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Approval: Technical Manager
Related Clauses: 17021-1:2015 5.1.2, 9.1.1-2, 126.96.36.199
Related Procedure “Impartiality”
CERTIND-ME General Conditions of services & Specific Conditions of certification services Application Forms for the relevant products Template “Certification Transfer Form”
This procedure defines instructions for all CERTIND-ME services. Some services require additional instructions, defined in appendices
. 1 Application requirements
To be able to develop a proposal for potential or existing client, specific required information is obtained from the client through the document “Application Form”. The information required includes:
§ Standard of certification
§ Details of activities for the definition of scope
§ Client information:
Ø Name, address, contact information
Ø Information on sites to be covered by certification (complexity of sites, campus, multi-site)
Ø Number and importance of temporary sites
Ø Number of employees and details on shift activity
Ø Significant aspects of organization process and operations, and relevant legal obligations
Ø Information about outsourced process used by the client that will affect conformity to requirement
Ø Information concerning the use of consultancy related to the management system Standard of certification
This necessary information and or data can be transmitted to CERTIND-ME in any format (e.g. phone conversations, e-mail, product-related brochures provided by the client) and consolidated by CERTIND-ME in an application form. Records shall be retained either with the client file or by the commercial department. Some of this information can be obtained from product related brochures/Adds, provided by the client. Brochures/Adds provide CERTIND-ME
1.1 Application requirements for multi-site Organization
A multi-site Organization is defined as an Organization having an identified central function (hereafter referred to as a central office but not necessarily the headquarters of the Organization) at which certain activities are planned, controlled or managed and a network of local offices or branches (sites) at which such activities are fully or partially carried out.
A site could include all land on which activities under the control of an Organization at a given location are carried out including any connected or associated storage of raw materials, by-products, intermediate products, end products and waste material, and any equipment or infrastructure involved in the activities, whether or not fixed. Alternatively, where required by law, definitions laid down in national or local licensing regimes shall apply. Where it is not practicable to define a location (e.g. for services), the coverage of the certification should take into account the Organization’s headquarters activities as well as delivery of its services. Where relevant, the certification body m ay decide that the certification audit will be carried out only where the Organization delivers its services. In such cases all the interfaces with its central office shall be identified and audited.
Temporary sites that are covered by the Organization’s management system may be subject to audit on a sample basis to provide evidence of the operation and effectiveness of the management system. They may, however be included within the scope of a multi-site certification subject to agreement between the certification body and the client Organization. Where included in the scope, such sites shall be identified as temporary.
A multi-site Organization need not be a unique legal entity, but all sites shall have a legal or contractual link with the central office of the Organization and be subject to a common management system, which is laid down, established and subject to continuous surveillance and internal audits by the central office. This means that the central office has rights to require that the sites implement corrective actions when needed in any site. Where applicable this should be set out in the formal agreement between the centr al office and the sites. Examples of possible multi-site Organizations are:
§ Organizations operating with franchises
§ Manufacturing companies with a network of sales offices (this document would apply to the sales network) · Service companies with multiple sites offering a similar service
§ Companies with multiple branches
2 Application Review requirements
The application received from the client is reviewed to:
§ Determine the type of accreditation that can be offered;
§ Ensure that CERTIND-ME has the ability and competence to perform the audit;
§ Determine the audit scope;
§ Ensure competent resources are available to perform the audit;
§ Ensure impartiality threats have been reviewed (with the support of the Impartiality Committee where necessary) and results of the review confirm the risks are at an acceptable level as described in Impartiality Procedure.
§ Determine audit time
Specificities per scheme are detailed in Appendices. If CERTIND-ME declines the application following the application review, the reasons for declining an application shall be documented and made clear to the client. Audit time is determined according to
§ specific rules per product
§ the complexity of client sites and processes.
Unless otherwise specified in specific instructions, the application review documents are recorded to demonstrate all items above have been considered and reasons for accepting the application and issuing the proposal are justified. Proposals are then issued and sent to the client and they at least include:
§ Client details;
§ Audit time for the 3-year cycle;
§ Standard and scope;
§ CERTIND-ME general conditions of services
§ CERTIND-ME specific conditions of certification services (including information and process descriptions and complaints procedures)
3. Approving Proposals
Each CERTIND-ME entity and production centre produces an authorization matrix that demonstrates who is authorized to approve and sign proposals. The matrix is product and contract value dependent, and reflects the status of local entity in CERTIND-ME network The persons signing proposals shall be trained for the products for which they are approved and demonstrated to the relevant Technical Manager that they have sufficient understanding and knowledge of the proposal process to produce accurate proposals. The Technical Manager shall only take a sample of proposals to review (Recommend 5%) to ensure that the process is being undertaken in accordance with CERTIND-ME requirements. It is not required for the Technical Manager to conduct a 100% review of all proposals.
4. Types of Contract
CERTIND-ME services are covered by a signed contract with the client. To facilitate this process, CERTIND-ME established two types of contracts described below. Unless specifically requested by the client, expiring term contracts are not offered.
4.1. Open Ended Contracts (CERTIND-ME Standard Contract)
These contracts have no expiry date and are developed in such a manner to allow CERTIND-ME services to be offered on a continuous basis, without requirement to re-sign the contract. These contracts allow for audit day and price increases to be undertaken where necessary or in accordance with the contract terms. In case individual countries wish to use open-ended contracts, they must comply with the CERTIND-ME general conditions and certification specific conditions.
4.2. Expiring contracts
They are only used when client refuses to sign Open Ended Contract. These contracts are established for defined periods, this can be any period in agreement with the client; however, the minimum period is one year. Where the contract period is less than three years or the duration of certification cycle, this shall be reflected in the certificate validity.
