www.intlcert.com Unifyin

g con

formity

asses

smen

t & bu

siness

excel

lence

Since 1

994

We now offer external personnel certification forInternal Auditor, Auditor and Lead Auditor grades

Personnel Certification

trusted by the globalcertification industry

credible recognitionfor professionals

established in1994

⓿ Contents

❶ Introduction ......................................................................................................................................... 3

About Us ................................................................................................................................................. 3

Global Competency Management Program ................................................................................. 5

❷ How to Apply ...................................................................................................................................... 6

Overview ................................................................................................................................................. 6

❸ Schemes & Grades ............................................................................................................................ 7

Externally Offered Schemes ............................................................................................................... 7

Externally Offered Grades ................................................................................................................... 7

❹ Certification Criteria........................................................................................................................... 8

a. Pre-requisites ................................................................................................................................. 8

b. Knowledge & skills ........................................................................................................................ 9

❺ Application Form ..............................................................................................................................12

Applicant Details ..................................................................................................................................12

Scheme & Grades ................................................................................................................................13

Applicable IAF codes...........................................................................................................................15

General Awareness ..............................................................................................................................16

❻ Fit and Proper Person ...................................................................................................................... 17

❼ Application Declaration ...................................................................................................................18

❽ What Next? .........................................................................................................................................18

Disclaimer: This document has been prepared with all due diligence and care, based on the best available information at the time of

publication. International Certifications holds no responsibility for any errors or omissions within this document. Any decisions made by

other parties based on this document are solely the responsibility of those parties.

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❶ IntroductionAbout Us

Welcome to International Certifications, world leaders in the assessment and certification of organizations

business management systems.

We were established in 1994 in Auckland, New Zealand, and since then we have grown to be a well-

recognized international brand with an extensive network of international offices and auditors/assessors. We

have certified over twenty thousand organizations around the world and we currently offer more than thirty

certification programs. We are distinctly different from other Conformity Assessment Bodies in that we are

genuinely customer focused, we offer a value-added assessment service and we endeavour to give our clients

the true benefits of what assessment and certification. We believe that we offer what all Conformity

Assessment Bodies should be offering, a mutually beneficial partnership.

By not only looking for compliance, but also looking for opportunities for improvement, we can assist

organizations to continually improve their business management systems which of course helps their

businesses.

We encourage our clients to think of their auditors as a valuable resource, not just as a necessary evil. When

organizations become a client of ours, we don’t see it as just “closing the sale” but rather the start of a long-

term relationship.

Since our establishment in 1994 our conformity assessment and certification services have been an integral

part of many industry sectors and in many geographical locations. We are accredited (by an Accreditation

Body that itself is a signatory to the IAF Multilateral Recognition Agreement) for a large number of

management system schemes such as quality management, safety management, medical device quality

management, food safety management, and also offer other programs such as GMP and specific national

and internal standards.

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We work with some of the largest organizations on the planet

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…if you can’t explain

it simply,

you don’t understand

it well enough… - Albert Einstein

The art of auditing is unique and seems to be somewhat undervalued by the global economy.

For the auditor to truly add value to an organization but not to cross the line into offering

consultancy services an auditor must possess a vast skill set across many disciplines. The

required knowledge and skills obviously include brilliant communication, a positive outlook

and flexibility whilst dealing with many different types of human beings. To be successful as

an auditor one must be able to apply their knowledge of system standards, practices and

principles to actual day to day business or the client organization will just view the audit as

ticking boxes. If audits are conducted correctly and in a positive manner, they help the

organization thrive, done badly, the way many auditors conduct audits, the process can be

detrimental to the client organizations.

If you can’t explain something simply, then you don’t understand it well enough , this relates to

auditing organizations against standards. We regularly witness auditors raising non-conformances

and then when questioned by the client they can’t explain it in terms of how it applies to the client

organization specifically the processes that make up the organization. This is not only bad for the

assessment and certification industry and the client organization, it is also a true waste of resources

(money and time) from the client’s side and it leaves a bad taste in everyone’s mouth.

