Accredited Management System Process: The Rules for Every Certification We Issue

Accredited Management System Process

1. Scope

   The current Accredited Management System Process defines the rules applied to the certification and registration of management systems, operated by organizations for every industrial & service sector. The general term Management System will be used.

2. Definitions

   The definition of the terms used in the current document complies with the Integrated Management Systems - Fundamentals and vocabulary.
   Furthermore, the following definitions apply:

   • Applicant: An organization seeking certification and registration of its management system by Accredify Global LLC.
   • Organization: Under the current Process, the term Organization is used to designate an organization as in the ISO Standard (organization: group of people and facilities with arrangement of responsibilities, authorities and relationship).
   • Certified/Registered Organization: Organization of which Accredify Global LLC has certified the management system.
   • Accredify Global: Accredify Global LLC.
   • AB: Accreditation Board.
   • IAF: International Accreditation Forum.
3. Reference

   The certification process applied is based upon a demonstrated compliance with the requirements of the latest version of ISO series of standard for management systems certification - requirements.

4. General Rules
   • The current Accredited Management System Process is applied by AG for certification of management systems complying with the standards and normative documents listed in the Reference section.
   • Any organization seeking certification and registration of its management system by AG must abide by the Accredited Management System Process in force at the time the certification contract is concluded.
   • When the Accredited Management System Process is revised, the organizations concerned may choose either to adopt the revised version or the one already applicable to them. This option is available until the next renewal audit.
   • The specific conditions defined in the certification contracts may not alter nor modify the requirements of the current Accredited Management System Process.
   • The organization needs to sign the AG Certification Agreement & Rules by which the client agrees to the requirement and provides legal acceptance.
5. Certificate Characteristics
   • Scope: The AG management system certificate attests that the management system implemented by a Certified Organization complies with the requirements of the reference standard.
   • Period of Validity: The AG certificate is valid for a period of three years from the date of issue, subject to successful completion of surveillance audits. The period may be adapted taking account of the limits of the period of validity of the reference normative document. At the end of the said period, AG automatically applies a new procedure as defined in the Renewal section of the current Accredited Management System Process.
   • Conditions of Validity: The validity of an AG certificate is maintained provided that the Certified Organization concerned continuously complies with the following requirements:
     • The certified management system is continuously maintained.
     • A controlled and updated copy of the management system manual and/or procedures is maintained at the organization's site for review by AG. The manual will be made available to AG upon request.
     • Any significant modification to the management system is communicated to AG within one week from its occurrence (see also Certification Modification under Specific Cases).
     • Examples:
       • Replacement/change of the Management Representative.
       • Addition of a new production line/site.
       • Stop or reduction of existing activities.
       • Significant increase or decrease of the number of employees.
       • Change of the organization's name or address.
       • New organization.
       • Bankruptcy.
     • Any complaint raised by a third party about the quality of products or services covered by the certified management system is recorded and presented to AG auditors upon request.
     • The frequency of the surveillance audits is maximum 12 months to keep a valid certification. In case of multi-site certification, a yearly surveillance audit is not systematically required at all sites.
     • AG may carry out unscheduled audits at any time (see Short-Notice Audits under Specific Cases).
     • During certification, surveillance, and renewal audits, certified organizations accept, if the case arises, the presence of representatives of the accreditation bodies.
     • All financial obligations with regard to AG are satisfied.
6. Certification Application
   • Any organization interested in the certification of its management system may apply to AG.
   • AG will supply the interested organization with an application form. The organization completes the questionnaire with appropriate information about its organizational structure, activity, products or services to be covered by the management system to be certified, etc.
   • As soon as the necessary information has been collected and reviewed, AG will propose the certification conditions, which are finalized in a quotation. These conditions will define at least:
     • The applicable certification model (ISO series of standards).
     • The applicant's entities concerned.
     • The activities, products, or services concerned.
     • The audit time based on the IAF guidelines and the applicable certification model.
   • At the applicant's request, the certification process may include a pre-audit of the management system to be certified. Pre-audit man-days shall not exceed certification audit man-days. AG cannot carry out more than one pre-audit of the management system to be certified.
   • Upon agreement, the applicant will fill in and sign the relevant order form, part of the AG quotation.
   • The relevant order form must be returned to AG, possibly attached to a standard order. The provisions of the purchase order will not be contrary to the requirements of the AG order forms nor the current Accredited Management System Process.
7. Certification Process
   1. Application Review

