Assessor Scheme

All Enquiries And Applications Ought To Be Addressed To:

MUMBAI Head Office
Sanatan Dharma Accreditation Board (SDAB)
SDAB House
B-401, New Om Kaveri Chs. Ltd., Nagindas pada,
Next To Shiv Sena Office, Nallasopara (E)
Tel .: +91-7499991895
email: info@sanatanboards.com
Website: www.sanatanboards.com
License Administration For Confirming Bodies

1. Presentation

1.1 This Enrolment Plan works for the capability and enlistment of Assessors locked in in the appraisal of the executives frameworks, administrations and items, against the rules contained in characterized principles.

1.2 The Plan is successful from 15 January 2001.

2. Scope

2.1 The Plan records the capability, and obligation to respectability, of people enlisted to lead evaluations of the board frameworks, administrations and items including, where material, their capacity to co-ordinate and control evaluation work embraced by a group under their initiative.

2.2 Frameworks Reviewing Rules, ISO 19011 is supposed to be seen by undeniably enrolled assessors where sensible material.

3. Reason

3.1 The reason for the Plan is to enlist the certificate of assessors.

3.2 The Plan is expected to help buyers and administrative bodies to acknowledge appraisals finished by associations utilizing assessors who meet the prerequisites of this plan.

4. Enlistment Convention

4.1 All people who meet the predefined standards and who can uphold their application with narrative proof might make application for enrollment. Applications should be submitted on the endorsed structure ASL(F)16, which can be acquired from the Recorder.

4.2 The Enlistment center might wish to meet with up‑and‑comers prior to supporting Enrollment.

4.3 All enrolled assessors are expected to keep a diary ASL(F)17 or comparable in an adequate arrangement, summing up their association in evaluation. Moreover, they ought to keep up with records of any preparation finished after enrollment. Assessors should illuminate the Enlistment center of any difference in confidential location.

4.4 Duplicates of evaluation diaries will be submitted at the hour of re‑enlistment or on request by the Enlistment center.

4.5 Language Requirements

All interchanges, correspondence, documentation, meetings, and introductions in support of any application must be in English or accompanied by a certified translation of the originals—particularly where foreign language proficiency certificates are concerned.

5. Prerequisites For Registration

5.1 Assessors must have the relevant qualifications and experience specified in Sections 6.7.
5.2 The Registrar reserves the right to consider any experience and/or qualifications in determining the suitability of a candidate for registration.
5.3 Assessors must confirm their willingness to observe the Overarching Code of Conduct ASL(G)9.
5.4 Membership of Expert Bodies is not a requirement for registration, nor does registration as an assessor imply membership of any.

6. Registration

6.1 The registration year covers the period of one year from the date of registration.
6.2 A registration certificate will be issued to each successful candidate and remains valid until the date specified on the certificate.
6.3 A replacement valid registration certificate will be issued every third year, subject to payment of the appropriate annual fee by that date and continuing compliance with the requirements of the Scheme.
6.4 The Registrar will maintain a register that will include:
(a) Lists of Assessors.
(b) A list of Training Courses.
6.5 Registration will be reviewed periodically. Renewal will be subject to the registered person’s ability to continue to meet the requirements of the Scheme and having undertaken at least five satisfactory assessments in the previous three years.

6.7 Qualifications And Experience For Assessors

6.7.1 Skills, Qualifications and Experience: An assessor must be competent in the discipline being assessed, familiar with the relevant management system standards, and able to exercise judgment against the criteria of the standards. Assessors must be able to communicate clearly in writing and orally.
6.7.2 Candidates must have successfully completed a relevant training course. They must also have completed five assessments.
6.7.3 Assessors registered in other schemes may transfer if qualifications and management are equivalent.
6.7.4 Candidates with one or more academic credits, who satisfy all other conditions of registration but cannot meet the Registrar’s full requirements, may be provisionally registered.
6.7.5 For the purpose of continued registration, five surveillances will be considered equivalent to one initial assessment.
6.7.6 Second and third-party assessments must be submitted for registration purposes. First-party assessments (internal audits) are also valid for registration purposes.
6.7.7 Assessments must be carried out to a defined standard.
6.7.8 Applications for registration must be complete and supported by documentary evidence of academic and relevant training qualifications.
6.7.9 Assessment experience must clearly state: date of assessment, duration of assessment, etc., as defined on Assessor Diary Form ASL(F)17 (or equivalent), and must be verified. Failure to provide this information may result in the rejection of the application.

