The certification body shall give auditors and technical experts access to an up-to-date set of documented procedures giving audit instructions and all relevant information on the certification activities. There shall be a documented process for monitoring competence and performance of all persons involved, based on the frequency of their usage and the level of risk Tinked to thetr activities, In particular, the certification body shall review and record the competence ofits personnel in the lightof their performance in order to identify training needs.
The frequency ofon-site evaluations shallbe based on need determined fromall monitoring information available 7. Personnel records -the cartiication body shall maintain up-to-date personnel records, including relevant qualifications, ra cere erlonce, affiliations, professional statis and competence, Tis tncludes management and Siiuinistrative personnel in addition to those performing certileation activities.
The certification body shall have a legally enforceabie greeinent covering the arrangements, including confidentiality andl conflicts of interests, with each body that provides outsourced services. Decisions for granting, refusing, maintaining of certification, expanding oF reducing the scope of ceecication, renewing, suspending or restoring, or withdrawing of certification shall nat be outsourced 7.
NOTE For NOTR2 For The certification body shall provide upon request Information about: 4 geographical areas in which it operates: b. Reference to certification and use of marks Acertifcation body shall have rules governing any management system certification mare dat Ba a cerviified clients to use. These rules shall ensure, among other things, traceability back tothe auth oron' body, There shall be-no ambiguity, in the marke or accompanying text, ax to what has Leen cor fad and which crefeation body has granted the certification, This markshall et be used ona product Sor product packaging norin any other way that maybe interpreted as denoting product conformity.
Acertification body shall have rules governing the use of any statement on proctuct packaging oois accompanying information that the certified client has a cortified management system. Product Sacleaging 1s considered as that which can be removed without the product disintegrating ay being Tamaged, Accompanying information is considered as separately available or easlly detachable. The statement shall in no way imply that the product, process or service is certified by this means.
The statement shal include reference to identification e. Following the review of the application, the certification body shall elther accept or decline an application for cer-fication, When the certification body declines an application for certification as a resultof the review oFapplication, the reasons for declining an application shall be documented and made clear to the client.
NOTE te can be necessary to adjust the frequency of surveillance audits to accommodate factors such a Narons or manayement systems coctfieation afa limited duration eg temporary construction ste , The rational forthe sampling plan shall be documented for aepe ent.
Sampling is not allowed for some specific certification schemes, and where specific criteria fave been established for a specific certification scheme, e. Ifthereis only one auditor, the auditor shall have the competence to perform the duties of an audit team leader applicable for that audit, The audit team shall have the totality of the competences Identified by the certification bodyas set outin 9.
NOTE Observers ean be members ofthe cients organization, consultants, witnessing accreitation body personnel regulators or ather justified persons. A technical expert shall not aetas an auditor inthe audit team. The au team shall ensure Ehat guides donot influence or interfere in the audit process oF outcome ofthe aud NOTEA — Theresponsibilties ofa guide ean include: 4 establishing contacts and timing for interviews 1 arrangling visits to specific parts ofthe site or organization 6 cour that rules concersng site safety and security procedures are known and respecte!
Communteation of audit team tasks The tasks given tothe audit team shall be defined, and require the audit team to: 8 examine and verify the structure, policies, processes, procedures, records andrelated documents of the client relevant to the management system standard; 1b dotermine that these meet all the requirements relevant to the intended cop?
Initial certification 9. The client shall be informed that the results of stage 1 may lead to postponement or cancellation of stage 2, The stage 2 shall take place at the site s of the client. The audit team shall analyse all information and audit evidence gathered curing stage 1 and stage 2 to roview the audit findings and agree on the audit conclusions, 94 Conducting audits General The certification body shall have a process for conducting on-site audits.
The adit tea leader shall report the outcome ofthe action taken to the certification body. The audit team leade becemes apparent as on-site auditing activities progres Obtaining and verifying information During the avd, information relovant tothe audit objectives, scope and ertera inci a er ing to Interfaces between functions, activities and processes shall be abtsned by appropriate sampling and verified to become audit evidence, Audit findings, however, which are nonconformities, shall not be recorded as opportunities for improvement, 9.
Nonconformities shall be discussed with the client to ensure that the evidence is accurateand thatthe nonconformities are understood. The auditor however shall refrain from suggesting, the cause of nonconformities or their solution, 9. Thepurpose of the closing meeting, usually conducted by the audit team leader, is to present the audit conclusions, including the recommendation regarding certification.