Page 5 of 19

Global Competency Management Program

For over twenty years we have been maintaining and continuously improving the International Certifications

Global Competency Management Program to ensure that the competence of our audit and certification

personnel are second to none. As an integral part of how “we do business” this is regularly audited as part

of our accreditation body audits. Our program complies with all the applicable competency criteria as

specified in ISO 17021-1, ISO 17021-2, ISO 17021-3, ISO 22003, ISO 19011, and all mandatory prerequisites

developed and published by the International Accreditation Forum (IAF).

We have implemented processes to ensure that personnel have appropriate knowledge relevant to the types

of management systems and geographic areas in which we operate. We determine the competence required

for each technical area (as relevant for the specific certification scheme), and for each function in the

certification activity.

We have formalised documented processes for determining the competence criteria for personnel involved

in the management and performance of audits and certification. Competence criteria are determined with

regard to the requirements of each type of management system standard or specification, for each technical

area, and for each function in the certification process.

In 2018 we made a decision to welcome applications from external personnel rather than just our internal

people working within our certification process. This will provide another option for auditors and certification

related personnel to gain some formal recognition for their work in the assessment and certification industry.

In order to become an International Certifications “Approved Auditor”, auditors need to demonstrate that

they possess the personality, knowledge, skills and experience that meet or exceed our competency

requirements.

“Approved Auditor” status is available to all humans worldwide if they satisfy the requirements as set out in

Section 5 of this document.

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❷ How to Apply

Overview

To kick start the application process and request recognition as a management system professional under the

International Certifications brand simply complete section 5 of this document and submit all supporting

evidence to the application. The application form will be reviewed by our Auditor Approval Team in the New

Zealand Office.

Each and every application is reviewed on a case-by-case basis to enable us to determine the appropriate

method of competency testing for the candidate.

“You can teach a smart human

with genuine business

experience to be a system

auditor but you can’t teach all

auditors to be a smart human

that understands business”

It goes without saying that there are some important overarching prerequisite requirements that must be met

before we can process applications for personnel certification for any scheme and all grades. The prerequisite

requirements are addressed in section 4.

Once we receive a completed application for personnel certification in English with all applicable supporting

evidence, we will review the application and reply to the applicant with the outcome which may be us asking

for more information.

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❸ Schemes & Grades

Externally Offered Schemes

The International Certifications Global Competency Management Program covers all schemes for internal

personnel but currently we only offer external personnel certification for five schemes, this will be extended

during 2019.

• Quality Management (ISO 9001)

• Environmental Management (ISO 14001)

• Occupational Health & Safety (OHSAS 18001, AS/NZS 4801, ISDO 45001)

• Medical Device Management (ISO 13485)

• Food Safety Management (HACCP Warranty and ISO 22000)

Externally Offered Grades

The International Certifications Global Competency Management Program covers all grades for internal

personnel but currently we only offer external personnel certification for three grades, this will be extended

during 2019.

Internal

Auditor

A professional that can demonstrate audit competence and has

experience to match. Must be able to conduct internal audits on behalf

of an organization without supervision and must be able to generate

honest audit outcomes.

Auditor

A professional who has met the formal education, training, and work

experience requirements but has not yet demonstrated the ability to

conduct audits.

Lead

Auditor

A professional who has demonstrated the competencies to conduct an

audit and can lead an audit team of auditors. Must be capable of

managing an audit team to ensure that audit objectives are achieved.

This applies to those conducting second or third-party management

system audits.

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❹ Certification Criteria

The International Certifications approval is a competency-based personnel certification and is based on

specific competencies as requirements for professionals who work in a given industry sector. The applicant’s

knowledge, skills, personal attributes, and qualifications will be assessed.

a. Pre-requisitesWhether you’re interested in becoming a recognized internal auditor, third-party auditor (auditor or lead), or

a certification decision maker (coming soon) the basic pre-requisite requirements must be met before any

application can proceed.

Our goal is to bring together a diverse set of brilliant talented personnel that can work together to help

improve the level of professionalism and service that Conformity Assessment Bodies offer.

The basic pre-requisite attributes for any human requesting personnel certification are:

• Must have a positive outlook and a professional attitude.

• All personnel must be adaptable and able to be dynamic.

• Must be honest and trustworthy.

• Must act with integrity and straightforwardness.

• Must act with objectivity and avoid the impact of biases on their judgement, decision

making or allow undue influence on others

• Must respect the rights of all clients and employers to have personal details and

information kept secure, private and confidential .

