1. Summary of SAATCA requirements for auditor registration

2. Matric or NQF equivalent Degree/diploma relevant to scheme Degree/diploma equivalent - 4 years work experience relevant to degree/diploma field 4 years work experience relevant to field (eg quality, enviro, safety). 2 years relevant to scheme MS standard (eg ISO 9001, 14001 OHSAS 18001, ISO 22000, etc). Can be concurrent 5 years work experience relevant to field (eg quality, enviro, safety). 2 years relevant to scheme MS standard (eg ISO 9001, 14001 OHSAS 18001, ISO 22000, etc). Can be concurrent Scheme specific training Eg ISO/OHSAS standard; legal requirements, technical eg PRP or HACCP for FSMS Lead auditor training (ISO 19011 based) – once off Education Work experience Training Auditor: 20 days, at least 4 separate audits of which one is a witnessed audit Lead auditor: 10 days on site with 5 days of off site lead audit activities, at least 3 audits (after auditor audits) of which one is a witnessed audit Auditing (first scheme) Auditor: 15 days, at least 4 separate audits Lead auditor: None – automatically gain LA status if all other criteria met) Auditing (additional scheme/s) Desirable attributes/changing to personal behaviours (attested by Sponsor and Witnessing lead auditor) Attributes/P ersonal behaviours Certified copies of certificates CV Certified copies of training certificates Audit log (fully signed off). Witnessed audit report Audit log (fully signed off). Witnessed audit report) Sponsor on application and witnessing lead auditor Criteria Require- ments Submissions Internal Auditor: 5 days, at least 3 separate audits of which one is a witnessed audit Internal Auditor: 4 days, at least 3 separate audits of which one witnessed audit Refer to SAATCA. Eg FSMS – 4 audits plus either training or work experience in the scope Additional sectors/ scopes CV, certificates, audit log

3. Updates/Changes to CRT 6.12 including ISO 19011 and ISO 17021

4. SAATCA Requirements for Training Course Providers – Background to updates Basis and structure - 0 Several documents, CRT6.12, 6.11, etc, etc. 0 Historically based on IATCA, became IPC 0 ISO 19011: 2002 0 QMS and EMS Past 18 months – 0 SAATCA TCP General meeting 0 Feedback from SAATCA TCP evaluations 0 Changes to ISO “audit” standards – ISO 17021 and 19011 0 Review of TCP examination papers for compliance and consistency 0 SETA QCTO changes

5. Summary of Changes (1) General changes 0 Merging various SAATCA TCP criteria documents into one = CRT6.12 0 Eg CRT 6.11 (complete for QMS and EMS, other still in progress) 0 Added SETA references and NQF Level 5 as baseline 0 Aligned terminology to SETA (eg facilitator, learner, assessment, etc) 0 Made provision for those TCPs who seek SETA accreditation 0 Added ISO 17021 and SETA references 0 Basis now ISO 19011 and ISO 17021 0 From ISO 19011: 2011

6. Summary of Changes (2) 0 Added purpose and updated scope and applicability to clarify use of CRT6.12 0 Reference ISO 9001 Certification, SETA, Higher Learning Quality Assurance or Other Accreditation – reduced SAATCA surveillance 0 Re-organized the TCP approval components 0 Added the submission requirements for TCP’s 0 Clarified validity of SAATCA certificate and requirements for continued certification 0 QMS and Administrative requirements aligned to ISO 9001 0 Including internal audit. Remember the criteria includes CRT6.12

7. Purpose, objectives and applicability This document describes the criteria for SAATCA TCP approval and is intended to be used by: 0 TCP’s – help them determine their suitability / readiness for making application for SAATCA approval and for ensuring they have the necessary evidence to demonstrate conformity to these criteria and 0 SAATCA TCP evaluators - to evaluate TCPs for purpose of registration. All SAATCA training course provider approval is for training based on ISO 19011 and ISO 17021 (or equivalent). These criteria are intended for all Lead Auditor courses that relate to any of the SAATCA active auditor certification schemes

8. ISO 9001 Certification, SETA, Learning Quality Assurance or Other Accreditation 0 While ISO 9001 quality management certification or SETA, Learning Quality Assurance Body accreditation or another body recognised by SAATCA is not a minimum requirement of the SAATCA TCP criteria, TCPs are encouraged to consider these options. 0 For TCPs who do have ISO 9001 certification or SETA accreditation, the SAATCA evaluation of the quality management system shall be reduced and include only the confirmation that the ISO 9001 management system, course material and training presentation and management includes the requirements specified in these Criteria and that they are effectively managed.

