should be carried out as a two-stage process: Stage 1 is an assessment of a companys health and safety organisation and arrangements to determine whether these are sufficient to enable the organisation to carry out the work safely and without risk to health. Stage 2 is an assessment of the organisations experience and track record to establish that it is capable of doing the work. In order to provide more consistency in the way in which competency assessments of companies are carried out, a set of core criteria has been agreed by industry and HSE. These core criteria are set out in Appendix 4 of the CDM Regulations 2007. HSE encourages clients to accept a valid accreditation from any of the SSIP Forum member schemes as having met Stage 1 of the Core Criteria, and should not then require any further evidence in relation to Stage 1. The possession of an SSIP Forum accreditation cannot be taken on its own as a sufficient assessment of competence for a business to commence construction work, and all clients must ensure that before engaging an accredited business to carry out construction work, a further Stage 2 assessment of the core criteria will always be needed. This Stage 2 assessment is the responsibility of the client.
It is a condition of certification that you agree to act in accordance with, and be bound by, the following Code of Conduct: a) To act in a strictly trustworthy and unbiased manner in relation to both the organisation to which you are employed, contracted or otherwise formally engaged (the audit organisation), and any other organisation involved in an audit performed by you or by personnel under your direct control. b) To disclose to your employer any relationships you may have with the organisation to be audited before undertaking any audit function in respect of that organisation. c) Not to accept any inducement, gift, commission, discount or any other profit from the organisations audited, from their representatives or from any other interested person, or knowingly allow personnel for whom you are responsible to do so. d) Not to disclose the findings, or any part of them, of the audit team for which you are responsible or of which you are part, or any other information gained in the course of the audit, to a third party, unless authorised in writing by both the auditee and the audit organisation to do so. e) Not to act in any way prejudicial to the reputation or interest of the audit organisation. f) Not to act in any way prejudicial to the reputation, interests or credibility of the IRCA.