ASSESSMENT OF CERTIFICATION BODIES Table of contents 1 PURPOSE... 2 2 ASSESSMENT FOCUSES... 2 2.1 Head office or dislocated sites... 2 2.2 Witnessing the performance of audits... 5 3 SCOPE OF THE ASSESSMENT (IN RELATION TO THE OVERALL SCOPE OF THE CERTIFICATION BODY S ACCREDITATION)... 6 3.1 Vertical audits... 6 3.2 Witnessing audits... 7 4 RECORDS... 14 5 CHANGES WITH REGARD TO PREVIOUS REVISION... 14 6 TRANSITORY PROVISIONS... 14 7 CONTROL OF THE DOCUMENT... 14 Revision 7 Effective as of: 31. 3. 2014 Page 1 of 15
1 PURPOSE The purpose of this annex to the D05-02 document is to lay down the scope and methods of assessment that are specific for the assessment of certification bodies and/or different certification schemes. General instructions for assessments of certification bodies and specific instructions applicable only to certain types of certification bodies and/or particular certification schemes are included. 2 ASSESSMENT FOCUSES The assessment of certification bodies includes the assessment of the main site of the certification body, or its dislocated sites at which the key activities are performed, and the assessment of the audits being performed at its clients. 2.1 Head office or dislocated sites In the course of the assessment of the certification body's head office or its dislocated sites, the assessor team shall use, in addition to the general assessment techniques, the following techniques: examination of records, system documents, interviews with the certification body's staff. They shall especially focus on: organizational structure of certification body, the appropriate position and composition of the Certification Board / mechanism for safeguarding impartiality / committee for safeguarding impartiality (involvement of all parties interested in certification, involvement of specific parties interested in certification of different management systems, a balanced representation of interested parties) and the authorities of the Board / mechanism for safeguarding impartiality / impartiality protection committee for safeguarding impartiality ensuring impartiality of certification activities, identifying risk to impartiality, controlling risks, (ongoing activity, providing information to the Board / mechanism for safeguarding impartiality / impartiality protection committee for safeguarding impartiality top management commitment); financial stability, resources; appropriate relations and cooperation with clients (access to certification service, appropriate contracts with clients, non-discriminatory treatment of clients); ensuring confidentiality; proper division of the functions of certification/education/verification/testing/inspection, when several such activities are performed within the same certification body; appropriate management of the competencies of the staff involved in certification procedures; the certification process, and controlling and maintaining records in order to prove efficient implementation of the certification process; the assurance of independence at the decision-making level as to grant/refuse/withdraw a certificate, and auditing; the suitability of subcontractors, when relevant; the performance of key activities at dislocated sites; the efficiency of the control system for the sites at which the critical activities are performed, when relevant; Revision 7 Effective as of: 31. 3. 2014 Page 2 of 15
the performance of conformity assessment procedures abroad; accessibility (public accessibility of information); the use of certification mark (EA-2/13); the implementation of the relevant IAF, EA and other guidance documents (D05-10); and whether the activity is performed in all the fields from the scope of accreditation. 2.1.1 Certification body operating certification of products/processes/services When assessing a certification body operating certification of products/processes/services (hereinafter referred to as certification body for products), the following shall be checked in addition to the list under 2.1 above: meeting of sector-specific requirements; procedures in different product certification schemes, sampling procedures; whether the certification body itself performs the testing or calibration or inspection for the needs of certification, and whether it is competent for the performance of these activities under the requirements of the relevant standards. In the case that the certification body cannot provide an appropriate evidence of its competence for testing/calibration/inspection, its compliance against the accreditation requirements referring to testing, calibration and inspection activities shall also be checked during the assessment; procedures in the case of a multi-site certification procedure (IAF MD 1). 