      AG reviews all orders received and provides feedback on the audit schedule. Before launching the certification process, AG will communicate the names of the assigned auditors to the applicant. The applicant may refuse the participation of an audit team member, provided such refusal is made in writing and not less than one week before the beginning of the certification audit. AG will inform the applicant of auditor change in writing. Since AG Accredited Management System Process is part of the terms and conditions accepted by the management of the organization, the Certification Agreement & Rules becomes a legally enforceable agreement between AG and the client. All disputes are subject to Frisco, TX, USA jurisdiction.

   2. Stage 1 Audit

      A member of the audit team reviews system documentation (usually the integrated management system manual supported by organizational procedures) before or during the site visit. The Stage 1 site visit is conducted on-site to verify the following:

      • During Stage 1, arrangements shall be made accordingly.
      • Identifying dates, site locations, and site-specific conditions.
      • Collecting necessary information regarding the scope of the management system, areas, processes, compliance to related statutory and regulatory aspects, and responsible persons to be audited. Confirming that internal audits and management review have been planned and performed.
      • Gathering reasonable knowledge about the client's management system and site operations in order to plan the Stage 2 audit.
      • Review of client's status and understanding regarding requirements of the standard and readiness for Stage 2 audit.
      • Reviewing the allocation of resources for Stage 2 audit and making the client aware of Stage 2 requirements.
      • If during Stage 1 the auditor finds information provided by the client before quote submission is incorrect, the auditor shall immediately inform administration/certification manager/assessment manager. The certification manager shall ensure the quote is reviewed and contract review is updated to address changes.
      • After completion of Stage 1, the lead auditor shall send the Stage 1 audit report together with the Stage 2 audit schedule to the organization. The minimum time gap between Stage 1 and Stage 2 is normally one week but can be reduced.
      • In case of any major area of concern during Stage 1, the lead auditor can postpone Stage 2 (not over 60 days) so the organization gets time for improvements. After 60 days, the certification manager decides whether Stage 1 must be carried out again.
   3. Stage 2 Audit

      The audit process commences with an opening meeting involving the applicant's management and the auditors. During this meeting, participants introduce themselves and details of the audit program are defined.
      The audit usually begins with an interview of top management. During the certification audit, appointed auditors conduct a process-approach audit and verify that the management system described in the manual and supporting procedures is effectively implemented and compliant with requirements of the reference normative document. Personnel involved in the management system are interviewed and relevant management reports are analyzed. All levels of responsibility are involved and the audit is conducted on the applicant's premises and other premises relevant to the agreed scope.
      For the duration of the audit, an office with sufficient seating and desks is allocated to the audit team for meetings.
      It ends with a closing meeting with the applicant's management and auditors. During the closing meeting, auditors present findings and issue corrective action requests (CARs) for any nonconformity disclosed.
      If this is the case, the applicant responds to CARs by providing position and proposed completion date for each accepted CAR. These responses are sent to AG as early as possible, and in any event no later than two weeks after the end of the audit.
      The lead auditor informs the organization about the overall conclusion of the audit team and further development of the certification process.
      A post-audit may be requested in case of disclosed major nonconformities. A complete re-audit will be requested in case of:

      • High number of major nonconformities or total breakdown of system.
      • High number of customer complaints and no clear evidence of action taken toward customer satisfaction.
   4. Stage 2 Audit Report

      Following the audit, a confidential report is established including a brief description of the applicant and products/services covered by the management system, the CARs on disclosed nonconformities, the applicant's responses to CARs, and recommendation of the audit team.
      Generally, the report will be sent to the applicant after certification is granted along with accepted CAR responses submitted to AG.

