Summary

of
SAATCA
requireme
nts for
auditor
registratio
n

Requirements
Addition
al
sectors/
scopes
Auditing
(addition
al
scheme/s
)
Auditing
(first
scheme)
Attribute
s/Person
al
behaviou
rs

Submission
s

Criteria
Refer to SAATCA. Eg FSMS 4 audits plus either training or work experience in
the scope

Auditor: 15 days, at
least 4 separate audits

Internal Auditor: 4
days, at least 3
separate audits of
which one witnessed
audit

Auditor: 20 days, at
least 4 separate audits
of which one is a
witnessed audit

Internal Auditor: 5
days, at least 3
separate audits of
which one is a
witnessed audit

Lead auditor: None

automatically gain LA
status if all other criteria
met)
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

Desirable attributes/changing to personal behaviours

(attested by Sponsor and Witnessing lead auditor)

Lead auditor training (ISO 19011 based) once off

Training

Work
experien
ce

Educatio
n

Scheme specific training Eg ISO/OHSAS standard; legal requirements,

technical eg PRP or HACCP for FSMS
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

Degree/diploma equivalent - 4 years

work experience relevant to
degree/diploma field
Matric or NQF equivalent

Degree/diploma
relevant to scheme

CV,
certificates,
audit log
Audit log
(fully
signed off).
Witnessed
audit
report)
Audit log
(fully
signed off).
Witnessed
audit report
Sponsor on
application
and
witnessing
lead
auditor
Certified
copies of
training
certificates

CV

Certified
copies of
certificates

Updates/C
hange
s to CRT 6
.12
including
ISO
1901 1 a n d
ISO
1702 1

SAATCA Requirements for Training

Course Providers Background to
updates
Basis and structure 0Several documents, CRT6.12, 6.11, etc, etc.
0Historically based on IATCA, became IPC
0ISO 19011: 2002
0QMS and EMS

Past 18 months
0SAATCA TCP General meeting
0Feedback from SAATCA TCP evaluations
0Changes to ISO audit standards ISO 17021 and 19011
0Review of TCP examination papers for compliance and consistency
0SETA QCTO changes

Summary of Changes (1)

General changes
0Merging various SAATCA TCP criteria documents into one =

CRT6.12
0 Eg CRT 6.11 (complete for QMS and EMS, other still in progress)

0Added 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

0Added ISO 17021 and SETA references

0 Basis now ISO 19011 and ISO 17021
0 From ISO 19011: 2011

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 TCPs
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

Purpose, objectives and applicability

This document describes the criteria for SAATCA TCP approval
and is intended to be used by:
0TCPs 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
0SAATCA 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

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.

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:
0Management system: Recognised quality management system
(QMS). Refer Section 4.
0Instruction Team: Facilitators, assessors and moderators. Refer
Section 5
0Course material & associated documentation requirements.
Refer Section 6.
0Course management and administration. Refer Section 7.
0Learner assessment. Refer Section 8.
0SAATCA 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

Summary of Changes (3)

0Modified class size, per facilitator
0Included criteria for assessors and moderators
0Added 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

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.

0
0

Deviation from this can only be approved on concession by the TCP Scheme
Committee
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.
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.
The minimum number of learners in a class shall be four.
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.
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.

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.

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.

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.

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
0Included reference to complaints, appeals, disputes,
suspensions, withdrawals and variations Charlene
0Added scheme specific annexures related course content

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.

Examinations

Previous text tidied:

0SAATCA will specify the administration of the examination to
be eitherby the TCP, or by another designated authority; and
0whether 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

Annexes
Added annexes
Annex 1: NQF Level 5 descriptors
Annex 2:
System

Scheme Specific TCP Requirements - Quality Management

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

Updates/C
hange
s to ISO 1
901 1
and ISO 1
702 1

ISO 19011: 2011

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.

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;

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).

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.

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 auditees
activities and processes.
0 It does not provide specific guidance on the organizations
risk management process, but recognizes that
organizations can focus audit effort on matters of
significance to the management system.

Transition
arrangem
ents:
1. CRT6.12
2. ISO 190
11 &
ISO/IEC 17
021:
2011

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

Transition requirements for ISO 19011 and

17021

0 Update training material to add new components

0 Bridging training