2.1.1.1 Certification bodies operating certification of organic production and processing The assessment relates to the scope of accreditation for the product categories stated in D05-11. Also the information obtained by the relevant ministry and the commission shall be taken into consideration in the course of assessments. When accreditation is extended to another product category, the competence of auditors shall be checked. When assessing a certification body which performs certification in third countries, the requirements of EA 3/12 M, clause 3 shall be complied with. 2.1.2 Certification body operating certification of persons In assessing a certification body for persons, the following shall be checked in addition to that mentioned under 2.1: specification of pre-conditions for acceding to certification; relation with training activity in the field of certification, when relevant, and assurance of impartiality; certification of "own" personnel; assurance of adequate conditions for certification; whether the certification body performs testing, calibration or inspection for the requirements of certification by itself and whether it is qualified for such activities according to the requirements of the relevant standards. If the certification body possesses no adequate evidence of competence Revision 7 Effective as of: 31. 3. 2014 Page 3 of 15
for testing/calibration/inspection, the assessment shall likewise comprise of conformity with the requirements for accreditation which apply to the testing, calibration and inspection activity. assurance of safety throughout the certification procedure (test materials, cheating); and control of certification scheme (development, approval and maintenance of certification scheme, monitoring changes). 2.1.3 Certification body operating certification of management systems When assessing a certification body for certification of management systems, the following shall be checked in addition to that mentioned under 2.1: the procedure of defining the requirements for the competencies (knowledge, experience, skills) of the staff taking part in conducting and carrying out audits and certification (for all types of management systems, for any technical field and for any function in certification process), and the results of implementation of the procedure (ISO/IEC 17021:2011, 7.1.2, Annex A; IAF MD9, Annex 2, IAF MD 10); the procedure of initial competence evaluation, regular monitoring of competencies of the staff taking part in conducting and carrying out audits (ISO/IEC 17021:2011, 7.1.3; ISO/TS 22003, 7.2.2 and 7.2.3), and evidence of meeting the requirements for staff (IAF MD 10); the procedure of selecting and appointing the auditor team (selection criteria) (ISO/IEC 17021:2011, 9.1.3); the procedure of defining the time for audits (appropriateness of criteria) (ISO/IEC 17021:2011, 9.1.4); drawing up an audit plan for the complete certification cycle, indicating audit activities (ISO/IEC 17021:2011, 9.1.1.1); defining the audit objectives (certification body), scope of audit (integrated,, participants roles) and audit criteria as well as reporting on achievements (ISO/IEC 17021:2011, 9.1.2.2); the auditors competencies, especially when the certification of environmental management and health and safety at work is concerned in the fields where the clients' representativeness is poor and the audit is carried out less frequently. The frequency of assessing the adequateness of maintenance of auditors' competencies in individual fields shall be adapted by the assessor to the speed of development of techniques, technologies and systems for individual fields, (e.g., the fields of EAC 19, EAC 33, EAC 3, EAC 12, EAC 13 will need more frequent assessment of the proper maintenance of competencies); the procedure of evaluating the efficiency of corrections and corrective action (ISO/IEC 17021:2011, 9.1.12); the procedures in the "multi-site" certification procedure (IAF MD 1); the procedures of the two-stage audit (ISO/TS 22003, 9.2.3.1); and how in its determination of the audits duration, the certification body complies with the IAF MD5 (duration of QMS and EMS audits), IAF MD 11 (integrated audits) (as a sample at each assessment), and with ISO/TS 22003, 9.1.4 and 9.1.5. 2.1.3.1 Certification of food safety management systems to ISO 22000 The assessment relates to the scope of accreditation classified according to the categories mentioned in D05-11 (the same as in ISO/TS 22003:2007, Annex A): Revision 7 Effective as of: 31. 3. 2014 Page 4 of 15
