RJC Auditor Accreditation Application Form

NOVEMBER 2013

T005_2013

© RJC 2013. All rights reserved.

RJC TOOLKITS 2

The Responsible Jewellery Council

The Responsible Jewellery Council (RJC) is a not-for-profit standards setting and certification organisation

founded in 2005.

About this Form

All applicants should refer to the RJC document RJC Process and Criteria for the Accreditation of Conformity

Assessment Bodies and Auditors (T004_2013) for an understanding of the selection criteria and appointment

process to which this form relates.

This form must be used for all initial applications for RJC Accreditation.

Use of this form for re-accreditation is optional.

Please ensure that all sections of the form are completed, and that all requested information and

attachments are provided and labelled as indicated. If additional space is required for the information for any

item, include that information in a separate attachment and clearly note that item.

Any information submitted by applicants in respect of RJC Accreditation will be kept strictly confidential by the

RJC and will be used solely for the purposes of assessing the applicant's application for Accreditation.

This is a ‘living document’ and the RJC reserves the right to revise this Form based on implementation

experience and emerging good practice. The version posted on the RJC website supersedes all other versions.

To verify this document is current, please visit:

www.responsiblejewellery.com

Disclaimer

No guarantee, warranty or representation is made as to the accuracy or completeness of this document and

other documents or information sources referenced in this document. Use of the document is not intended

to and does not replace, contravene or otherwise alter the requirements of any applicable national, state or

local governmental statutes, laws, regulations, ordinances, or other requirements regarding the matters

included herein.

Our vision is a responsible world-wide supply chain that promotes trust in the global

fine jewellery and watch industry.

RJC TOOLKITS 3

Use of the document by non-members is entirely voluntary and is neither intended nor does it create,

establish, or recognise any legally enforceable obligations or rights against the RJC and/or its Members or

signatories. The document does not create, establish, or recognise any legally enforceable obligations of the

RJC and/or its Members or signatories to non-members. Non-members shall have no legal cause of action

against the RJC and/or its Members or signatories for failure to comply with the document.

Inquiries or feedback

Please contact the Responsible Jewellery Council via:

Email: accreditation@responsiblejewellery.com

Other contacts: http://www.responsiblejewellery.com/contact-us/

The Responsible Jewellery Council is a trading name of the Council for Responsible Jewellery Practices Ltd,

which is registered in England and Wales with company number 05449042.

RJC TOOLKITS 4

SECTION A: GENERAL

1. Name of Conformity Assessment Body

The Conformity Assessment Body is the auditing company applying for RJC Accreditation.

2. Legal status (e.g. Company).

Please include documentation with your application to substantiate legal status.

3. Registered business address and contact details of Head Office

Address

City

State/ province

Country

Telephone number

Fax number

VAT number (if applicable)

Web address

4. Mailing Address (if different to above)

5. Prime contact person

Name

Position

Telephone number

Fax number

E-mail address

6. Accreditation Application Type

Tick one only.

Initial Application

Re-Accreditation

7. RJC Accreditation Scope – Standards

Tick one or both.

Code of Practices

Chain of Custody

8. RJC Accreditation Scope – Member Fora.

Tick one or more of the sectors of the jewellery supply chain below, to indicate which the CAB proposes to carry out audits. Please note: Evidence of relevant experience, competencies and qualification will be required to support the Accreditation Scope – See Section C.

Diamond Mining

Diamond Trading

Platinum Group Metals Mining

Platinum Group Metals Processing &

RJC TOOLKITS 5

Diamond Cutting or Polishing

Gold Mining

Gold Processing and Refining

Gold Hedging or Trading

Refining

Platinum Group Metals Hedging or Trading

Jewellery Manufacturing or Wholesale

Jewellery Retail

Service and Support Industries (e.g.

laboratories, product valuation, etc)

9. General description of the Conformity Assessment Body.

SECTIO

N B

: GEO

GR

AP

HIC

LOC

ATIO

N A

ND

EXISTIN

G A

CC

RED

ITATIO

N

1.

List each

locatio

n serviced

by H

ead

Office

to b

e inclu

de

d w

ithin

the

Accre

ditatio

n Sco

pe

. Also

pro

vide d

etails of existin

g recogn

ised1 certificatio

n

schem

es.