9. Requirements for Training Course Providers Approval The detailed requirements for TCP approval are included in subsequent sections of the criteria, and are summarised within the following areas: 0 Management system: Recognised quality management system (QMS). Refer Section 4. 0 Instruction Team: Facilitators, assessors and moderators. Refer Section 5 0 Course material & associated documentation requirements. Refer Section 6. 0 Course management and administration. Refer Section 7. 0 Learner assessment. Refer Section 8. 0 SAATCA TCP arrangements. Sections 9 onwards 0 TCP Performance criteria (reporting). Section 9. 0 SAATCA Approval management (Changes, logo, cancellations, complaints, appeals, disputes, suspensions, withdrawals and variations

10. Summary of Changes (3) 0 Modified class size, per facilitator 0 Included criteria for assessors and moderators 0 Added declaration of interest 0 Included details of considerations for Design of course materials – ISO 19011, 17021, NQF level 5, SAATCA auditor criteria and SAATCA TCP criteria 0 Lead auditor training shall be provided at NQF Level 5 or higher 0 The course material shall include the SAATCA auditor certification process

11. Class size and number of facilitators versus learners 0 Maximum number of learners per single facilitator shall not exceed 16. 0 For two facilitators the maximum number of learners shall not exceed 25. Deviation from this can only be approved on concession by the TCP Scheme Committee 0 Each course offering for more than 16 learners shall be presented by at least two full time facilitators, who shall be actively involved in either facilitation or assessment for the duration of the course. 0 Additional resource people or trainee facilitators may be used for specific subjects or activities; however, the two facilitators remain responsible for the entire course offering. 0 The minimum number of learners in a class shall be four. 0 Under rare and exceptional circumstances, a course offering for fewer than four learners or more than twenty five learners may be considered for approval in accordance with section: Variations. 0 Learners shall be required to be in attendance for the full duration of the course. Failure to do so shall be reflected in the learner's continuous and final evaluations.

12. Criteria for Facilitators assessors and moderators Assessors shall have successfully completed assessor training, or provide proof of evaluated competence as assessors and shall be Lead Auditors in the relevant discipline. Facilitators: 0 The lead Facilitator shall be a SAATCA certified Lead Auditor (or alternative equivalent acceptable to SAATCA), in the relevant discipline. Any second facilitator shall be a SAATCA certified (or alternative equivalent acceptable to SAATCA), Auditor. 0 Assessors shall have successfully completed assessor training, or provide proof of evaluated competence as assessors and shall be Lead Auditors in the relevant discipline. 0 Moderators shall have successfully completed moderator training, or provide proof of evaluated competence as a moderator.

13. Declaration of interest Assessors and moderators shall declare interest at any given time by completing the SAATCA SF122 declaration of conflict of interest. Conflict of interest occurs when actions or decisions that are influenced by, or perceived to be influenced, including: 0 A family relationship or personal/emotional relationship/antagonism 0 A direct or indirect financial interest in a decision regarding the attendee 0 Any affiliation, with the employer or association of the attendee that may influence impartiality It should also be noted that the above is to provide guidance in recognizing conflict of interest but that other conflicts not stipulated above but important to declare to insure impartiality, shall also be declared.

14. Design of course materials Design, development and evaluation of course materials and documentation to ensure conformity to the requirements of 0 ISO 19011and ISO/IEC 17021 0 NQF Level 5 descriptors (Refer ANNEX 1) 0 The relevant SAATCA scheme auditor criteria, as applicable to the scheme/s for which SAATCA approval is applicable 0 The relevant SAATCA scheme TCP criteria, as applicable to the scheme/s for which SAATCA approval is applicable Well defined learning outcomes based on these SAATCA approved scheme criteria.

15. Summary of Changes (4) 0 The course material shall include the SAATCA auditor certification process 0 Replaced reference to CD with audio visual 0 Removed reference to learner accommodation locations 0 Course duration and organization - clarified 40 contact hours and pre- requisite training 0 Updated requirements for certificates – Charlene 0 Course management and administration – moved into CRT6.12 from CRT6.11 etc. 0 Increased control of exams 0 Included list of TCP performance submission (No. of courses, learners and pass rate) - Charlene 0 Included reference to complaints, appeals, disputes, suspensions, withdrawals and variations – Charlene 0 Added scheme specific annexures related course content

16. Course duration and organization The total course time devoted to direct instruction of an assigned team and individual activities shall be at least 40 contact hours A pre-requisite must be indicated to the learner and enforced by the TCP namely that the learner has completed a two-day course on the standard applicable ie. ISO 9001 /14001 etc, before enrolment to the course.