In assessing a food safety management certification body attention shall be paid to: specific requirements for the competence (for categories C, D and F, including specific knowledge (requirements for sensitive population)), education and work experiences of the staff taking part in certification procedures and their documentation with regard to category and sector (ISO/TS 22003:2007, 7.1 7.4); definition of the scope of certification (food chain level, category, sector); correct choice of time (season, time, day) for carrying out the audit; and correct definition of duration of the audit (ISO/TS 2203:2007, 9.1.4, 9.1.5, Annex B). 2.1.3.2 Certification of environmental management systems to ISO 14001 In assessing a certification body for environmental management, attention shall be paid to: the definition of the requirements for competence for each function in the certification process and for each EMS field in accordance with ISO/IEC TS 17021-2, 5 7; competencies of the auditors: general competence according to EN ISO/IEC 17021 and specific EMS knowledge according to ISO/IEC TS 17021-2, 5.1 5.10; the definition of the requirements for competence in environmental aspects for individual EMS fields according to ISO/IEC TS 17021-2, 6.1 6.7; the definition of the requirements for other personnel according to ISO/IEC 17021-2, 7.1 7.2. 2.2 Witnessing the performance of audits The assessment of auditors in carrying out audits means determining whether the audit procedures are implemented against the rules laid down in the certification body's management system, and whether the auditor team demonstrate appropriate knowledge and understanding of the certification criteria, have the necessary auditing skills and the ability to audit the fulfilment of the relevant criteria. Before starting the witnessing of an audit the certification body whose audit is to be witnessed shall provide the report from previous audit; an audit programme with information on auditors and audit sites; a description of the client's organisation, activity, and other: quality and food safety management manual (HACAP manual, HACAP studies); The assessor shall examine the documents provided and adapt the assessment accordingly. When witnessing/assessing the performance of auditor team, the assessors shall closely monitor (ISO/IEC 17021:2011, 9.1.9): the performance/mutual co-operation of the members of auditor team (including observers, interpreters, ), team leading (controlling changes in plan); their knowledge of auditing/verification procedures and techniques; the way of communicating with the client (initial (contents), closing meeting (contents, attendance list), control of contingencies); the capability of obtaining substantial evidence (asking proper questions and focusing on the important requirements); the knowledge of the certification requirements (for a product/product group and the requirements for conformity of a product/product group, knowledge of specific requirements for certification of different management systems, knowledge of the national environmental Revision 7 Effective as of: 31. 3. 2014 Page 5 of 15
requirements; knowledge of the requirements for the competencies of the client s staff and the requirements for the competencies of certified staff); the reporting of findings (correct definition of a finding; nonconformities shall not be reported in terms of possibilities for improvement; a finding shall refer to the criterion and the evidence); coordination of different opinions regarding findings; any disagreements should be recorded; the duration, appropriateness of the audit programme (relevance of sites, coverage of the scope). Within two weeks after the conclusion of the audit, which was witnessed by SA assessors, the certification body shall submit to SA its report prepared for the management of the auditee organisation. The assessor team shall prepare a report on witnessing the audit (form OB05-43), which shall also include information on evaluation of the contents of the subsequently sent report. Particular attention should be paid to the contents of the report (nonconformities shall not be reported in terms of possibilities for improvement; findings shall refer to the criterion and the evidence, conclusions, ) (ISO/IEC 17021:2011, 9.1.0). When witnessing an audit, the assessors shall assess the complete auditor team. When possible, the assessors shall inform the auditors of the witnessing results immediately after the audit in the company has been completed. 3 SCOPE OF THE ASSESSMENT (IN RELATION TO THE OVERALL SCOPE OF THE CERTIFICATION BODY S ACCREDITATION) 3.1 Vertical audits 3.1.1 Certification body operating certification of management systems At the initial assessment and the following re-assessments of a certification body for management systems, at least four procedures of certification for each certification scheme shall be assessed through vertical audits. The selection shall be made from among the most critical or complex groups of sectors (IAF MD5) from the client's accreditation scope for quality and environmental management systems; from among the clients with high level of risk to food safety for food safety management systems; from among groups of sectors with high/higher level of risk to health and safety at work (use of hazardous substances, explosions, physical burdens; EA 2, 10, 11, 12, 13, 17.1, 25, 26, 28 / EA 3, 4, 5, 7, 15, 