QMS Criteria

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Certifcation as a

Quality Auditor


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Criteria for Certification as a Quality Auditor

IRCA/602/09/1 Issued June 2009 1

Contents

1. General Information about IRCA and the QMS 2008 Programme2. Certification Grades3. Initial Certification4. How to Apply5. Fees6. Renewal of Certification7. How to Regrade8. Transitioning QMS 2000 to QMS 20089. Other Information

Appendix IGuidance on Continuing Professional Development (CPD)

Appendix I IDefinitions

Appendix I I ICode of Conduct

The information detailed within this document was correct at time of publication. For moredetails about this programme and other services we provide, we advise you to see theIRCA website at www.irca.org.

Copyrigh t I RCA 2009All rights reserved. No part of this publication may be reproduced, stored in a retrievalsystem or transmitted in any form or by any means - electronic, mechanical, photocopying,recording or otherwise - without prior permission of the International Register ofCertificated Auditors (IRCA).


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1.General I nformation about I RCA and t he QMS 2008 Programm e

I RCA and Auditor Cert ifi cat ion

History:

The International Register of Certificated Auditors(IRCA) began certifying auditors in 1984. It wasset up as part of an initiative by the UKgovernment to make business and industry morecompetitive. The aim of this initiative was toachieve efficiencies by reducing the costs ofsupplier audits by replacing them with a fewernumber of third party audits. Each third partyaudit of a supplier would then be accepted andrecognized by all customers of that supplier.

In addition to IRCA, the other bodies involved in

this new structure included an accreditation body(now UKAS), a national standards making body(BSI Standards), and a number of certificationbodies. The quality management standard usedwas the British standard BS 5750, which laterbecame ISO 9001.

This quality infrastructure proved to be extremelysuccessful and is now recognized world-wide tobe the most effective and most commonly usedmethod for assuring the quality of supplierorganizations. This same structure is now used inother contexts, e.g. to assure the compliance of

organizations management systems tooccupational health & safety, food safety andenvironmental requirements. But whatever thecontext, because the structure relies heavily oncompetent auditors and consultants, the roleplayed by IRCA has been essential to its success.

During the years since its establishment, IRCAhas earned a reputation for integrity and foradding value. The evaluation and certificationmethods developed and used by IRCA have beenadopted by most other auditor certificationbodies. Although most countries now offer

alternatives to IRCA through their own nationalauditor certification programmes, IRCAcertification remains internationally as popular asever. Around 35,000 auditors have been awardedcertification since 1984, and over 150 countriesare currently represented on the IRCA register.IRCA is the only auditor certification body thathas international recognition and remains thecertification that supplier organizations,certification bodies and auditors value most.

I RCA Training:

IRCA certification of auditor training courses isrecognized and valued internationally. Althoughdeveloped originally to support auditorcertification, IRCA has evolved certification oftraining to become an independent activity,successful in its own right. Originally designed forauditors wishing to become certified, the coursesproved very popular with students who wereseeking information on quality, environmentaland health & safety management for a variety ofreasons. Now only a small minority of studentsattending these courses are auditors. Training

organizations in many parts of the world regardIRCA certification as an essential requirement fortrading. The number of courses IRCA offers hasincreased to cover a wide range of applicationsand continues to expand as training organizationsdemand certification for an increasing range ofcourse types. Around 60,000 students a yearattend IRCA certified training in all parts of theworld.

Links wi t h t he CQI :

IRCA is a division of the Chartered QualityInstitute (CQI). The CQI in its own right isrecognized worldwide as one of the internationalchampions of quality. Together, in theirrespective roles, IRCA and the CQI provide asuccessful contribution to business and industrybased on integrity, absolute impartiality, andadding value to the business process.


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The QMS 2008 Programme

To have credibility, accredited certification needscompetent auditors. To be efficient andcompetitive, business and industry needscompetent auditors. The purpose of our Quality

Management Systems Auditor CertificationProgramme (the QMS 2008 Programme) is toprovide confidence to accredited certification andto business and industry that auditors certified tothis programme are competent.

As part of the certification process we willevaluate you against requirements which reflectthe key skills, knowledge and experience thatdefine competence and which you, the QMS 2008auditor, need to have and demonstrate during anaudit.

The QMS 2008 Programm e is based on t hekey standard:

ISO 9001:2008, Quality ManagementSystems - Requirements

and the audit ing guidance standard:

ISO 19011:2002, Guidelines on Qualityand/or Environmental Management Systems

Auditing

Our award of cert ification m eans w e haverecognized that you understand and arecompetent ( depending on th e gradeawarded) t o:

uphold the principles of proper ethicalconduct, fair presentation and dueprofessional care

communicate clearly orally and in writingwith personnel at all levels of an organization

plan and organize an audit of a QMS identify and understand relevant business

processes evaluate objective evidence and determine

the effectiveness of a QMS report accurately audit findings and

conclusions

lead the audit team and manage the auditprocess audit a management process.The scope of certification is general, i.e. it doesnot include nor does it require any industrysector specific competences. You may select froma list up to 6 standard industry sectors withinwhich you have acquired work experience. Thesedetails, although included within the register, areself-declarations and are outside the scope ofcertification.