• Communication skills to enable the candidate to conversate with the lowest level factory

worker through to the Directors & Shareholders of Corporate Organizations.

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b. Knowledge & skills

Whether you’re interested in becoming a recognized internal auditor, third-party auditor (auditor or lead),

or a certification decision maker (coming soon) these are the basics of the required knowledge and skills.

Education Training Work Experience Audit Experience Grades

Internal

Auditor

Applicants should

be educated to

secondary

education level.

Applicants must have

successfully completed

an IRCA certified

foundation course and

an IRCA certified

internal auditor training

course; or attended an

IRCA certified

auditor/lead auditor

training course.

Applicants should have

four years’ full-time

experience.

Applicants should have

one year of full-time

experience relevant to

the auditor scheme.

Applicants should

have performed at

least five internal

audits all of which

were under

supervision by a

competent person.

Auditor

Post-secondary

education or work

experience that

demonstrates the

ability to learn new

skills and

techniques.

Training in the relevant

management system

standard(s) and their

interpretation and

application into a wide

range of business

practices. Ideally the

applicant would have

completed a credible

lead auditor course.

Applicants should have

four years’ full-time

experience.

Applicants should have

two years of full-time

experience relevant to

the auditor scheme.

Applicants should

have performed at

least three full

management systems

audits. Full audits are

either initial or

recertification audits.

Lead

Auditor

Post-secondary

education or work

experience that

demonstrates the

ability to learn new

skills and

techniques.

Training in the relevant

management system

standard(s) and their

interpretation and

application into a wide

range of business

practices. Ideally the

applicant would have

completed a credible

lead auditor course.

Ideally at least 4 years

work experience in a

system or regulatory

related field however

this is at the discretion

of senior management

and dependent on the

candidate’s level of

education and

demonstrable life skills

and experience.

Minimum of 5 full

management system

standard audits for

each scheme being

applied for. Full audits

are either initial or

recertification audits.

Page 10 of 19

163.4 7.2 28.1 82

❺ Certification Criteria

The International Certifications personnel certification program is a competency-based process, the manner

in which we manage reviews to determine competence levels is dynamic as every individual is different from

the next one. All personnel have varying strengths and weaknesses therefore we handle every review on a

case-by-case basis.

Each scheme (QMS, EMS, OHS, etc) has its own specific requirements that will be tested via the best suited

method that will be determined after initial review of the applicant’s details. Some of these specific

requirements are listed below.

• Quality Management (ISO 9001)

ISO 17021-3 determines specific competence requirements

• Environmental Management (ISO 14001)

ISO 17021-2 determines specific competence requirements

• Occupational Health & Safety (OHSAS 18001, AS/NZS 4801, ISO 45001)

IAF MD 22 determines specific competence requirements

• Medical Device Management (ISO 13485)

IAF MD 5 determines specific competence requirements

• Food Safety Management (HACCP Warranty and ISO 22000)

ISO 22003 determines specific competence requirements

The methods we utilise for evaluating an applicant’s competence range from review of records, feedback,

interviews, observations and examinations. These can be further subdivided. The following is a brief

description of each method and its usefulness and limitations for evaluating knowledge and skills. It is unlikely

that any one method on its own will confirm competence. This will be determined after the review.

Method Brief overview

Review of

application including

supplied

documentation

Records are indicators of knowledge, such as a resume or curriculum vitae

showing work experience, audit experience, education and training. Some

records are indicators of skills, such as audit reports, records of work experience,

audit experience, education and training. Such records alone are not likely to be

sufficient evidence of competence. Other records are direct evidence of

demonstration of competence such as a report of a performance appraisal of an

auditor conducting an audit.

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Method Brief overview

Feedback and

reference checks

from previous

employers

Direct feedback from past employers can be an indicator of knowledge and skills,

but it is important to note that sometimes employers specifically exclude negative

information. Personal references can be an indicator of knowledge and skills. It is

unlikely that a candidate will provide a personal reference that would provide

negative information. Feedback by peers can be an indicator of knowledge and

skills. Such feedback can be influenced by the relationship between the peers.