Co

un

try

Local Trad

ing (o

r Legal)

Nam

e

Co

ntact D

etails an

d A

dd

ress o

f Each O

ffice in

Co

un

try C

on

tact:

Ad

dre

ss:

Co

ntact:

Ad

dress:

Co

ntact:

Ad

dress:

Re

lation

ship

with

He

ad

Office

(Bran

ch O

ffice wh

olly

ow

ne

d, P

artially ow

ne

d b

y co

ntro

lled o

ffice, co

ntract,

join

t ventu

re)

Legal Statu

s (e.g. C

om

pan

y, so

le trad

er, etc)

Ap

pro

ximate

Daily Fee

s (US

Do

llars)

Accre

ditatio

n h

eld b

y CA

B

Sche

me

A

ccredite

d B

y: Sch

eme

A

ccredite

d B

y: Sch

eme

A

ccredite

d B

y:

ISO/IEC

17

02

1

ISO

/IEC 17

02

1

ISO

/IEC 17

021

Oth

er (specify):

O

ther (sp

ecify):

Oth

er (specify):

Accre

ditatio

n to

m

anagem

en

t system

certification

sche

me

s relevan

t to th

e R

JC C

od

e of

Practices an

d/o

r Ch

ain-o

f-C

usto

dy Stan

dard

ISO 1

400

1

OH

SAS 1

800

1

SA 8

000

ISO 9

001

Co

nflict-Free

So

urcin

g Initiative

Oth

er (specify):

FSC C

hain

of

Cu

stod

y Stand

ard

MSC

Ch

ain o

f C

usto

dy Stan

dard

PEFC

Ch

ain o

f C

usto

dy Stan

dard

ISO 14

001

OH

SAS 1

80

01

SA 8

000

ISO 90

01

Co

nflict-Free

So

urcin

g Initiative

Oth

er (specify):

FSC C

hain

of

Cu

stod

y Stand

ard

MSC

Ch

ain o

f C

usto

dy Stan

dard

PEFC

Ch

ain o

f C

usto

dy Stan

dard

ISO 1

400

1

OH

SAS 1

800

1

SA 8

000

ISO 9

001

Co

nflict-Free

So

urcin

g Initiative

Oth

er (specify):

FSC C

hain

of

Cu

stod

y Stand

ard

MSC

Ch

ain o

f C

usto

dy Stan

dard

PEFC

Ch

ain o

f C

usto

dy Stan

dard

1Existin

g accreditatio

n sch

eme

s mu

st be reco

gnised

by th

e Intern

ation

al Accred

itation

Foru

m (IA

F)

Nu

mb

er of P

ote

ntial

Au

dito

rs (Emp

loye

es and

C

on

tractors)

Emp

loyee

s: C

on

tractors:

Emp

loyee

s:

Co

ntracto

rs:

Emp

loyees:

Co

ntracto

rs:

SECTIO

N C

: CO

MP

ETENC

Y A

NA

LYSIS FO

R TH

E SCO

PE O

F AC

CR

EDITA

TION

2.

Ple

ase p

rovid

e a b

rief d

escriptio

n o

f the C

on

form

ity Assessm

en

t Bo

dy’s d

emo

nstrate

d cap

ability, an

d e

xperien

ce for e

ach o

f the areas fo

r wh

ich R

JC

Accre

ditatio

n is so

ugh

t. Please

pro

vide su

pp

ortin

g do

cum

en

tation

as eviden

ce o

f claime

d cap

ability.

Scop

e o

f RJC

Accred

itation

(list each

are

a no

min

ated

in Sectio

n A

, Part 8

of th

is form

)

De

scriptio

n an

d C

apacity an

d Exp

erie

nce

. Wh

ere

ver po

ssible, p

lease u

se

recogn

ised in

du

stry classification

cod

es to

categorise th

e capacity. (E.g.

Stand

ard In

du

strial Classificatio

n – U

K an

d Eu

rop

e, A

me

rican In

du

stry C

lassification

System, N

ation

al Ind

ustrial C

lassification

– Ind

ia, Au

stralian

and

Ne

w Ze

aland

Stand

ard In

du

strial Classificatio

n, e

tc)

Re

ferees Co

ntact

De

tails Su

pp

ortin

g D

ocu

me

ntatio

n

Re

ference

Diam

on

d M

inin

g

Diam

on

d T

radin

g

Diam

on

d C

uttin

g or P

olish

ing

Go

ld M

inin

g

Go

ld P

roce

ssing an

d R

efin

ing

Go

ld H

ed

ging o

r Tradin

g

Platin

um

Gro

up

Metals M

inin

g

Platin

um

Gro

up

Metals P

roce

ssing

& R

efin

ing

Platin

um

Gro

up

Metals H

edgin

g or

Tradin

g

Jew

elle

ry Man

ufactu

ring o

r W

ho

lesale

Jew

elle

ry Re

tail

Service

and

Sup

po

rt Ind

ustrie

s (e.g.

labo

ratories, p

rod

uct valu

ation

, etc)

SECTIO

N D

: AU

DITO

R D

ETAILS

3.