6.8 Grading Framework

6.8.1 This grading framework provides a first measure of a candidate’s eligibility for registration. In addition to assessing experience, it may be supplemented by information obtained from interviews and from performance on training courses. It is used solely as guidance by the Registrar.
6.8.2 Grading Framework Qualifications and Experience:
(i) Qualified in a relevant discipline by either a degree or equivalent academic/professional qualification within the last decade, which meets the Registrar’s requirements.
OR
(ii) Qualified in a relevant management discipline by HNC/HND/NVQ or equivalent in ten years or less.
OR
(iii) Attended a formal management auditing course related to the discipline and certifying standard (e.g., Quality = ISO 9001, Environmental = ISO 14001, etc.). AND:
(iv) Full-time experience (other than training) in fields such as science, engineering technology, manufacturing, construction, consultancy, and management services.
(v) If this experience has been in aspects of management within the last three years, extra credits are allocated.
ALSO
(vi) If one or more years of this experience have been in assessments to a recognized Management Standard, extra credits are allocated.
See also Appendix II

7. Training

7.1 Organizations providing training courses in management system assessment may apply for registration under the Scheme. Information on the requirements and procedures for course registration may be obtained from the Registrar. The Registrar will consider each submission and may require visits, discussions, and attendance at the delivery of training courses to confirm that the course meets the Scheme’s requirements. The applicant will meet all expenses.
7.2 The Registrar reserves the right to withdraw the registration of a training course at any time.

8. Registration Fees

8.1 Details of current fees for Assessors, Training Organizations, and Participating firms are available on request from the Registrar.

Appendix I – Glossary of Terms

Assessment (System Assessment): A systematic and independent examination to determine whether activities and related results comply with planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve objectives.
Assessor/Management Grade: An individual who is qualified and is authorized to perform all or any part of a system assessment.
Assessment Organization: An organization which conducts quality system assessments to a recognized standard.
Auditor: An individual who undertakes a systematic, independent, and documented process for obtaining audit evidence and evaluating it to determine the extent to which audit criteria are fulfilled.
Continuous Professional Development (CPD): A system by which professionals are required to update their professional skills continually. The SDAB registration scheme requires that assessors maintain training and CPD records on Form 17.
First Party Assessments: Assessment (internal audits) conducted in organizations where there is complete independence of the assessment function from the operational activities.
Lead Assessor/Principal Grade: An assessor who is qualified and is authorized to manage an assessment.
Management System: The organizational structure, responsibilities, procedures, processes, and resources for implementing functional management.
Management System Standards: A System Standard is a document specifying the elements of a Management System.
Provisional Assessor/Primary Grade: An individual who meets all the requirements for registration, except assessment experience.
Second Party Assessments: Assessments of contractors/suppliers undertaken by or on behalf of a purchasing organization. This may include the assessment of companies or departments supplying goods and services to others within the same group.
Surveillance: The continuing monitoring and verification of the status of procedures, methods, conditions, processes, products, and services, and the analysis of records against stated references to ensure that specified requirements for quality are being met.
Third Party Assessments: Assessments of organizations undertaken by an independent certification body or similar organization.