The details of all certified auditors are includedwithin a register which is publicly available.

The programm e is intended for:

quality auditors, e.g. those employed by thirdparty certification bodies/registrars or by

purchasing organizations quality practitioners, e.g. quality consultants,

quality managers and other quality personnel employees conducting quality management

system audits within their own organization,i.e. internal audits.

This document provides you (newapplicant s and existing I RCA cert ifiedauditors) w ith information and instr uctionson : the certification process and how to apply the requirements for initial certification the requirements for renewal of certification,

including CPD requirements

the types of audits acceptable for certification fees the Code of ConductCertification within the QMS 2008 Programme isavailable, without restriction, to all individualsworld-wide who satisfy the certificationrequirements.


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2.Certification Grades

The QMS 2008 Progr amm e has six gradesof cert ification: QMS 2008 Provisional Internal Auditor QMS 2008 Internal Auditor QMS 2008 Provisional Auditor QMS 2008 Auditor QMS 2008 Lead Auditor QMS 2008 Principal AuditorTo assist you in determining which grade is rightfor you, we have listed below the descriptions ofthe characteristics of each grade and a briefsummary of the certification requirements. Youwill find a more comprehensive description ofthese in the next section Initial Certification.

QMS 2008 Provisional I nt ernal

Auditor

Who is suit ed to t his grade?

This is an entry or training grade for internalauditors who do not yet have the necessaryinternal auditing experience required forcertification to the Internal Auditor grade.

Many internal auditors start at this grade after

initial training as the first step.

Summ ary of cert if ication requirements

for t his grade:

Education At least secondary educationWork Experience Five years, or 4 years with a degree or near

degree

One year of quality work experienceAuditor Training An IRCA certified ISO 9001:2008 Foundation

Course or accepted alternative

An IRCA certified Internal QMS Auditorcourse or acceptable alternative

Or

An IRCA certified QMS Auditor/Lead Auditorcourse or accepted alternative

Auditing Experience None.

QMS 2008 I nternal Audit or


You should consider this grade if you conductinternal audits of your organizations QMS.Usually you will not be a full-time auditor, andyou may only audit a few times a year, but youwill have a good understanding of qualitymanagement systems and how they add valuewithin your own organisation.

Because internal auditing is only part of yourwork, we do not require you to demonstrate thesame level qualification and experience as for theother grades.

Certification to this grade is valuable to you in thesame way as with other qualifications thatrecognise your competence. It is valued by youremployer not only as an indicator of yourcompetence, but also because it supports yourorganizations ISO 9001:2008 managementsystem.

This grade is a natural progression from theprovisional grade for internal auditors and youshould apply for regrade (from ProvisionalInternal Auditor) as soon as you have completedthe internal auditing experience.

Summ ary of certif ication requirements

for t his grade:


degree

One year of quality work experience

Auditor Training An IRCA certified ISO 9001:2008 Foundation

Course or accepted alternative

An IRCA certified Internal QMS Auditorcourse or accepted alternative

Or

An IRCA certified QMS Auditor/Lead Auditorcourse or accepted alternative

Auditing Experience Five audits totalling at least 15 hours.


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QMS 2008 Prov isional Audit or


This is the entry or training grade, and youshould consider this if you intend to makeauditing your career. The grade recognizes youto have the appropriate personal attributes,

educational, professional and technicalcompetences but have not yet had sufficientopportunity to meet the auditing experiencerequirements necessary for certification to theother grades. Most career auditors start at thisgrade and it is seen as the first step.

This grade is also used by experienced auditorswho are taking a temporary break from auditingor have moved from auditing to managementand who still see value in maintaining IRCAcertification.

Summ ary of cert if ication requirementsfor t his grade:


degree

Two years of quality work experienceAuditor Training

An IRCA Certified QMS Auditor/ Lead Auditorcourse or accepted alternativeAuditing Experience None.

QMS 2008 Audit or


This grade is a natural progression from theprovisional grade and you should apply forregrade (from provisional) as soon as you havecompleted the required auditing experience. Thisgrade recognizes you as a competent auditor,contributing as an effective member of an auditteam. It is regarded as the next step in thecareer ladder and most auditors who hold thisgrade intend to move onto either the lead orprincipal auditor grade.

Summ ary of cert if ication requirements

for t his grade:

Education At least secondary education

Work Experience Five years, or 4 years with a degree or near

degree

Two years of quality work experienceAuditor Training An IRCA Certified QMS Auditor/Lead Auditor

course or accepted alternative

Auditing Experience Four audits as an auditor-in-training totalling

20 days, 10 days minimum on-site.

QMS 2008 Lead Audit or


Most auditors working for certification bodies arelead auditors, as are auditors who performsupplier audits for large organizations. This

grade is reserved for competent auditorsexperienced at managing audits and leadingteams.

Summ ary of certif ication requirements

for t his grade:


degree

Two years of quality work experienceAuditor Training An IRCA Certified QMS Auditor/Lead Auditor


Auditing Experience (in t otal, i.e. assumingyou do not curr ently hold t he QMS 2008Auditor gr ade) Four audits as an auditor-in-training totalling

20 days, 10 days minimum on-site

Three audits as lead auditor-in-trainingtotalling 15 days, 10 days minimum on-site.