16, 20, 21, 27) for OHSAS, and from medical devices with high level of risk for ISO 13485. The selection shall also include cases of multi-site organisations, cases involving transfer of certificate and cases of certification procedures carried out abroad, as well as initial audits, surveillance audits and integrated audits. In vertical audit, attention should also be paid to the following: how the findings and conclusions are presented (nonconformities shall not be reported in terms of possibilities for improvement; findings shall refer to the criterion and the evidence) (ISO/IEC 17021:2011, 9.1.10); documentation of the implementation of efficient corrections and corrective action (ISO/IEC 17021:2011, 9.1.12). Revision 7 Effective as of: 31. 3. 2014 Page 6 of 15
3.1.2 Certification body operating certification of products/processes/services In a certification body for products, the assessors shall assess, at the initial assessment and following re-assessments for individual scheme and through vertical audits, the representative part of certification procedures for those products, services or processes that are more critical in terms of protection of health of people, animals, nature, and protection of property. The selection shall also include cases of multi-site organisations, cases of certification procedures carried out abroad, as well as initial audits and surveillance audits. 3.1.3 Certification body operating certification of persons At the initial assessment and following re-assessments of a certification body for persons, a representative number of procedures for individual groups, methods, levels of persons' competence and procedures carried out at different sites, shall be assessed through vertical audits. At least one vertical audit shall be carried out for individual certification scheme during regular surveillance all by considering the above criteria for selection and making sure that all accreditation fields have been checked. When selecting cases for vertical audit, the planned assessments of audit performance shall be taken into account so that an even representation of the accredited activity is provided in the sample under assessment. 3.2 Witnessing audits 3.2.1 Certification body operating certification of management systems The initial assessment and the re-assessment of a certification body for management systems in the context of individual certification scheme shall unless provided otherwise, involve the witnessing of the performance of at least two audits. In quality and environmental management system, the audits from the highly complex activity group (IAF MD 5) of the scope applied for, and activities with high/higher level of risk for health and safety at work shall be selected In the management system scheme according to ISO 13485, the audit of medical devices from a technical field with high level of risk (IAF MD 8) shall be selected. Audits can be combined. At least one of the planned observed audits within the context of an assessment period should be (if possible) initial audit (first and second level). Further planning of witnessing shall be adapted (unless provided otherwise, to the fact that within the context of the assessment period (initial assessment and three consecutive surveillances), witnessing of at least one activity within each group is performed, related to a particular certification scheme. 3.2.1.1 Certification body for quality systems The scope of accreditation for quality systems certification body is divided into 39 activities (IAF ID1), which are classified mutatis mutandis by the nature of activity into the following groups: QMS Group description IAF ID 1 description Note Group 1 Primary sector 1 Agriculture, forestry and fishing Revision 7 Effective as of: 31. 3. 2014 Page 7 of 15
2- Mining and quarryingrudarstvo 17 Manufacture of basic metals 24, except 24.46 2 Manufacturing activity 4 - Manufacture of textiles and textile articles 5 Manufacture of leather and related products 6 - Manufacture of wood and of products of wood 7 - Manufacture of articles of paper and 17.2 paperboard 8 Publishing activities 9 - Printing and service activities related to printing 14 - Manufacture of rubber and plastic products 17 - Manufacture of fabricated metal products 25, except 25.4 18 - Manufacture of machinery and equipment 19 - Manufacture of electrical and optical equipment 20 - Building and repairs of ships and boats 21 - Manufacture of air and spacecraft and related machinery 22 - Manufacture of other transport equipment 23 Manufacture of furniture other different manufacturing activities 28 - Construction 3 Service activity 29 Wholesale and retail trade, repairs of motor vehicles and household appliances 30 Accommodation and food service activities 31 - Transport, storage and communications 32 Financial and insurance activities, representation in real estate, renting and leasing