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.
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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.
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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,
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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
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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.
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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.
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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
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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.
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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.
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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 [email protected].
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.
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