QMS 2008 Prin cipal Audit or


This grade is designed as an alternative to theLead Auditor grade and is intended to recognizethe considerable experience and competence oftwo categories of auditors who operate on theirown (i.e. as a team of one, performing soleaudits); Auditors with a background in quality

consulting (whose key competencies are


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implementing quality systems and performingall aspects of the audit process withoutassistance)

Auditors with a background in leading auditteams (as lead auditors) but who now auditon their own (whose key competences areaudit management team leadership).

We consider this Principal Auditor and LeadAuditor grades as being, on balance, of anequivalent standard and we do not intend thatauditors hold the Principal Auditor and Lead

Auditor grade, or any other grade, at the sametime.Summ ary of cert if ication requirements

for t his grade:

EducationConsultant rout e: A degree or near degreeor

Team Leader rout e: At least secondary educationWork ExperienceConsultant rout e: Six years of quality work experienceor

Team Leader rout e: Five years, or 4 years with a degree or near

degree Two years of quality work experienceAuditor Training An IRCA Certified QMS Auditor/Lead Auditor


Auditing ExperienceConsultant rout e: Seven sole or lead audits totalling 35 days of

which a minimum of 20 days must havebeen on-site (these numbers assume you do

not currently hold the QMS 2008 Auditor orQMS 2008 Lead Auditor grade)

or

Team Leader rout e: Six years certified to the Lead auditor grade Three sole audits where you were required

to demonstrate effective audit managementskills within complex and demandingsituations.


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3.I nitial Certif ication

We will evaluate your application based on your demonstration of the competencies1 needed for effectiveaudit of quality management systems. You may demonstrate these competencies through a combination ofeducation, work experience, auditor training and audit experience.

Unless indicated, we will accept a less comprehensive coverage of the scope and depth of competences forthe QMS Internal Auditor grade.

Competences

Generic Audit ing Competences Auditing principles, procedures and techniques that enable you to apply these as appropriate to

different audits and ensure that you conduct audits in a consistent and systematic manner

Management system and reference documents that enable you to comprehend/define the scope of anaudit and apply audit criteria

Organizational situations that enable you to comprehend an organizations operational context Applicable laws, regulations and other requirements relevant to the discipline that enable you to work

within, and be aware of, the requirements that apply to the organization being audited.

QMS Audit ing Compet ences Quality related methods and techniques the enable you to examine quality management systems and to

generate appropriate audit findings and conclusions

Processes and products, including services, that enable you to comprehend the technological context inwhich the audit is being conducted.

1You will find a more complete listing of the competencies in ISO 19011:2002, section 7.3


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Education

For all grades except QMS 2008 PrincipalAuditor (consultant route):

You need to have completed a minimum ofsecondary education. If you have a degree ornear-degree2 level qualification, we will reducethe requirement for work experience.

Acceptable qualifications include those awardedby an institution, recognized by a nationalgovernmental body or accredited by a nationalprofessional body.

For QMS 2008 Principal Audit or grade(consultant route):

You need a degree, near degree or acceptableequivalent.

All post graduate diplomas, undergraduate and

post graduate degrees awarded in a relevantsubject will normally be accepted.

Work Experience

General, relevant w ork experience:

For all grades except QMS 2008 PrincipalAuditor (consultant route):

You need to have at least 5 years of relevantwork experience, this is reduced to 4 years if youhave a degree or near degree. We consider

relevant work experience to be a technical,managerial or professional position where youare required to exercise judgement, solveproblems and communicate with other managers,employees, customers and stakeholders.

For QMS 2008 Principal Audit or (consult antroute):

You must have at least 6 years of workexperience, all of which must be quality workexperience.

Qualit y w ork experience:For all grades except QMS 2008 ProvisionalI nternal Auditor, QMS 2008 I nternalAudit or and QMS 2008 Principal Audit or(consultant route):

2We use the UK definition of a degree as the degreebenchmark. But we recognize that not all degrees awarded inthe UK and in other countries meet this standard. Many fall

just short, either in content or in duration and we call thesenear degrees. For the purposes of this programme werecognize a near degree as meeting the tertiary educationrequirement.

You must also have completed 2 years (whichmay be included as part of the 4 or 5 years totalwork experience) within a context where qualityand quality issues formed the major part of the

job. Such experience must have provided youwith the practical knowledge necessary to auditquality management systems effectively.

For QMS 2008 Provisional I nt ernal Auditorand QMS 2008 I nternal Audit or:The requirement is for 1 year of quality workexperience, and we will accept quality experienceof a more general nature.

For QMS 2008 Principal Audit or (consult antroute):

You must be able to demonstrate at least 6 yearsof work experience acquired within the previous10 year period that related to the development,implementation, maintenance and auditing of

quality management systems. The significantmajority of this work experience must have beenconducted at a senior level within anorganization. You may have acquired thisexperience either as an employee or as acontractor.