Appendix II – Grading Framework

There are four SDAB grades of registered assessor as follows:

Principal Grade: Frequently known as a ‘lead assessor’. This individual is competent in all aspects of assessment and auditing and has sufficient management experience to lead a team of auditors in a large-scale assessment of management systems.
Management Grade: Frequently known as ‘assessor’. This individual has demonstrated sufficient capability, ability, and experience to competently manage and conduct an assessment and audit program in small to medium-sized firms of typical complexity. This assessor has limited experience of team leadership in an assessor role.
Primary Grade: Sometimes known as a ‘provisional assessor’. This assessor has limited experience and capability in assessing and auditing management systems. Typically, they have a responsibility for auditing management systems within the bounds of their current and past employers’ premises only and will have had under two years of experience in an assessing role.
1st Party Grade: This assessor has confined experience and capability in an auditing and assessing role. Typically, the assessor would have completed a short introductory auditing course and have received instruction and guidance from a senior manager or specialist. This grade is awarded to candidates demonstrating an awareness of the benefits of auditing and assessment and the Code of Conduct ASL(G)7 and who intend to continue developing their auditing expertise as a potential career path.

Grades And Scoring

Grades are allocated from a scoring system contained in application form ASL(F).16. The system allocates a defined number of credits for each of the areas addressed in section 6.8.2 of the main text of this guide. The criteria for each grade are not published as grading can be contentious. In addition, as application for assessor is expected to be facilitated through the Internet and grading results of an application would be readily available, it is considered not pertinent to publish criteria, as knowing the criteria in advance should not materially affect any grading outcome.
The decision of the SDAB board on grading is final and correspondence will not generally be entered into.

A Comprehensive Analysis of the Enrolment Plan for Management Systems Assessors

1.0 Introduction and Executive Summary

This document presents a comprehensive analysis of the Enrolment Plan for assessors engaged in the appraisal of management systems, services, and products. The Plan, effective from 15 January 2001, establishes a formalised framework for certifying the competence and integrity of individuals conducting assessments against defined international standards. Its primary purpose is twofold: to register the certification of assessors and to provide assurance to consumers and regulatory bodies regarding the credibility of assessments performed by organisations employing scheme-registered personnel.

The Enrolment Plan represents a critical mechanism in the ecosystem of conformity assessment. In an era of globalised trade and increasing regulatory complexity, the reliability of management system certifications (e.g., Quality Management ISO 9001, Environmental Management ISO 14001) is paramount. The value of such certifications is directly underpinned by the competence, objectivity, and professionalism of the assessors who grant them. This Plan, therefore, serves as a foundational quality assurance instrument, aiming to standardise the baseline requirements for assessors, thereby enhancing the consistency, rigour, and international recognition of management system assessments.

This analysis will deconstruct the Plan’s components, examining its scope, operational protocols, qualification requirements, and underlying philosophical principles. It will explore the intricate balance the Plan strikes between prescriptive requirements and registrar discretion, the role of continuous professional development, and the implications of its grading framework. Furthermore, the analysis will contextualise the Plan within the broader landscape of international standards and professional certification, assessing its strengths, potential limitations, and its enduring relevance as a model for professional accreditation schemes.

2.0 Detailed Analysis of the Plan’s Components

2.1 Scope and Purpose: Defining the Boundaries and Intent

The Plan’s scope is explicitly delineated in Section 2. It applies to individuals enrolled to lead assessments of management systems, services, and products. Crucially, it extends beyond mere technical evaluation to encompass the “capacity to co-ordinate and control assessment work undertaken by a team under their leadership.” This inclusion signifies an understanding that assessment, particularly for large or complex organisations, is often a managerial and leadership exercise as much as a technical one. The scope also mandates that “Systems Auditing Guidelines, ISO 19011 is to be referred to by all enrolled assessors where reasonably applicable.”

This creates a dynamic link to a living standard, ensuring that the Plan’s principles are aligned with internationally recognised best practices for auditing, even as ISO 19011 evolves.

The stated purposes in Section 3 are pragmatic and market-oriented. The primary purpose is the administrative act of registration. The secondary, and arguably more strategic, purpose is to build confidence in the marketplace. By providing a benchmark, the Plan enables buyers (whether consumers, corporations in supply chains, or regulatory agencies) to trust that assessments conducted by scheme-compliant assessors have a verified baseline of quality. This mitigates risk for all parties involved in certified management systems.