of machinery without operators and borrowing of household goods 33 Computer science and related activities 32 - Architectural and engineering activities, technical testing and analysis; technical testing and analysis, research and development, technical consultancy 35 Administrative and support service activities, except planning, engineering and technical consultancy 36 - Public administration and defence, compulsory social security 37 - Education 38 Human health and social work activities 39 Other social and personal service activities 4 Processing industry 3 Manufacture of food, products, beverages and tobacco products 7 - Manufacture of pulp, paper and paperboard 59.1, 60, 63.9, 79, 90 94, 96 17.1 Revision 7 Effective as of: 31. 3. 2014 Page 8 of 15
10 - Manufacture of coke and refined petroleum products 12 - Manufacture of chemicals, chemical products and man-made fibres 13 - Manufacture of basic pharmaceutical products and pharmaceutical preparations 15 - Manufacture of abrasive products and non-metallic mineral products n.e.c. 16 - Manufacture of cement, lime and plaster and product of concrete, lime and plaster 24 - Recycling 25 - Electricity supply 26 Gas fuels supply 27 Water supply 39 Common servicing activities (sewerage, waste management) 5 Nuclear 11 Manufacture of nuclear fuel 37, 38.1, 38.2, 39 Activities indicated in bold print shall be mandatorily witnessed in initial assessment or extension of accreditation scope. 3.2.1.2 Certification body for environmental management systems The scope of accreditation for environmental management systems certification body is divided into 39 activities (IAF ID1), which are classified mutatis mutandis by the nature of activity into the following groups: EMS Group description IAF ID 1 description Note Group 1 Primary sector 1 Agriculture, forestry and fishing 2- Mining and quarrying 17 Manufacture of basic metals 24, except 24.46 2 Manufacturing activity 4 - Manufacture of textiles and textile articles 5 Manufacture of leather and related products 6 - Manufacture of wood and of products of wood 7 - Manufacture of articles of paper and paperboard 8 Publishing activities 9 - Printing and service activities related to printing 14 - Manufacture of rubber and plastic products 17 - Manufacture of fabricated metal products 18 - Manufacture of machinery and equipment 19 - Manufacture of electrical and optical equipment 17.2 25, except 25.4 Revision 7 Effective as of: 31. 3. 2014 Page 9 of 15
20 - Building and repairs of ships and boats 21 - Manufacture of air and spacecraft and related machinery 22 - Manufacture of other transport equipment 23 Manufacture of furniture other different manufacturing activities 28 - Construction 3 Service activity 29 - Wholesale and retail trade, repairs of motor vehicles and household appliances 30 Accommodation and food service activities 31 - Transport, storage and communications 32 Financial and insurance activities, representation in real estate, renting and leasing of machinery without operators and borrowing of household goods 33 Computer science and related activities 34 - Architectural and engineering activities, technical testing and analysis; technical testing and analysis, research and development, technical consultancy 35 Administrative and support service activities, except planning, engineering and technical consultancy 36 - Public administration and defence, compulsory social security 37 - Education 38 Human health and social work activities 39 Other social and personal service activities 4 Processing industry 3 Manufacture of food, products, beverages and tobacco products 7 - Manufacture of pulp, paper and paperboard 10 - Manufacture of coke and refined petroleum products 12 - Manufacture of chemicals, chemical products and man-made fibres 13 - Manufacture of basic pharmaceutical products and pharmaceutical preparations 15 - Manufacture of abrasive products and non-metallic mineral products n.e.c. 16 - Manufacture of cement, lime and plaster and product of concrete, lime and plaster 24 - Recycling 25 - Electricity supply 26 Gas fuels supply 27 Water supply 39 Common servicing activities (sewerage, waste management) 5 Nuclear 11 Manufacture of nuclear fuel 59.1, 60, 63.9, 79, 90 94, 96 17.1 37, 38.1, 38.2, 39 Revision 7 Effective as of: 31. 3. 2014 Page 10 of 15