Because we are looking for evidence of qualityrelated competences acquired through workingwithin relevant fields, we will only accept auditingexperience as contributing up to a maximum ofhalf of this requirement. You must have acquiredthe 6 years quality experience within the previous

10 years.

For all grades, periods of training cannot beincluded in this work experience requirement.

Audit or Training

For QMS 2008 Provisional I nt ernal Auditoror QMS 2008 I nternal Auditor grades:

You must have successfully completed either anIRCA certified ISO 9001:2008 Foundation course(or an acceptable alternative) and an IRCA

certified QMS Internal Auditor course (or anacceptable alternative)

or

The training requirement specified for any of theother grades.

For all ot her grades:You must have successfully completed an IRCAcertified QMS Auditor/Lead Auditor course (or anacceptable alternative)

or

An IRCA certified genericAuditor/Lead Auditorcourse (or an acceptable alternative) and an IRCA


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certified QMS Auditor Conversion course (or anacceptable alternative).

If you are already certified as an auditor on oneof our generic programmes we will only requireyou to have completed the shorter IRCA certifiedQMS Auditor Conversion course or acceptedalternative.

Acceptable alternatives include some QMScourses approved by other training approvalbodies. Exceptionally, we will consider acceptingtraining completed through other ways, but theonus will be on you to satisfy us that this trainingat least meets the learning outcomes of ourprescribed courses.

You should normally have successfully completedauditor training within the 3 year periodimmediately prior to application for certification.We may accept training completed prior to thisperiod if you provide evidence of recent, relevantwork experience and currency of your auditingskills.

We advise you to refer to the IRCA websitewww.irca.org for a current listing of all IRCAcertified training organizations offering IRCAcertified QMS auditor training courses.

Auditi ng Experience

For QMS 2008 Provisional I nt ernal Auditorgrade:

No auditing experience is required forcertification to this grade.

For QMS 2008 I nternal Auditor gr ade:You need to have performed at least 5 internalaudits, each of which must have been of at least3 hours duration and must have included allelements of the audit cycle; audit planning,document review, auditing, interviewing, auditreporting and must not have involved areas oractivities that you yourself perform. (However,we will accept audits of activities for which you

are directly or indirectly responsible, e.g. as a linemanager).

For QMS 2008 Provi sional Audit or grade:No auditing experience is required forcertification to this grade.

For QMS 2008 Audi t or grade:You need to have performed at least 4 completeaudits. Auditing activity must include documentreview, preparation and performance of on-siteaudit activities and audit reporting.

The duration of these audits must not be lessthan 20 days, 10 days of which must have beenacquired on-site.

Although we recommend you should complete allof the audits under the direction and guidance of an auditor competent as a team leader(currently certified as a lead auditor or who hasequivalent competence), we acknowledge thatfor many auditors this will be very difficult andcostly to arrange. Consequently, we will accept aminimum of 1 audit under these conditions. Wemay require this team leader to attest to yourcompetence to audit as a team member.

For QMS 2008 Lead Audit or gr ade:In addition to the audit requirement for the QMS2008 Auditor grade listed above, you must havecompleted 3 acceptable audits as the leader of anaudit team which included at least one otherauditor.

The duration of the 3 lead audits must not beless than 15 days, 10 days of which must havebeen acquired on-site.

Although we recommend you should complete allof the audits under the direction and guidance3of an auditor competent as a team leader(currently certified as a lead auditor or who hasequivalent competence), we acknowledge thatfor many auditors this will be very difficult andcostly to arrange. Consequently, we will accept aminimum of 1 lead audit under these conditions.We may require this team leader to attest to yourcompetence to lead an audit team.

If you are already certified to the QMS 2008

Auditor grade, you need only perform the 3 leadaudits as above.

For QMS 2008 Principal Audit or grade:For the consultant route, you must havecompleted a minimum of 7 acceptable sole orlead audits totalling 35 days, 20 days of whichmust have been acquired on-site.

If you are already certified to the QMS 2008Auditor grade, you need only perform 3 sole orlead audits of a duration not less than 15 days,10 days of which must have been acquired on-site.

For the team leader route, you must haveacquired a minimum of 6 years of experience asa certified lead auditor (exceptionally, we willconsider accepting less than 6 years as a certifiedlead auditor if you are able to demonstrate a veryconsiderable and comprehensive experience inleading teams within a shorter period) and

3Direction and guidance does not mean you must be underconstant supervision nor does it mean someone needs to beassigned solely to perform this task.


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conducted 3 sole audits, where you wererequired to demonstrate effective auditmanagement skills in complex and demandingsituations. As guidance, we anticipate these to beinitial audits of more than 1 days durationperformed within a complex organization.


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General Guidance on Acceptance of

Audits:

What audit s do w e accept?

For all grades except QMS 2008 LeadAuditor:We will only accept audits performed during theprevious 3 year period.

For QMS 2008 Lead Auditor gr ade:You must have acquired the lead auditexperience during the previous 2 years. Wedefine previous period as being that periodimmediately prior to the date we receive yourcompleted application.

We must be able to verify all audit experienceyou submit in your log sheets. Please make sureyou include detailed information of the audits youperform and provide sufficient contact details so

that we are able to perform the verification.