   5. Certification Decision

      The Certification Committee reviews audit files and decides on certification. The decision is final and communicated within two working days.

   6. Registration & Publication

      AG's Certification Committee reviews the certification file for decision.
      The committee is composed of Managing Director and Lead Auditor with veto rights. The Lead Auditor is a Lead Auditor having long experience and high esteem in the work field.
      If necessary, concerned lead auditors are heard too. In each case, the Certification Committee decides either to grant certificate and under what conditions, or to refuse certification and for what reasons.
      The decision of the Certification Committee is communicated to the applicant within two working days.
      When granted, the effective date of issuance of the certificate is the date of the committee meeting. The certificate is valid for maximum 3 years, subject to successful completion of surveillance audits.

   7. Registration and Publication

      After a positive decision for certification, AG issues certificate identifying the following:

      • The reference standard.
      • Name and address of the certificate holder.
      • The scope of the certified activity.
      • The registration number of the certificate.
      • AG certification body logo and address.
      • The logo of the Accreditation Board.
      • The name and signature of the Managing Director.
      • The effective date of certification (the date when certification decision has been taken).
      • The validity period of the certificate (maximum 3 years from certification decision date), subject to successful completion of surveillance audits.
   8. Certification Surveillance

      The maintenance program consists of a sequence of surveillance audits on-site. There shall be not more than 12 months between two audits, starting from the previous renewal or initial certification audit.
      During a surveillance audit, elements defined at the certification audit have to be re-verified. These elements are spread over several surveillance audits so all relevant items are covered within the maintenance program. The maintenance program includes at least:

      • Internal audits and management review.
      • Review of actions taken on nonconformities identified during previous audits.
      • Treatment of complaints and effectiveness of the management system to achieve organization's objectives.
      • Progress of planned activities aimed at continual improvement.
      • Continual operational control.
      • Review of any changes.
      • Use of marks or references to certification.
      • The surveillance audit report and auditor recommendation are submitted to Certification Committee for further decision in the following cases:
        • Disclosure of major nonconformities or unreasonable accumulation of minor nonconformities.
        • Any other reason for suspension of certificate.
        • Request for modification of current certificate.
   9. Renewal

      Three months before end of the validity period of a given certificate, AG issues a proposal for renewal. The renewal process is comparable to original certification. However:

      • The program takes account of knowledge gained of the management system to reassess.
      • The Accredited Management System Process in force at the date of renewal proposal is applicable.

      The renewal audit on-site is conducted like the initial certification Stage 2 audit and also addresses the following:

      • Effectiveness of the entire management system despite internal and external changes.
      • Continued relevance of the scope of certification.
      • Commitment to maintain and improve effectiveness of the management system.
      • Achievement of the organization's policy and objectives.
8. Specific Cases

   In addition to the standard certification program described above, special cases can also be accommodated. The most common examples are detailed below.

   • Certification Modification: A Certified Organization may request to modify elements on its current certificate (see also Conditions of Validity). This request may involve modified, additional or excluded processes, products, services, activities, locations or organization. In such a case, a specific program is developed taking account of the nature of the request. In general, the program is limited to the certified organization's concerned entities.
     Where the modification is accepted, the initial certificate is adapted to the new situation or replaced by a new certificate with new conditions. The certification surveillance program will be modified accordingly.
   • Multi-site Certification: Upon request, AG organizes certification of several sites belonging to the same organization. In such case, a single or several certificates are issued by AG.
   • Short-Notice Audits: AG may request an audit on short-term notice at any time to verify handling of customer complaints, important modifications within the organization, or any reason leading to withdrawal or suspension of the certificate. In case of short notice audit because of customer complaint, the audit team is not allowed to disclose the complainant name.
     AG will communicate the name of the appointed auditor. The organization may refuse the appointed auditor and request once for a substitute. After the audit, the auditor reports about investigation results and makes recommendation to the Certification Committee for further decision.
9. Use of Certificate & Logo

   The Certified Organization needs to follow guidelines for Rules for Logo Use (Annex 4) after issuance of certificate by AG.