Feedback from clients can be an indicator of knowledge and skills. For an

auditor, the feedback can be influenced by the results of the audit. Feedback

alone is not satisfactory evidence of competence.

Interviews and

discussions with the

applicant

Interviews can be useful for eliciting information about knowledge and skills.

Employment interviews can be useful for elaborating on information from

resumes and past work experience in regard to knowledge and skills. Interviews

as part of performance reviews can provide specific information on knowledge

and skills. An interview of an audit team for a post audit review can provide

useful information about an auditor’s knowledge and skills. It provides an

opportunity to understand why an auditor made specific decisions, selected

specific audit trails, etc. This technique may be used after an observed audit and

may also be used later when considering the written audit report. This

technique may be particularly useful in determining competence relative to a

specific technical area. Direct evidence of demonstration of competence can be

achieved by a structured interview with appropriate records against specified

competence criteria. Interviews may be used to assess language, communication

and interpersonal skills.

Observing or

witnessing an audit

being performed

Observing a person performing a task can provide direct evidence of

competence as demonstrated application of knowledge and skills to

achieve a desired result. This method of evaluation is useful for all

functions, administrative and management staff as well as for auditors

and certification decision makers. Observing a person periodically is

useful to confirm continued competence.

Written

examinations

Written examinations can provide good and well-documented evidence

of knowledge and, depending on methods, also on skills. Oral

examination can provide good evidence of knowledge (depending on

the examiner’s competence), and limited outcomes about skills.

Practical examinations can provide a balanced outcome on knowledge

and skills, depending on the examination process and the examiner’s

competence. Examples of methods include role playing, case studies,

Page 12 of 19

❻ Application Form

Simply use this form and complete all the appropriate sections that relate to the competencies for each

scheme you wish to be approved for.

The applicant auditor must supply all applicable supporting information that would usually consist of at least:

• resume/CV

• certificates of any qualifications

• auditor registration records (if applicable), i.e. Exemplar, IRCA, etc..

• signed confidentiality agreement

• Fit & Proper Person declaration

• audit logs (if applicable)

• training records/proof of training

• any other supporting information

Applicant Details

First name

Surname

Street address

Suburb

City

State

Postcode

Country

Telephone number

Mobile number

E-mail address

Page 13 of 19

Scheme & Grades

Tick the appropriate schemes you wish to apply for and the level of approval.

Internal Auditor Auditor Lead Auditor

Quality Management

ISO 9001

Environmental Management

ISO 14001

Health & Safety

OHSAS 18001 & AS/NZS 4801,

ISO 45001

Medical Device QMS

ISO 13485

Food Safety Management

HACCP Warranty & ISO 22000

Education

Please supply details of your education (school, college, university, etc) and ensure you attach copies of

relevant supporting documentation.

Page 14 of 19

Work Experience

Please include your resume with this application, this should include all your work experience. Below

is a field where you can expand on anything you feel will support the claims in your resume with

more specific information relating to this application.

Auditor Training

Please include details of all training you have attended or been provided with in relation to the

schemes and grades applied for in this application.

Page 15 of 19

Applicable IAF codes

For information purposes, indicate which industries you possess knowledge and skills that could be applied

to auditing in those areas.

IAF Business sector/industry Tick IAF Business sector/industry Tick

1 Agriculture, forestry and

fishing 21 Aerospace

2 Mining and quarrying 22 Other transport equipment

3 Food products, beverages and

tobacco 23

Manufacturing not elsewhere

classified

4 Textiles and textile products 24 Recycling

5 Leather and leather

products 25 Electricity supply

6 Wood and wood products 26 Gas supply

7 Pulp, paper and paper products 27 Water supply

8 Publishing companies 28 Construction

9 Printing companies 29

Wholesale and retail trade; Repair

of motor vehicles, motorcycles and

personal and household goods

10 Manufacture of coke and refined

petroleum products 30 Hotels and restaurants

11 Nuclear fuel 31 Transport, storage and

communication

12 Chemicals, chemical products

and fibres 32

Financial intermediation; real

estate; renting

13 Pharmaceuticals 33 Information technology

14 Rubber and plastic products 34 Engineering services

15 Non-metallic mineral products 35 Other services

16 Concrete, cement, lime, plaster etc. 36 Public administration

17 Basic metals and fabricated

metal products 37 Education

18 Machinery and equipment 38 Health and social work

19 Electrical and optical equipment 39 Other social services

20 Shipbuilding

Page 16 of 19

General Awareness

We wish to understand your thoughts and general awareness of the auditing and certification industry so we

ask all applicants to answer this questionnaire on the scheme(s) being applied for. Use this form for each

scheme.