We will only accept audits that have beenperformed in accordance with the auditingguidance standard ISO 19011 and against ISO9001:2008 or an alternative standard we acceptas being equivalent. Audits performed againstalternative national, international or companystandards may be acceptable.

If you are already certified as an Auditor, LeadAuditor or Principal Auditor on one of our genericprogrammes, we will accept audits against ISO

22000, OH&S 18001, ISO 27001, ISO 20000, ISO14001 or acceptable alternatives where these donot exceed 25% of the QMS audit experiencerequirement.

We will accept supplier audits (also known assecond partyaudits), certification audits (alsoknown as third partyaudits) and internal audits(also known as first partyaudits). We alsoaccept consultancy audits (see below), which canbe performed as first, second or third partyaudits.

I nternal ( f i rst party) audits:For QMS 2008 Internal Auditor grade we willaccept internal audits performed by you on partsof your own organization where you areindependent from the operational activities youare auditing.

We will consider accepting internal audits forother grades providing that, in addition to youbeing independent from the operational activitiesyou are auditing, the scope of the audit wassufficiently broad and the audit was sufficientlycomplex to require you to use a range of auditing

skills. So that we can consider your internalaudits for acceptance, we advise you to provide

us with appropriate and relevant supportinginformation.

Consultancy Audits:We will accept audits performed by you whenacting as a consultant for a client if all of thefollowing are satisfied:

the client (auditee) already had a fullyestablished QMS prior to the audit you had no part in setting up the QMS being

audited (except in specific circumstances asdescribed below)

you were independent of the auditee the scope of the audit included all elements

of the QMS.

We will also accept pre-assessment auditsperformed by you on a QMS that you wereinvolved in developing if the certification bodysubsequently awarded certification at the firstattempt.

Surveillance (parti al system) audit s:We do not normally accept surveillance (partialsystem) audits when submitted for initialcertification (except for QMS 2008 Internal

Auditor). However, we do accept surveillanceaudits for renewal of certification. As a generalrule we consider five surveillance audits to beequivalent to one full QMS audit, but recognizethat some surveillance audits can be very

extensive. In such instances, we will accept fewerthan five surveillance audits (as being equal toone full QMS audit) if you provide us withevidence that supports your claim.

Audits w e do not accept :

We do not accept :

audits of the same QMS that are repeatedmore frequently than once every 12 months.

audits of less than one day (6 hours of on-site audit activity exclusive of breaks)duration, except for QMS 2008 Internal

Auditor grade where we will accept audits of3 hours exclusive of breaks

gap analysis, close out or follow up visits audits performed before successful

completion of the formal trainingrequirement.


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4.How t o Apply

What you do

Request an app l ica t ion p ack

We will provide you with an application pack freeof charge. Either contact us and we will send it toyou by post, or download all the documentsyourself from our website.

Tel: +44 (0)20 7245 6833Fax: +44 (0)20 7245 6755Email: [email protected]: www.irca.org

Complete and submit t heapplication f orm and documents

When you apply for certification, please completethe forms as instructed, enclose all the additionalmaterial requested and send to us with theapplication fee.

At the application stage, please send only theapplication fee. Do not send the annualcertification fee. If your application is successful,we will write and ask you to pay the annualcertification fee.

We accept applicati ons and supportingdocumentat ion in the follow ing languages: English Chinese Japanese Italian Spanish KoreanFor all the other languages we will need allcorrespondence in support of the application tobe in the English language or to be accompanied

by certified translations of the originals. This isparticularly important for educationalqualifications, training courses and audits.

All qualifications submitted must be supported bydocumentary evidence. An example of acceptableevidence would be a good quality photocopy ofthe original certificate indicating the awardingbody, the title and date of the award and thename of the person to whom the award wasmade. If any of this information is not availableor is not clear, we may ask you to supply us withmore evidence.

The same applies if a copy of the certificate is notavailable, for example where it has been lost or

destroyed. Acceptable evidence would include anofficial letter from the awarding body confirming

the award.

A transcript (i.e. an official, detailed account ofthe course content) of an award would also beacceptable evidence if it clearly states the dateand title of the award.

If no documentary evidence can be supplied bythe awarding body, it is unlikely we would acceptyour qualification.

What w e do

We usually take about four weeks to processeach application. But that time may varydepending on the time required to verify theinformation submitted with the application. Givingus all the information we need will speed up theapplication process.

The process has fou r par t s:

Administrat ive checkAll applications are checked first by ouradministration staff to make sure you haveincluded all the information we need.

Technical evaluationThis phase is performed by IRCA's technicalexperts, the Reviewing Officers. The ReviewingOfficers evaluate the information submittedagainst the certification requirements andperform verification of some or all of thisinformation. At the conclusion of the technicalevaluation, the Reviewing Officers will make arecommendation on certification to theCertification Manager.

We consider verification to be an essentialelement supporting the overall credibility of thecertification process. Consequently, great care istaken by the Reviewing Officers in reviewing andverifying applications against all aspects of thecertification requirements. We will perform theevaluation as speedily as we can, but sometimesit is not possible to be as quick as we (or you)would like. Processing your application is likely totake longer if you have unusual educationalqualifications, if your current (or former)employers are slow to provide verificationinformation or if the auditee organizations arenot helpful.