2.2 The Registration Protocol: Gatekeeping and Ongoing Obligations

The registration protocol outlined in Section 4 establishes the procedural pathway from candidate to registered assessor. It is characterised by a blend of documentary evidence, potential subjective evaluation, and ongoing compliance duties.

Application Process: The process begins with a formal application (ASL(F)16), requiring candidates to substantiate their claims with documentary proof. The Registrar’s discretionary power to interview candidates (4.2) introduces a vital qualitative check beyond paperwork. This allows for the assessment of intangible yet critical attributes such as judgment, communication clarity, and professional demeanour.
Ongoing Duties of a Registered Assessor: Registration is not a passive status. Assessors have active, continuous obligations:
1. Maintenance of a Professional Diary (ASL(F)17): This is a cornerstone of the Plan. The diary serves multiple functions: it is a personal log of professional development and activity, a verified record of assessment experience for re-registration, and a tool for the Registrar to conduct spot-checks on an assessor’s ongoing engagement and scope of work.
2. Record of Continuing Training: This requirement foreshadows the modern concept of Continuous Professional Development (CPD), explicitly defined in Appendix I. It recognises that standards and practices evolve, and assessors must evolve with them.
3. Communication of Changes: The obligation to inform the Registrar of a change in private address ensures the register’s accuracy and facilitates communication, a simple but essential administrative control.
The Critical Language Mandate (4.5): This clause is of paramount importance in a global context. It mandates that all communications, documentation, and evidence for registration be in English or accompanied by a certified translation. This serves several key purposes: it ensures the Registrar can accurately evaluate applications, maintains the integrity of the registry’s records, and establishes a common professional language for the scheme. The specific mention of foreign language proficiency certificates highlights the need for verifiable, translated credentials.

2.3 Prerequisites and Core Requirements: The Foundation of Competence

Section 5 and Section 6.7 articulate the fundamental prerequisites for registration, establishing a multi-faceted definition of competence.

Formal Qualifications and Experience (5.1, 6.7): The Plan requires a combination of both. Section 6.7.1 defines competence broadly: subject-matter expertise in the discipline being assessed, familiarity with the relevant management system standards, the ability to exercise judgement against those standards, and clear written and oral communication skills. This moves beyond rote knowledge to encompass application and evaluation.
The Registrar’s Discretion (5.2): The Registrar reserves the right to consider “any experience and/or qualifications” in determining suitability. This discretionary power provides essential flexibility. It allows the Registrar to account for non-traditional career paths, exceptional practical experience, or qualifications from emerging fields that may not be explicitly listed but demonstrably contribute to assessor competence.
Code of Conduct (5.3): Willingness to observe the Overarching Code of Conduct (ASL(G)9) is a mandatory prerequisite. This explicitly tethers technical competence to ethical behaviour. Integrity, independence, confidentiality, and professionalism are not optional extras but are baked into the registration contract from the outset.
Separation from Professional Bodies (5.4): The Plan clearly states that membership in expert bodies is neither required nor implied by registration. This maintains the scheme’s independence and avoids potential conflicts of interest or perceptions of exclusivity tied to specific professional associations.

2.4 The Registration Lifecycle: Issuance, Maintenance, and Renewal

Section 6 details the operational mechanics of registration, framing it as a renewable privilege contingent on ongoing compliance.

Term and Certification: The registration year is personal, running from the date of registration. The issuance of a certificate (valid until a specified date) provides the assessor with tangible proof of status for clients and employers. The triennial re-issuance of a certificate (6.3) tied to fee payment and compliance creates a natural administrative cycle.
The Central Register (6.4): The Registrar’s maintenance of a dual register—of Assessors and of approved Training Courses—is a key value-add of the scheme. It creates transparency and serves as a resource for organisations seeking competent assessors or quality training.
Renewal Conditions (6.5): Renewal is not automatic. It is subject to a periodic review and two concrete conditions: 1) continued ability to meet the scheme’s requirements, and 2) evidence of practical activity—at least five satisfactory assessments in the previous three years. This “use it or lose it” principle is crucial for ensuring that registered assessors remain current and actively engaged in the practice of assessment. The equivalence clause (6.7.5) stating that five surveillance audits equal one initial assessment acknowledges the different but valuable experience gained from ongoing compliance monitoring.