Ple

ase p

rovid

e a cu

rren

t list of n

ame

s, add

resses and

info

rmatio

n fo

r each au

dito

r (emp

loyees an

d co

ntracto

rs) that th

e Co

nfo

rmity A

ssessme

nt B

od

y p

rop

ose

to u

tilise to co

nd

uct th

e RJC

Certificatio

n A

ssessm

en

ts.

Re

qu

irem

en

t (No

te p

lease

pro

vide

sup

po

rting d

ocu

men

tation

such

as cu

rrent re

sum

es, aud

itor accre

ditatio

n ce

rtificates an

d au

dit lo

gs). N

ame

:

Organ

isation

:

Ad

dre

ss:

Pro

vide

evide

nce th

at the A

ud

itor is a cu

rren

t me

mb

er of IR

CA

, or can

d

em

on

strate co

nfo

rman

ce with

IRC

A m

emb

ership

requ

ireme

nts, o

r carrie

s an e

qu

ivalent reco

gnise

d registratio

n

Pro

vide

evide

nce th

at the A

ud

itor h

as the m

inim

um

ed

ucatio

n, train

ing,

wo

rk exp

erie

nce

and

aud

it exp

erie

nce o

utlin

ed

in A

pp

en

dix 1

of th

e A

ssessme

nt C

riteria (Se

e T00

4_2

013

RJC

Pro

cess an

d C

riteria fo

r the

Accre

ditatio

n o

f Co

nfo

rmity A

ssessme

nt B

od

ies an

d A

ud

itors)

Ple

ase list th

e n

ame

s of R

JC M

emb

ers that th

e A

ud

itor h

as pro

vide

d an

y co

nsu

lting se

rvice relatin

g to R

JC C

ertification

in th

e p

revio

us 3

years. To

pre

serve im

partiality, A

ud

itors can

no

t particip

ate in

Ve

rification

A

ssessme

nts fo

r the

se R

JC M

em

bers w

ithin

3 years o

f the

con

sultin

g assign

me

nt.

If a Lead A

ud

itor, p

rovid

e in

form

ation

to verify th

at the in

divid

ual

com

ple

ted

thre

e (3) co

mp

lete

aud

its for a to

tal of at le

ast 15

days o

f au

dit w

ithin

the

last 2 co

nse

cutive

years, and

mee

ts the

rele

vant

Assessm

en

t Crite

ria (See T0

04

_201

3 R

JC P

roce

ss and

Crite

ria for th

e A

ccred

itation

of C

on

form

ity Assessm

en

t Bo

die

s and

Au

dito

rs)

List the Sco

pe

of R

JC A

ccreditatio

n w

hich

will b

e covere

d b

y this A

ud

itor

(list each

area n

om

inate

d in

Section

A, P

art 6 o

f this fo

rm).

Diam

on

d M

inin

g

Diam

on

d Trad

ing

Diam

on

d C

uttin

g or P

olish

ing

Go

ld M

inin

g

Go

ld P

roce

ssing an

d R

efinin

g

Go

ld H

ed

ging o

r Tradin

g

Platin

um

Gro

up

Metals M

inin

g

Platin

um

Gro

up

Metals P

rocessin

g &

Re

finin

g

Platin

um

Gro

up

Metals H

edgin

g or Trad

ing

Jewellery M

anu

facturin

g or W

ho

lesale

Jewellery R

etail

Service and

Sup

po

rt Ind

ustries

List exam

ple

s of th

e Au

dito

r’s exp

erien

ce in th

e diam

on

d, go

ld an

d/o

r p

latinu

m gro

up

me

tals jew

ellery sup

ply ch

ain, fro

m m

ine

to re

tail.

4.