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CertificationThe final decision on your certification is made bythe Certification Manager. The certificationdecision is performed independently from thetechnical evaluation process (detailed above).

Offer and award of cert ificati onThe Certification Manager will write formally toyou with an offer of certification to theappropriate grade. We will send you this offerand ask you to pay your first annual fee.

Certification will be awarded when we receiveyour payment of the annual fee.

Your details are then added to our online registerof certificated auditors and we will send you yourcertification card.


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5.Fees

Fees are set annually and apply for the calendaryear (1 January 31 December). Contact usdirect or see www.irca.org for details of current

fees applicable for your country.

Applicat ion Fee

We need you to pay this fee when you send inyour application. Alternatively, we will invoice youon receipt of your application. This fee covers thecosts of the application process and is notrefunded if the application is unsuccessful.

Annual Cert ifi cat ion Fee

This fee covers the annual cost of administeringyour certification. We will normally invoice youfor this fee when we first offer you certificationfollowing your application, and thereafter eachyear one month4 before payment is due.

Applicat ion for Regrade Fee

This fee covers the costs of evaluating your

regrade. We need you to pay this fee when yousubmit your request and, as with the applicationfee, the regrade fee is not refundable. If you areregraded during the year, we will not ask you topay any further certification fees for that currentyear. You may request a regrade at any stageduring the certification period. There is noregrade fee if we regrade you as part of the (3year) renewal of certification process.

4Except every third year when your renewal is due. Weinvoice you after we have completed your renewal, on thebasis that your grade (and fee) may have changed as a resultof renewal.


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6.Renew al of Cert ificati on

You must renew your certification every threeyears, i.e. at the end of the third complete year.We will write to you two months before yourcertification period expires and ask you to sendus your audit and CPD logs and other documents.We will evaluate these against the renewalrequirements listed below and make acertification decision. We will then write to youwith the results.

The renew al of cert ifi cation processinvolves these five requirements: Continuing Professional Development (CPD) Audit experience Declaration of Complaints Compliance with the IRCA Code of Conduct Payment of the Annual Fee.Continuing ProfessionalDevelopment

For all grades except t he QMS 2008Provisional I nt ernal Auditor and QMS 2008I nternal Auditor grade:

You must have completed at least 45 hours ofappropriate CPD during the 3 year periodimmediately prior to renewal of certification.

We need you to provide us with evidence thatyou have met this requirement. (See Appendix Ifor guidance.)

For both QMS 2008 I nternal Audit orgrades:There is no CPD requirement.

Audit Experience

We need you to record and submit your auditexperience on the audit log sheets (IRCA/106)which we supply.

For QMS 2008 Provisional I nt ernal Auditorgrade:There is no requirement to perform audits.

For QMS 2008 I nternal Auditor gr ade:You need to have completed a minimum of 5audits, the total duration of which must havebeen at least 15 hours.

For QMS 2008 Provi sional Audit or grade:There is no requirement to perform audits.

For QMS 2008 Audi t or grade:You need to have completed at least 5acceptable audits.

For QMS 2008 Lead Audit or gr ade:You need to have completed at least 5acceptable audits, any 2 of which must havebeen as the leader of a team which included atleast one other auditor.

For QMS 2008 Principal Audit or grade:You need to have completed at least 5acceptable audits, all 5 must have been eitherlead audits or sole audits.

You must have performed all audits within theprevious three year certification period.

Declaration of Complaint s

We need you to tell us about any complaintsmade against your professional conduct. It isimportant we know of any complaints as we needto consider these as part of the renewal ofcertification process. We will investigate allinstances of complaints. If complaints are madeagainst your conduct and you do not declarethem, the consequences will be far more seriousand may result in suspension or withdrawal of

your certification.

Compli ance w it h t he Code of

Conduct

We need you to make a declaration that youhave always acted in compliance with the Codeof Conduct (see Appendix III).

Payment of t he Annual Fee

And finally, we need you to pay the annual fee(please note there is no additional fee forrenewal). Because the fee will be dependent onthe grade we offer you after renewal, we do notask you to pay this fee until after we havecompleted the renewal. We will write to you withthe results of the renewal and enclose the feeinvoice and your new certification card. Failure topay your annual fee will result in yourcertification being withdrawn.


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7.How t o Regrade

You can apply to be regraded to another grade atany time. When we offer you initial certificationwe will indicate the audit experience andcompetences you need to attain the nextgrade(s) of certification. To apply for regrade,you should complete IRCA/106 log sheets,enclose any additional information requested andsend to us with the regrade fee.

A successful application for regrade will notnormally result in a change to your renewal ofcertification date.

If you decide not to apply for regrade during yourcertification period, we will write to you twomonths before your certification period expires as

part of the renewal of certification process andask you to send us your audit and CPD logs. Atthis point we will let you know the currentregrade requirement. There is no regrade fee ifyou are regraded as part of the (3 year) renewalof certification process.

Please contact us if you need further advice onhow to regrade.