Activities indicated in bold print shall be mandatorily witnessed in initial assessment or expansion of accreditation. 3.2.1.3 Certification bodies for occupational health and safety systems The scope of accreditation for occupational health and safety systems certification body is divided into 39 activities (IAF ID1), which are classified mutatis mutandis by the nature of activity into the following groups: OHSAS Group Description IAF ID 1 activity description Note Group 1 Activity with high degree of risk external and internal factors of safety and health, use of hazardous substances, explosions, physical injuries 2- Mining 10 - Manufacture of coke and refined petroleum products 11 Manufacture of nuclear fuel 12 - Manufacture of chemicals, chemical products and man-made fibres 13 Manufacture of basic pharmaceutical products and pharmaceutical preparations 25 Electricity supply 26 Gas fuels supply 2 Activity with considerable degree of risk for safety and health, emphasis on risk of major physical injuries 1 Agriculture and hunting, forestry, fishery 2- Mining 3 - Manufacture of food, products, beverages and tobacco products 4 Manufacture of textiles and textile products 5 - Manufacture of leather and related products 6 - Manufacture of wood and of products of wood 7 - Manufacture of articles of paper and paperboard 14 - Manufacture of rubber and plastic products 15 - Manufacture of other non-metallic mineral products 16 - Manufacture of cement, lime and plaster and products of concrete, lime and plaster 17 Manufacture of metal products 18 Manufacture of machinery and equipment n.e.c. 20 Building and repair of ships and boats 21 - Manufacture of air and spacecraft and related machinery 22 - Manufacture of other air and spacecraft and related machinery 24 Recycling 28 - Construction 39 - Common servicing activities (sewerage, 37, 38.1, 38.2, 39 Revision 7 Effective as of: 31. 3. 2014 Page 11 of 15
waste management) 3 Activities with emphasis on the risks of mental strain 4 Activities involving the risk of minor physical injuries 5 Activities with limited risks for occupational health and safety 35 Administrative and support service activities, security and investigation activities 37 - Education 38 Human health and social work activities 8 - Publishing 9 - Printing and service activities related to printing, photocopying 19 - Manufacture of electrical and optical equipment 23 - Manufacture of furniture, other different manufacturing activities 27 Water supply 29 - Wholesale and retail trade, repairs of motor vehicles and household appliances 39 - Other social and personal service activities, without creative and arts activities, libraries, museums and games of chance 30 - Accommodation and food service activities 31 Transportation, storage and communications 32 - Financial and insurance activities, representation in real estate, renting and leasing of machinery without operators and borrowing of household goods 33 - Computer science and related activities 34 - Architectural and engineering activities, technical testing and analysis; technical testing and analysis, research and development, technical consultancy 35 - Administrative and support service activities, except planning, engineering and technical consultancy, with exception of Security and investigation activities 36 - Public administration and defence, compulsory social security 39 - Other social and personal service activities, creative and arts activities, libraries, museums. games of chance 80 without 90-92 without 80 90-92 Activities indicated in bold print shall be mandatorily witnessed in initial assessment or expansion of accreditation. 3.2.1.4 Certification body operating certification of food safety management In this certification body, EA-3/11 shall be taken into consideration when defining the witnessing of audits. The certification scope shall be grouped in clusterof categories, as follows: 1. Farming (A+B) Revision 7 Effective as of: 31. 3. 2014 Page 12 of 15
2. Food and feed processing (C+D+E+F) 3. Distribution, transport and storage (H+J) 4. Catering (G) 5. Production of (bio-)chemical products (L) 6. Supporting activities (I+K+M). The grant/extension of accreditation for a category shall not be possible without witnessing at least one audit in the cluster. Priority shall be given to a higher risk sector in assuring safe food. Witnessing is not mandatory for extension to a category within the cluster. Audits from all clusteres shall be witnessed during one accreditation cycle. During each witnessing (surveillance, re-assessment) of the certification body, the audit in the cluster 2 shall be witnessed. Witnessing of categories in other clusteres shall be planned so as to witness at least one category in each cluster within the context of accreditation cycle. At least one witnessing in the accreditation cycle shall cover witnessing of audit level 1 and 2. The above-mentioned shall be the minimum requirements that SA will adapt to the specific situation in individual certification body. 3.2.2 Certification body operating certification of products/processes/services The initial assessment and the re-assessment of individual scheme of a certification body for products/processes/services shall involve the witnessing of a representative part of the audits/inspections of those products, services and processes which are more critical in terms of protection of health of humans and animals, protection of nature and protection of property, or