What is the scheme being applied for?

What are the standards that you are aware of in the scheme?

What do you like and dislike about this scheme?

Describe in your own words what a good and a bad audit looks like? Bad and good in terms of what you

like and dislike as an auditor, an audit can have a terrible outcome for the client (many Major CARs etc)

but it could have been a brilliant audit for all involved.

What are your thoughts on documentation and management systems, describe below the best ways an

organization can document its systems and processes to gain the best outcome from the process?

Describe your thoughts around auditors making recommendations and identifying areas for

improvement during external management system audits.

Page 17 of 19

❼ Fit and Proper Person

I will observe the International Certifications Code of Conduct and confirm that:

1. I will treat all others in a professional respectful manner at all times.

2. Even if I do not agree with others, I will respect their views.

3. I will act with integrity at all times.

4. I will not buy into negativity or criticism of others.

5. I will have a positive outlook towards my profession at all times.

6. I will try to increase my competence and understanding whenever possible.

7. I will not undertake any assignments that I am not competent to perform.

8. I will disclose any relationships to any client or employer anything that could be perceived as a

conflict of interest.

9. I will not discuss or disclose any confidential information and agree to comply with the

confidentiality agreement at all times.

10. I will not accept any inducements or be bribed in any way shape or form.

11. I will act honestly at all times and not intentionally communicate anything false or misleading.

12. I agree to comply with the complaints, appeals, and disciplinary policies and procedures.

13. I have never nor would I ever accept bribery of money, gifts or personal gain in exchange for

providing favour to an individual or organization.

14. I am not associated with any terrorist organizations.

15. I am not engaged in or associated with any acts of espionage.

16. I am not engaged in any criminal activity or associated with an organized criminal entity (Gang).

17. I am not engaged in the smuggling of contraband nor would I ever be in involved with that.

18. I will at all times act in a fair manner, be non-judgemental and will be totally impartial whilst

dealing with client organizations.

The above forms the basis of the International Certifications Fit & Proper Person and Code of Conduct

Policies. The approved applicants are expected to comply with these commitments at all times and to inform

International Certifications of any improvement opportunities that may be identified to further enhance the

Personnel Certification program.

Page 18 of 19

❼ Application Declaration

Declaration:

I apply for personnel certification and confirm that I understand and agree to follow all policies and procedures

that apply to me. I agree to act in accordance with the Internal Certifications code of conduct and to uphold the

integrity of the auditing industry. I confirm that the information that I have provided in this application are correct

to the best of my knowledge and belief.

Signed:

Date:

Send all completed application forms along with all supporting information to admin@intlcert.com.

❽ What Next?

Once we receive completed applications for Personnel Certification, we will review the application and reply

to the applicant with the outcome may include request for more information. The application process for

approval of an auditor can be extremely difficult to manage in a fair and consistent manner. As many

personnel can look good on paper but sometimes not the same in reality and vice-versa, we endeavour to

“do our due diligence” in regards to determining the true competency levels of the applicants.

We will have all applications reviewed and replies sent back to all applicants within 10 days of applications

being sent. We act in a fair and consistent manner.

applicant International

Certifications applicant

International

Certifications

Reviewed by approval

team

Applicant completes

this application form

and submits it along

with all relevant

supporting information.

All completed applications are

assessed for compliance with the

relevant criteria and feedback is

given to the applicant. If more

information is required it will be

requested. An interview or

witnessed audit may be booked in

The applicant provides

further information if

requested and agrees a

date for an interview or

a witnessed audit as

required.

An interview and/or a

witnessed audit is

conducted (as agreed)

by an approved

competency testing

auditor. Feedback is

given after testing

process.

The application is reviewed

and approved or declined,

Recomendadtions are made

by the competency testing

auditor and are reported by

way of a documented report

that goes to the approval

team.

Page 19 of 19