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8.Transitioning fr om QMS 2000 t o

QMS 2008

The ISO 9001:2008 revision includes some minorchanges and clarifications and we require you todemonstrate that you understand these changesand can implement them during an audit.In this section we include: Transition Requirements f or I RCA

Certificated QMS 2000 Auditors

Transition Requirement s for Auditor sw ho have already complet ed I SO9001:2000 training

Transition Requirements f or I RCA

Certificated QMS 2000 Auditors

You will need to complete a minimum of 2 hoursContinual Professional Development focusing onchanges in ISO 9001:2008 before conducting anyacceptable audits to ISO 9001:2008. We willreview this CPD and your audits either duringyour scheduled renewal of certification, or if youregrade your certification. You must completeyour CPD before you complete any audits to thenew standard. You must ensure your audit logsnote the relevant version of the standard (2000or 2008) for each audit conducted.

We will accept audits to the new standardstarting 01 November 2008. We will cease toaccept any audits performed to the old standardfrom June 2010.

What kind of CPD wi ll I RCA accept?

We are flexible regarding transition CPD and donot require you to complete any one specifictransition course. Consistent with our usualapproach to CPD we recognize that there are a

range of activities that you may use to becomefamiliar with the changes and understand theirimplications:

On the job training In-house training and seminars with your

company Attendance at relevant conferences, seminars

and workshops Reading (e.g. the IRCA/633 briefing note

available on our website and other relevantarticles)

A specific QMS auditor transition/updatecourse

Transition Requirement s for Auditors w hohave already completed I SO 9001:2000training

If you have already completed an ISO 9001:2000IRCA certified training course, or acceptable

alternative and have yet to apply for IRCAcertification, you will be required to demonstratea minimum of 2 hours CPD to the new standard,as referenced previously. Please also refer to ourbriefing note IRCA/633 available for download onour websitewww.irca.org


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9.Other I nformation

The Cert ifi cat ion Period

When your application is successful, we awardcertification for a period of 3 years, beginning inthe month we award certification. This 3 yearperiod is referred to as the certification period. Atthe end of the each certification period werequire you to renew your certification. If you aresuccessful at renewal, we award you certificationfor a further 3 year certification period, and soon.

During the certification period, at the end of thefirst and second years, you may maintaincertification by payment of the annual

certification fee and by compliance with the Codeof Conduct. We dont require you to submit anyother documentation at the end of year 1 andyear 2. At the end of the third year, all certifiedauditors are required to complete the renewal ofcertification process.

QMS Standards other t han

I SO 9001:2008

We will accept audits performed againststandards which we evaluate as being equivalent

to ISO 9001:2008. We maintain a list ofacceptable alternative standards but it is possiblethat you may claim audits against a standard thatis not on this list. We have a formal process forevaluating new standards and you are advised tocontact us for advice where you consider analternative standard may be acceptable to us.

Certification Cards, Certificates and

the Register

We will send you a Certification Card following

initial award of certification and annuallythereafter when you pay your annual fee andcomply with any other applicable requirements.

This card is your primary evidence of certificationand you should present this when you first beginan audit and thereafter whenever appropriate.

Although the card is issued to you, it remains ourproperty and you must return it to us should weask you to.

The IRCA Certificate is intended for display as aformal recognition of your certification to a

specific grade. You should not use it as proof of

certification. Please contact us if you wish topurchase a certificate.

You can find details of all certified auditors in

each country on the Find an Auditor section ofthe IRCA website www.irca.org .

Appeals and Complaints

You have the right to appeal against anycertification decision taken by us. We operate aquality system that includes establishedprocedures for considering appeals andcomplaints.

Enfor cement of Cert ifi cat ion

We enforce (i.e. suspend or withdraw)certification for two reasons:

1. If you fail to meet the certification criteria forthe grade to which you are certified. Thisenforcement occurs when you apply to renewyour certification. In most cases withdrawalwill be preceded by an offer of an alternativegrade for a period during which you have theopportunity to meet the requirements and bereinstated to the grade you originally held.

2. If you breach the Code of Conduct, wereserve the right to undertake action againstyour certification if we find you to have actedcontrary to the Code of Conduct. Optionsavailable include suspending, or in instancesof serious or sustained breach, withdrawingyour certification.

Confidentiality

We undertake to consider as strictly confidentialall information, correspondence and

documentation submitted by you to us in supportof your certification activities5.

We reserve the right to publish relevant details ofeach certified auditor in the register available on-line at www.irca.org .

5We reserve the right to disclose details of your certificationrecord to other auditor certification bodies and accreditationbodies. We will do so with discretion and only in instanceswhere we consider withholding this information willcompromise the integrity of certification, e.g. where we havetaken action against (i.e. suspended or withdrawn) yourcertification and you have applied to another auditorcertification body without fully disclosing your record whilecertified by us.


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Legal Status

The certification of auditors by us and all

activities associated with the administration ofthe register is governed in accordance withEnglish Law and is subject to the exclusive

jurisdiction of the English Courts.