5. Contract Review
When a client signs the proposal, this then becomes the contract, therefore once this is received from a client the sales bac k office shall review the document to ensure that no changes have been made or requested by the client. If all deta ils are consistent with the original proposal the signed contract is passed to the production back office for action, the sales back office shall also indicate the clients preferred initial audit period. If the clients ask for a second and different accreditation after contract review stage, and initial certification decision has been made and the certificate issued, this requires a new and separate certification decision.
5.1. Contract review for multi-site Organization
CERTIND-ME shall provide information to the Organization via its offer terms and conditions about the application of IAF MD1 requirement and the relevant management system standards before starting the audit process, and should not proceed if any of the provisions are not met. Before starting the audit process, CERTIND-ME should inform the Organization that the certificate will not be issued if during an initial audit nonconformities are found. CERTIND-ME’s procedures should ensure that the initial contract review identifies the complexity and scale of the activities covered by the management system subject to certification and any differences between sites as the basis for determining the level of sampling. CERTIND-ME shall identify the central function of the Organization with which it has a legally enforceable agreement for the provision of certification activities.
CERTIND-ME shall check, in each individual case, to what extent sites of an Organization operate substantially the same kind of processes according to the same procedures and methods. Only after a positive examination that all the sites proposed for inclusion in the multi-site exercise meet the eligibility provisions may the sampling procedure be applied to the individual sites. If all the sites of a service Organization where the activity subject to certification is performed are not ready to be submitted for certification at the same time, the Organization shall be required to inform CERTIND-ME in advance of the sites that it wants to be included in the certification and those which are to be excluded.
6. Transfer of Accredited Certification
The transfer of certification is defined as the recognition of an existing and valid management system certificate, granted by one accredited certification body, hereinafter referred to as the “issuing certification body”, by CERTIND-ME for the purpose of issuing a CERTIND-ME certificate. When a transfer of certification is envisaged from one certification body to another, the accepting certification body shall have a process for obtaining sufficient information in order to take a decision on certification.
6.1. Minimum Requirements Accreditation:
Only certificates which are covered by an accreditation of an EA, PAC, IAAC or IAF MLA signatory shall be eligible for transfer. If the existing certification is accredited by a body that belongs to a regional MLA only, the transfer shall be limited to other accreditations valid within that regional agreement. Organizations holding certificates that are not covered by such accreditations shall be treated as new clients. For a list of IAF MLA signatories refer to the IAF web-site www.iaf.nu Transfer shall normally only be of a current valid accredited certificate but, in the case of a certificate issued by a certification body that has ceased trading, or that has had its accreditation withdrawn, CERTIND-ME, at its discretion, can consider such a certificate for transfer on the basis described in this procedure. Certificates which are known to have been suspended or to be under threat of suspension shall not be accepted for transfer.
6.2. Pre-Transfer Review
A pre-transfer review of the current certification of the prospective client shall be carried by the Technical Manager or person appointed by him/her. This review is normally conducted by means of document review. This review shall cover the following aspects:
§ Confirmation that the client’s certified activities falls within the accredited scope of the accepting certification / registration body.
§ The reasons for seeking a transfer.
§ That the site(s) wishing subject to the transfer hold a valid accredited certificate, in terms of authenticity, duration, scope of activities covered by the management system and scope of accreditation. If practical, the validity of certification and the status of outstanding nonconformities shall be verified with the issuing certification body unless it has ceased trading.
Suspension and Withdrawal
SUSPENSION AND WITHDRAWAL
Approval: Technical manager
Related to: 17021-1:2015 9.6.5
Suspension is part of certification decision process
Procedure « Complaints and Appeals »
Template « Suspension Control Form »
1.3 Suspension lifting
The suspension period shall not exceed six months, after which another Special Surveillance visit shall be arranged to review the situation.
The suspension period shall be properly managed by the certification manager CM, therefore it is expected that there shall be regular communication with the client (which is recorded.) If, it can be demonstrated that the Client’s Management System is in compliance with requirements at this Special Surveillance, following recommendation from the Lead Auditor conducting the Special Surveillance, suspension may be lifted by the Technical Manager and the routine surveillance plan re-instated.
If it has been demonstrated that the client is taking action to clear the nonconformities, but has not completed the effective implementation, it is possible for the Lead Auditor to recommend an extension of three months on the initial suspension period. If, in the opinion of the Lead Auditor conducting the Special Surveillance, the Client has been unwilling or unable to clear the nonconformity, withdrawal of the Certificate shall be recommended to the Technical Manager. This Special Surveillance report is reviewed by the Technical Manager to verify the decision.
Lifting of a suspension is a decision process, therefore all information to support the lifting of a suspension shall be given to the TM for approval.
2 Withdrawal of certificate
Withdrawal of certificate shall be initiated only when it is apparent that corrective action output, including suspension, does not bring compliance with the Management System Certification requirements.
The following procedure shall be followed when a recommendation for withdrawal has been received by the Technical Manager concerning a certified Client: The entire last Certification Cycle history regarding the Client’s certification shall be reviewed by the Technical Manager of the appropriate CERTIND-MEoffice.
The Technical Manager shall decide to take one of the following courses of action:
§ Allow for extension of suspension for a maximum three months followed by another Special Surveillance (In case the suspension is extended, the procedure above shall be repeated). Only one extension of suspension shall be allowed during the three-year contract with a given Client.
§ Approval by the Certification Manager that withdrawal of the certificate is enforced.