Responsible Raw Materials Initiative

Auditor Information

The CFSI approves auditors to enable them to conduct Conflict Free Smelter Program (CFSP) audits. The auditor approval process is designed to verify that auditors have appropriate experience and expertise, and that there is no conflict of interest when undertaking CFSP audits for smelters. The approval process follows the relevant requirements outlined in ISO 17011, the international standard for accrediting certification/assessment bodies. Please review Audit Firm and Auditor Approval Process for detailed information on CFSI requirements.

To become an approved auditing body for CFSP, audit firms must complete the CFSP Audit Firm Approval Application, fill out the Approved Auditor List as well as the Auditor Approval Application for each auditor on the List, and return it to the CFSI for consideration (please email us here). Each individual auditor candidacy, nominated by the approved audit firm, is also to be reviewed and approved by the CFSI before the auditors are able to conduct CFSP audits.


Announcement:  The program is now open to new audit firm application submissions. If becoming CFSP approved audit firm may be of interest, kindly review the requirements detailed in the Audit Firm and Auditor Approval Process PDF document and related Excel forms. Beginning August 1, interested parties that satisfy CFSP audit firm requirements are welcome to submit the completed application and enclose all the supporting documentation.

Timeline

August 1, 2016 - 3 months before a new Qualification Process decision the CFSP will announce the opening of a new Qualification Process on the CFSP webpage  

Between August 22 and 29, 2016 - 2 months before the new Qualification Process decisions the CFSP will write to all third party audit firms which has expressed interest in qualifying for the Qualification Program.

Sept 30, 2016 - 1 month before the new Qualification Process decisions the CFSP will close the application process.

October 20, 2016 - 1 week before the new Qualification Process decisions the CFSP will provide the applications and related scores to the Independent Review Committee for decision, including the copy of the request for submission of CFSP Qualification. If IRC is not constituted yet, ARC will take that function and confirm qualification decision during the October 26, 2016 Wednesday ARC call. Applicants will be informed by October 31, 2016


The Audit Review Committee (ARC) is involved in the review process for each audit firm to ensure impartiality and correct procedures are followed.  The auditor approval process is supported by specific training courses on CFSP’s audit protocols and procedures, in addition to the pre-requisites for relevant audit training and experience. Auditor training courses can be found on the CFSI eLearning Academy (free and open to all). Click here to request credentials for the eLearning Academy.

Auditor Training

Required Auditor Courses:*

    • Conflict Minerals Overview
    • CFSP Auditor Training
    • CFSP Document Review
    • Joint CFSI - LBMA - RJC Auditor Training: Due Diligence of Gold Refiners
    • Level 3 Audit Training
      • iTSCi Program Documents
      • Better Sourcing Program
    • Smelting & Refining 101: Tin
    • Smelting & Refining 101: Tungsten
    • Smelting & Refining 101: Gold

*To be completed online or in-person (if available) before conducting the first audit

Required Courses in Development: 

    • Smelting & Refining 101 Series: Tantalum
    • OECD Due Diligence Training for Auditors

Recommended Courses:

    • CFSP Courses 1-4 (New Smelter Training, Conflict Minerals Policy, Mass Balance, Line Item Summary)

Re-Approved Auditing Firms

SGS
http://www.sgs.com/
Scope: International, based in Switzerland
Auditing CFSP since 2011

UL
http://www.ul.com
http://industries.ul.com/responsible-sourcing
Scope: International, based in the US
Auditing CFSP since 2010

Newly Approved Auditing Firms, November 1, 2016

Arche Advisors 
http://www.archeadvisors.com  
Scope: International, based in the US 
Auditing CFSP since 2016

Intertek
https://www.intertek.com 
Scope: International, based in the UK
Auditing CFSP since 2016

SCS Global Services 
https://www.scsglobalservices.com
Scope: International, based in the US 
Auditing CFSP since 2016

The CFSI regularly reviews information submitted by auditing firms to assess their continued acceptability to remain on the list of approved auditors.  All approved auditors must undergo re-approval to remain on the list of approved firms every three years. To apply for re-approval, please use the same form as for the initial application.

Any concerns about  the CFSP can be raised directly to CFSI staff and through the Grievances and Complaints Mechanism page (anonymous feedback option available).