The certification body shall verify the effectiveness of any correction ard corrective actions taken. Usually this activity is done by a member of the audit team, 95 General NOTE Certification schemes can have specific rules regarding the transfer of certification.
For any major nonconformity, the certification body shall define ine limits for correction iene these actions shall be implemented and verified prio tthe expiration of certification 9, Ifthe cortfeation body has not completed the recertification auditor the certification boty 2 tng ae Implomentation of corrections and corrective actions for any major noncan vy it This may be conducted in conjunction with a survelllance audit.
Insuch cases: a the certification body shall describe and make known in advance to the certified clients e. Any such reduction shall be in line with the requirements ofthe standard used for certification 9. Records shall be transported, transmitted or transferred In a wey that ensues that confidentiality is maintained. In addition to mecting the yequlrements of lauses. Access to these records shall be consistent with the confidentiality arrangements, NOTE For requirements for records on certified elents, see also 2.
These reviews shall be conducted at least once a year. NOTE providesguldetines for conducting internal audits, The certfleation body shal also, where necessary, take actions to eliminate dhe causes UTnaclonformities in order to prevent recurrence, Corrective actions shall be appropriate to the impact tthe problems encountered, The procedures shall define requirements for: 4 identifying nonconformities eg.
A x eeA. X Gee A. Rican complexity are other considerations when deciding XGeeA22 xG 2ea. AL 4 Knowledge of certification body's processes Knowledge ofa certification body's processes sufficient to perform in accordance with the certification body's procedures and processes, A2.
A2,10 Interviewing skills Capable of interviewing to obtain relevant information by asking open-ended, well formulated questions and listening to understand and evaluate the answers, A Audit-management skills Capable of conductingand managingan audit toachteve the audit objectives within theagreed timeframe.
For the seam leader, capable of facilitating meetings for the effective exchange of information and capable of making assignments or re-assignments where necessary. ABA Knowledge of audit principles, practices and techniques Knowledge of generic management systems aueit principles, practices and techniques, 28 specified in this standard sufficient go understand a certification audit report.
Knowledge of specific management system standards normative documents Knowledge of the management system standard or other normative documents being specified for wee trcation sufficient to make a decision on the basis of a certification audit report. Knowledge of certification body's processes Kcnowledge ofa certitieation body's processes sufiient to determine f expectations ofthe cercaton body have been fulfilled onthe basis ofthe information submitted for review.
An example of process flow for determining and maintaining competence Is given in Annex. Somerecords are indicators of skills such as audit reports, records of work experience, auditexperience, education and training, Such records alone are not likely to be sufficient evidence of competence.
Other records are direct evidence of demonstration of competence such as a report of a performance appraisal of an auditor conducting an audit. B3 Feedback Direct feedback from past employers can be an Indicator of knowledge and skills, but itis Important to note that sometimes employers specifically exclude negative information, Personal references can be an Indicator of knowledge and skills. It is unlikely that a candidate will provide a personal reference that would provide negative information.
Feedback by peers can be an indicator of knowledge and sills. Such feedback can be influenced by the relationship between the peers. Feedback from clients can be an indicator of knowledge and skills, For an auditor, the feedback can be Influenced by the results ofthe audit. Feedback alone is not satisfactory evidence of competence. B44 Interviews Interviews can be useful for eliciting information about knowledge and skills. Itprovides an opportunity to understand why an auditor made speeifiedecisions, knowledge ar it tral, ete Ths technique may be used after an observed audit and nay also selected spec a deting the written audit report.
This technique may be particularly usefal in determining competence relative to a specific technical area. Observations Observing a person performing a task ean provide direct evidence of competence as demonsiatet pplication of knovledge and skills to achieve a desired result. This method of valuation. Observing person periodically is useful to confirm continued competence, B. The process flow uses the methods described in Annex.
Other audtactivtlesmay be conducted. Related searches Iso Soosai Rajan. Sil Casa. Kin Kwan. Sunil Arora. Aniruddha Kulkarni. Ahmed Imtiaz Rao. Chairul Anwar. Florin Popescu. Aashish Ahuja. Ian van der Pool. Proof sent to secretariat or FDIS ballot initiated: 8 weeks. Close of voting. Proof returned by secretariat.
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