at least two audits/inspections at the manufacturers. In certification bodies for organic production and processing, at least one witnessing shall be performed in the context of initial assessment in each category of products applied for. Additional factors contributing to the definition of the number of witnessings are the criticality of findings and the number of countries in which the certification body is operating, and the number of certificates granted. At least one inspection shall be witnessed in each category of products within one accreditation cycle. One witnessing shall be added per each 10 countries in the EU, in which the certification is active. The inspections in relation with which the certification body assesses higher risk shall be chosen for witnessing; witnessing shall be carried out during the time when the crops are at the site of inspection, and different inspectors shall be witnessed at work. The results of previous witnessings shall be taken into account when making the selection. In the case of extensions to other categories of products, at least one inspection in each new category shall be witnessed (EA-3/12 M). 3.2.3 Certification body operating certification of persons The initial assessment and the re-assessment of a certification body for persons shall involve the witnessing of a representative number of procedures for individual groups, methods, levels of competence of persons, or at least two certification procedures for persons. The site of performing the certification procedure shall also be considered when making the selection. Revision 7 Effective as of: 31. 3. 2014 Page 13 of 15
Regular surveillance shall involve the witnessing of at least one audit in the context of individual certification scheme. Witnessing of audits during the surveillance visits shall be carried out according to a programme prepared by the Sector Manager together with the assessors after the conclusion of the initial assessment. It shall be provided for that each group of activities, products, services, processes, and each group of persons from the scope of accreditation has been witnessed between two reassessments, and that the supervising activity has been witnessed at least once during this time. A multi-site organisation shall be taken into consideration when planning. The assessor team shall define, for each surveillance, which field from a group of activities, or which auditor they want to witness, all by taking into account the diversity of activities and auditors. If possible, the witnessing of audits should be carried out during the assessment at the certification body's head office, if not, between two surveillance visits. The share of certificates issued abroad shall also be considered in planning the witnessing of all certification bodies. 4 RECORDS Each assessor shall note his/her records about the assessment carried out on the assessment checklists (forms OB05-53/OB05-78 for certification bodies for products; form OB05-60 for certification bodies for persons; form OB05-58 certification bodies for management systems) such that it is clear what is the scope and which is the assessment method of single system elements against the requirements of relevant standards and guides for certification bodies, as well as any possible general findings and specific comments, and references to the nonconformities found. The precise defining of field (e.g. activity, group of persons, product certification scheme) shall be of particular importance for the vertical audits carried out. A mandatory supplement to the technical assessor s assessment checklist is also the form OB05-43, Report of witnessing of audit. The report shall be prepared separately for each procedure witnessed. 5 CHANGES WITH REGARD TO PREVIOUS REVISION In sub-clause 3.2, further detailed instructions for planning the witnessed audits have been added; furthermore, groups of activities for each individual system management certification scheme have been determined with the purpose of ensuring coverage of the scope of accreditation within the assessment period s by the witnessed audits. In the instructions for assessment of certification bodies for certification of personnel, principles have been added for the case where a certification body itself performs testing, calibration or inspection for the needs of certification. The changes are visible in the text. 6 TRANSITORY PROVISIONS 7 CONTROL OF THE DOCUMENT A valid document shall be kept in i4 (SA Information System). A clean copy shall be published on SA's Website; a copy on paper format shall be accessible at the SA registered office. Revision 7 Effective as of: 31. 3. 2014 Page 14 of 15
Printouts and copies of the document shall have an informative character and are not controlled copies. The validity of these documents shall be checked in i4. Revision 7 Effective as of: 31. 3. 2014 Page 15 of 15