2.5 The Grading Framework: A Nuanced Hierarchy of Competence

Sections 6.8 and Appendix II introduce one of the Plan’s most sophisticated features: a multi-tiered grading framework for assessors. This recognises that competence exists on a spectrum and allows for the differentiation of roles and responsibilities.

The Four Grades:
1. Principal Grade (Lead Assessor): The highest level, denoting competence in all assessment aspects and sufficient management experience to lead large-scale assessment teams.
2. Management Grade (Assessor): Demonstrated capability to manage and conduct assessment programs in small-to-medium enterprises, with limited team leadership experience in an assessor role.
3. Primary Grade (Provisional Assessor): Has met all requirements except full assessment experience. This is a developmental grade for candidates gaining practical exposure.
4. 1st Party Grade: A confined, introductory grade for internal auditors, demonstrating awareness of auditing benefits and the Code of Conduct, with an intent to develop further. This ingeniously brings internal auditors under the scheme’s umbrella, promoting best practices even within first-party audits.
The Scoring System and Strategic Opacity: The grades are allocated via a credits-based scoring system detailed in the application form, based on the criteria in 6.8.2 (qualifications, management course attendance, full-time experience, recent management experience, and assessment experience). The Plan’s decision not to publish the exact scoring criteria (“grading can be contentious”) is a fascinating and deliberate strategic choice. It prevents “gaming” of the system, where candidates might seek to minimally meet published point thresholds rather than genuinely develop broad competence. It preserves the Registrar’s professional judgment as the final arbiter, as explicitly stated: “The decision of the SDAB board on grading is final.” This approach prioritises the integrity and qualitative judgement of the grading process over absolute transparency of its algorithmic details.

2.6 Training Course Registration: Controlling the Input Quality

Section 7 extends the scheme’s quality assurance upstream to the providers of assessor training. By allowing training organisations to apply for registration, and subjecting them to potential visits and observation, the Registrar indirectly influences the standard of new entrants to the profession. This creates a virtuous cycle: high-quality training produces better-prepared candidates, which elevates the overall standard of the assessor register. The Registrar’s right to withdraw course registration at any time acts as a powerful quality control mechanism.

2.7 Glossary and Definitions: Establishing a Common Language

Appendix I is not merely an annex but a foundational component. By providing precise definitions for terms like “Assessment,” “Assessor,” “Lead Assessor,” “Surveillance,” and the three types of audits (First, Second, and Third Party), it creates a shared lexicon. This prevents ambiguity and ensures that all stakeholders—applicants, the Registrar, clients, and standard-setters—interpret the Plan’s requirements consistently. The definition of CPD here formally institutionalises the concept mentioned in the main body.

3.0 Critical Evaluation and Contextualisation

3.1 Strengths of the Enrolment Plan

Holistic View of Competence: The Plan successfully integrates education, experience, training, demonstrated skill (via the diary), ethical commitment (Code of Conduct), and ongoing development (CPD) into a single framework. It understands that a competent assessor is more than a sum of qualifications.
Balanced Flexibility: It strikes an effective balance between prescriptive rules (e.g., 5 assessments for renewal, mandatory diary) and necessary discretion (Registrar’s right to consider any experience, conduct interviews). This allows the scheme to be robust without being brittle.
Market-Oriented Design: Its explicit purpose to inspire confidence in buyers and regulators aligns the scheme’s success with tangible market outcomes. It is a practical tool for risk reduction in supply chains.
Developmental Pathway: The grading framework, especially the Provisional and 1st Party grades, creates a clear career pathway. It encourages participation and development, bringing internal auditors into the fold and growing the profession organically.
Systemic Quality Control: By regulating both individual assessors and their training providers, the scheme attacks quality issues at multiple points in the system, leading to greater overall integrity.