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Appendix I

Guidance on Cont inu ing Professional Development

CPD is a framework that encourages you tocontinuously update your professional

knowledge, personal skills and competences. Thepurpose of CPD is to make you more effective asan auditor and to make the auditing professionmore credible. The concept of CPD and the valueit contributes is now recognized and acceptedthroughout all professional fields.

As part of the renewal of certification process,you must demonstrate to us you have completedat least 45 hours CPD within the last 3 years insubjects that are broadly related to auditing andQMS. Because there are so many topics that werecognize will enhance your auditing competence,

we do not attempt to list them here. But wecategorize these into 2 areas which areconsistent with the 2 main areas of competencerequired by QMS 2008 auditors:

1. Quality related2. Auditing relatedWe recognize that no single method for learningsuits everyone. Therefore, we will accept CPDacquired in ways that range from the veryinformal (e.g. reading and self study) to theformal (e.g. classroom training). We recognize

that some ways of acquiring CPD are moreeffective than others, so we apply a weightingwhere some activities are accorded morerecognition than others. The activities are dividedinto 3 broad categories:

a) Unst ructur ed; w here 3 hours areaccepted as one CPD hour

Included in this category would be distance andopen learning study which is not assessed anddoes not lead to a qualification, the reading ofprofessional and technical journals, books andother publications as well as relevant aspects ofon-the-job training, where specific outcomeshave been planned and identified.

Reading IRCA INform, our e-magazine availablefrom www.irca.org , or contributing to the IRCAonline discussion forum6, also available from ourwebsite, is also accepted.

6A maximum of 4 hours of unstructured CPD will be acceptedfor contribution to the IRCA forum. Evidence must bedocumented and verified on IRCA/173 CPD logs.

b) Semi-str uctur ed; w here 2 hours areaccepted as one CPD hour

Included in this category would be non-interactive lectures, talks, etc., informalprofessional body meetings of a more socialnature (networking opportunities), the research,preparation and first delivery of lectures/courses,publishing articles and forms of open anddistance learning that involve assessment andthat result in the acquisition of a qualification.

c) Str uctur ed; w here each hour isaccepted as one CPD hour

Examples of this category would be interactiveand highly participative training courses andseminars, professional body meetings with formallectures, active participation in development ofstandards.

The range of activities that may be includedwithin each category is extensive and the smallnumber of examples above is intended to providebroad guidance only. Most auditors submitevidence of activities that include all 3 categories,but it is not a requirement that you do so. Theonly restriction we place is that unstructured CPDcannot constitute more than one-third (i.e. 15

hours) of the total acceptable CPD hours.It remains your responsibility to provide a casefor acceptance of any activity you submit, andthis must be supported by sufficient, appropriateevidence. This will involve you making andretaining records of your activities and havingthese properly verified where possible. We havedeveloped a CPD and training log sheet(IRCA/173) for this purpose.

It is in your interest to provide us withinformation in a clear, logical and easilyunderstandable format. The speed with which we

are able to evaluate and renew your certificationwill depend on this.


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Appendix I I

Definitions

Audit

A systematic, independent and documented

process for obtaining audit evidence andevaluating it objectively to determine the extentto which audit criteria are fulfilled.

Auditee

The organization being audited.

Audit Client

The person or organization requesting an audit.

GenericProgrammes where most of the initialrequirements are the same: QMS, EMS, OH&S,ISMS, ITSMS, ISMS, Social Systems

Audit Team

Two or more auditors performing an audit, one ofwhom is appointed as leader.

Lead Audi t

An audit where the auditor performed the auditwhilst leading a team of at least one otherauditor.

Sole Audit

An audit where one auditor performed all phasesof the audit.

First Part y Audit

An audit performed within an organization bythat organizations own auditing resource. Alsoreferred to as an internal audit.

Second Part y Audit

An audit of contractors/suppliers undertaken by,or on behalf of, a purchasing organization. Thismay include the audit of companies or divisionssupplying goods or services to others within thesame group. Also referred to as a supplier audit.

Third Part y Audit

An audit of an organization performed by a bodythat is independent of the organization being

audited, e.g. certification body or registrar.

Appendix I I I

Code of Conduct

It is a condition of certification that you agree toact in accordance with, and be bound by thefollowing Code of Conduct:

1. To act in a strictly trustworthy and unbiasedmanner in relation to both the organization towhich you are employed, contracted orotherwise formally engaged (the auditorganization) and any other organizationinvolved in an audit performed by you or bypersonnel under your direct control.

2. To disclose to your employer any relationshipsyou may have with the organization to be

audited before undertaking any audit functionin respect of that organization.

3. Not to accept any inducement, gift,commission, discount or any other profit fromthe organizations audited, from theirrepresentatives, or from any other interestedperson nor knowingly allow personnel forwhom you are responsible to do so.

4. Not to disclose the findings, or any part ofthem, of the audit team for which you areresponsible or of which you are part, or anyother information gained in the course of theaudit to any third party, unless authorized inwriting by both the auditee and the auditorganization to do so.

5. Not to act in any way prejudicial to thereputation or interest of the auditorganization.

6. Not to act in any way prejudicial to thereputation, interests or credibility of IRCA.7. In the event of any alleged breach of this

code, to co-operate fully in any formal enquiryprocedure.

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