17. Examinations Previous text tidied: 0 SAATCA will specify the administration of the examination to be eitherby the TCP, or by another designated authority; and 0 whether at the conclusion of the training course, or at some later time, but no later than six months after the conclusion of the training course. Additional requirement: In addition the TCP Exam papers shall be submitted to SAATCA prior to use. For future consideration SAATCA will consider the development of a Database of Questions

18. Annexes Added annexes Annex 1:NQF Level 5 descriptors Annex 2:Scheme Specific TCP Requirements - Quality Management System Annex 3:Scheme Specific TCP Requirements - Environment Management System Annex 4:Scheme Specific TCP Requirements – Food Safety Management System Annex 5:Scheme Specific TCP Requirements – Occupational Health And Safety Management System Annex 6:Scheme Specific TCP Requirements – Product Certification Annex 7:Scheme Specific TCP Requirements – Other

19. Updates/Changes to ISO 19011 and ISO 17021

20. ISO 19011: 2011

21. Breakdown 0 Clause 3 sets out the key terms and definitions used in this International Standard. All efforts have been taken to ensure that these definitions do not conflict with definitions used in other standards. 0 Clause 4 describes the principles on which auditing is based. These principles help the user to understand the essential nature of auditing and they are important in understanding the guidance set out in Clauses 5 to 7. 0 Clause 5 provides guidance on establishing and managing an audit programme, establishing the audit programme objectives, and coordinating auditing activities. 0 Clause 6 provides guidance on planning and conducting an audit of a management system. 0 Clause 7 provides guidance relating to the competence and evaluation of management system auditors and audit teams. 0 Annex A illustrates the application of the guidance in Clause 7 to different disciplines. 0 Annex B provides additional guidance for auditors on planning and conducting audits.

22. Main differences compared with the first edition — the scope has been broadened from the auditing of quality and environmental management systems to the auditing of any management systems; — the relationship between ISO 19011 and ISO/IEC 17021 has been clarified; — remote audit methods and the concept of risk have been introduced; — confidentiality has been added as a new principle of auditing; — Clauses 5, 6 and 7 have been reorganized; — additional information has been included in a new Annex B, resulting in the removal of help boxes; — the competence determination and evaluation process has been strengthened; — illustrative examples of discipline-specific knowledge and skills have been included in a new Annex A;

23. Other difference to ISO 19011: 2011 0 Personal behaviours - new title, changed terms and new ones 0 Managing audit programme - Added emphasis on managing the audit programme, including risks to the programme 0 Audit process – no significant changes 0 Table 1 removed and replaced with text: 0 The criteria should be qualitative (such as having demonstrated personal behaviour, knowledge or the performance of the skills, in training or in the workplace) and quantitative (such as the years of work experience and education, number of audits conducted, hours of audit training).

24. Relationship to ISO/IEC 17021:2011 The second edition of ISO/IEC 17021, published in 2011, was extended to transform the guidance offered in ISO 19011 into requirements for management system certification audits. It is in this context that this second edition of ISO 19011 provides guidance for all users, including small and medium-sized organizations, and concentrates on what are commonly termed “internal audits” (first party) and “audits conducted by customers on their suppliers” (second party). While those involved in management system certification audits follow the requirements of ISO/IEC 17021:2011, they might also find the guidance in ISO 19011 useful.

25. Risk 0 ISO 19011: 2011 introduces the concept of risk to management systems auditing. 0 The approach adopted relates both to 0 the risk of the audit process not achieving its objectives and 0 to the potential of the audit to interfere with the auditee’s activities and processes. 0 It does not provide specific guidance on the organization’s risk management process, but recognizes that organizations can focus audit effort on matters of significance to the management system.

26. Transition arrangements: 1. CRT6.12 2. ISO 19011 & ISO/IEC 17021: 2011

27. Transition requirements for CRT6.12 0 Currently criteria – 12 months for TCPs to align 0 Includes design of course material – which is based on ISO 19011 and ISO 17021

28. Transition requirements for ISO 19011 and 17021 0 Update training material to add new components 0 Bridging training