For e

ach n

om

inate

d A

ud

itor, co

nfirm

that th

e in

divid

ual h

as curren

t kno

wle

dge

regard

ing legal an

d lo

cal oth

er requ

ireme

nts fo

r the R

JC A

ccreditatio

n

Scop

e b

eing ap

plied

for. (Se

e R

JC A

ccreditatio

n C

riteria , A

pp

en

dix 1

in T0

04

_20

13)

Kn

ow

led

ge of Le

gal and

Oth

er R

eq

uire

me

nts fo

r the C

od

e of

Practices an

d C

hain

of C

usto

dy

Stand

ard.

Co

de

of P

ractices C

hain

of C

usto

dy Stan

dard

Nam

e:

Ap

plicab

le Ju

risdictio

n(s):

Nam

e:

Ap

plicab

le Jurisd

iction

(s):

An

ti-Mo

ney Lau

nd

ering

K

no

w yo

ur C

usto

mer

app

roach

es to su

pp

ort

An

ti-Mo

ney

Laun

derin

g/Co

un

ter Fin

ance o

f Terro

rism

Kim

berley P

rocess

In

vento

ry Man

agemen

t

Pro

du

ct labellin

g and

d

isclosu

re

OEC

D D

ue D

iligence

Gu

idan

ce for R

esp

on

sible

Sup

ply ch

ains o

f Min

erals fro

m C

on

flict-Affecte

d an

d

High

-Risk A

reas

ILO C

ore C

on

ventio

ns

on

Freedo

m o

f Asso

ciation

an

d C

ollective B

argainin

g, N

on

-Discrim

inatio

n, C

hild

Lab

ou

r, and

Forced

Labo

ur

A

rtisanal an

d sm

all-scale m

inin

g (if relevant to

sco

pe).

UN

Gu

idin

g Prin

ciples

on

Bu

siness an

d H

um

an

Righ

ts

Health

and

Safety

Security an

d H

um

an

Righ

ts

Enviro

nm

ental

Pro

tectio

n law

s

Waste an

d em

ission

s

Inte

rnatio

nal C

yanid

e M

anagem

ent C

od

e (if relevan

t to sco

pe)

RJC TOOLKITS 6

SECTION E: OTHER INFORMATION 10. In addition to the information provided in Section A through to D, please forward electronic copies of

the following or include links/references in below:

I. A controlled copy of the Conformity Assessment Body's quality manual (or equivalent) and

documented procedures which satisfy the requirements for accreditation.

II. Copies of relevant Certificates to demonstrate Accreditation to management system certification

schemes relevant to the RJC Code of Practices and/or Chain-of-Custody Standard. This can be provided via a website link to the relevant documentation or via an electronic copy.

III. A copy of or link to all publicly available documents that promote or describe organisation,

including, where applicable, website addresses.

IV. A description of any cooperative relationships (e.g. mutual recognition) with regard to

management system certification at national and international level.

V. A description of how the Conformity Assessment Body assesses their Auditors, and how this

process conforms with ISO/IEC 17024 Conformity assessment -- General requirements for bodies operating certification of persons.

VI. Copies of current resumes for all potential Auditors including examples of audits conducted on

businesses in the diamond and gold jewellery supply chain, from mine to retail. Please include any other qualifications and experience which may assist with the review of the application and describe the professional attributes of each Auditor.

RJC TOOLKITS 7

SECTION F: DECLARATION

The Conformity Assessment Body named in this application applies for RJC Accreditation for the scope set out

in Section A, and declares that:

the information on this form and accompanying attachment is correct;

the organisation has the necessary resources to undertake RJC Certification throughout the scope requested;

it will pay all fees due to the RJC whether or not accreditation is granted;

it will, from the date of signing this application:

i. comply with the accreditation criteria and process defined in the RJC document T004_2013 and with the audit processes defined in the RJC Assessment Manual;

ii. not act in such a manner as to bring RJC accreditation and certification into disrepute;

iii. not overstate its position regarding RJC accreditation; and

iv. take immediate steps to rectify any problems that the RJC identifies as being contrary to those items (i) to (iii) listed above;

it shall provide, or give access to, all documents, information and facilities to enable a thorough evaluation of the organisation in accordance with the accreditation criteria; and

it has a functional internal audit and management review process.

Authorised Person1:

Position:

Signature:

Date:

1 The person(s) signing this application must be authorised to commit the organisation in accordance with the Conformity Assessment Body's procedures and policies.