3.2 Potential Limitations and Considerations

Subjectivity and Consistency: The very discretion that provides flexibility (Registrar’s interviews, grading opacity) also introduces risks of subjectivity and potential inconsistency in decision-making over time or between different Registrar personnel. Robust internal calibration processes would be essential.
The “Five Assessments” Renewal Hurdle: While necessary, this could disadvantage highly competent specialists (e.g., in niche industries) or assessors facing economic downturns who cannot secure the required number of assessments within the three-year window. The equivalence for surveillances helps but may not fully resolve this.
Static References: The Plan references specific form numbers (ASL(F)16, ASL(G)9) and standards (ISO 19011 as it stood circa 2001). To remain perpetually effective, the scheme requires a governance mechanism to update these references without needing to re-issue the entire Plan.
Technological Context: The mention that “application for assessor is expected to be facilitated through the Internet” places the Plan at the dawn of the digital revolution for certification. A modern implementation would need detailed protocols for digital applications, e-diaries, online CPD tracking, and cybersecurity for the register.

3.3 Alignment with International Standards and Practices

The Plan is inherently aligned with the principles of ISO/IEC 17024:2012 (Conformity assessment — General requirements for bodies operating certification of persons), even predating it. Its requirements for competence criteria, impartiality, renewal processes, and handling appeals (implied in the finality of the SDAB board’s decision) mirror the structure of modern personnel certification schemes.

Its insistence on ISO 19011 as a reference ensures its audit methodology remains congruent with global best practices. Furthermore, by defining and recognising First, Second, and Third-Party assessment experience, it acknowledges the full ecosystem of conformity assessment, promoting a unified standard of excellence across all audit types.

4.0 Conclusion and Future Implications

The Enrolment Plan for Management Systems Assessors is a thoughtfully constructed and comprehensive framework. It transcends a simple checklist of requirements to embody a philosophy of professional assurance. It recognises that trust in certified management systems is a chain, and the assessor is a critical link. By rigorously certifying that link, the Plan strengthens the entire chain.

Its enduring relevance lies in its core principles: the integration of ethics with expertise, the emphasis on continuous development, the creation of a clear competency hierarchy, and the focus on real-world experience. While aspects of its administration would need modernisation for a fully digital age—such as integrated online portals for diaries, CPD, and renewal—the fundamental architecture of the Plan remains sound.

Future iterations or similar schemes could consider enhancements such as:

Specialisation endorsements for specific industries (automotive, aerospace, medical devices) beyond the core management system discipline.
More formalised peer review or witness assessment components as part of renewal for higher grades.
Explicit requirements for training in emerging areas like information security (ISO 27001) or cybersecurity auditing.

In conclusion, this Enrolment Plan stands as a robust model for professional certification. It successfully balances the need for rigorous, verifiable standards with the practical realities of professional development and market operation. It serves not only to register assessors but to cultivate a profession characterised by competence, integrity, and ongoing growth, thereby fulfilling its ultimate purpose of bolstering confidence in the global infrastructure of management system certification.

Branches

SDAB Accreditation

SDAB Head Office

SDAB Sanatan Dharma Accreditation Board
SDAB House
C/O Mr.Garry 54, Glengarnock Avenue,
E-14 3BP Isle Of Dogs, London UK
Tel .: +44-8369083940
email: info@sanatanboards.com
Website: www.sanatanboards.com

MUMBAI Head Office

Sanatan Dharma Accreditation Board (SDAB)
SDAB House
B-401, New Om Kaveri Chs. Ltd., Nagindas pada,
Next To Shiv Sena Office, Nallasopara (E)
Tel .: +91-7499991895
email: info@sanatanboards.com
Website: www.sanatanboards.com

DELHI-NCR Regd. Office

Sanatan Dharma Accreditation Board (SDAB)
SDAB House
Asaoti, Dist Palwal
Faridabad Delhi NCR, Haryana
Tel .: +91-7979801035
Fax: +91-250 2341170
Website: www.sanatanboards.com

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