10. Certificate Suspension

    A certificate may be suspended by AG only in the following cases:

    • Continued misuse of logos.
    • Failure to apply corrective action as a result of discrepancies found at audit or surveillance visits.
    • Any other breach of AG's Certification Agreement & Rules (AG-F-04).
    • Non-payment of audit fee as agreed.
11. Certificate Withdrawal

    A certificate may be withdrawn by AG only in the following cases:

    • Failure to respond to requests made by AG after suspension of certificate.
    • Failure of a client to settle a financial account.
    • The client's request.

    Following either suspension or withdrawal of a certificate, the client will discontinue its use, return the original to AG, and discontinue claiming accredited management system registration.
    A withdrawal is notified to the Certified Organization concerned by registered mail.

12. Complaints & Appeals

    The client may lodge any appeal or complaint via www.accredifyglobal.com.

13. Confidentiality

    Complete personnel of AG, including external personnel if any, committee members, and all empaneled auditors having any relationship with AG certification activities are bound by legally enforceable agreement committed to safeguarding confidentiality of information obtained or created during certification activities.
    AG has taken necessary measures to restrict access to client records, documents, and information in general.
    With exception of situations described hereunder, no other information concerning clients shall be disclosed to third parties without written consent of the client representative.
    Clients are informed about information AG is requested by accreditation rules to disclose and under which conditions:

    • Information about certificates granted, suspended, or withdrawn is accessible to the public on request from any party. Valid certifications shall show name, reference standard, scope, city, and country of each certified client.
    • Where AG is required by law to release confidential information to a third party, and unless regulated by law, the concerned client representative shall be notified of provided information.
    • When confidential information is required by and made available to the Accreditation Body or members of the Impartiality Committee, AG shall inform concerned clients about this action.
14. Impartiality

    AG top management understands importance of impartiality of its mission and manages conflicts of interest to ensure complete objectivity when carrying out certification activities. For these reasons, AG, including management and internal/external personnel, shall:

    • Not certify other certification bodies for IMS.
    • Not carry out any IMS consultancy or internal audits.
    • Not have any relationship or linked activities with IMS consultancy organizations.
    • Not utilize personnel involved with consultancy activities or internal audits over the last 2 years for certification activities at the same client.
    • Not utilize personnel for certification activities on clients having commercial, financial, or other pressures to compromise impartiality.
    • Not accept finances or sources of income that could compromise impartiality.
    • Not outsource audits or certification activities to any IMS consultancy organization, but may offer audits to individual contracted external auditors or technical experts.
    • Not act contrary to declaration of impartiality agreed and signed by each individual member of AG.

    If any person, body, or organization actions threaten AG impartiality, AG shall initiate legal action against that person, body, or organization.

15. Certification Fees

    Certification fees include standard fees and specific fees. Standard certification fees fixed by AG are defined in quotation format.
    Specific fees are defined for each particular case and based upon the same principles as fees for standard certification services.

16. Reference Standards Changes

    When a revised reference standard or normative document is published, a transition period is defined in compliance with criteria defined by competent authorities in the matter: ISO and IAF. During this period, applicants and certified organizations have the choice between previous or revised version of the normative document. Beyond this period, latest edition applies only. Nonconformities against new version will first be noted as remarks and will be written as corrective action requests only after transition period.

17. Accreditation Board

    At any time of certification cycle, the Accreditation Board auditor may accompany AG audit team for evaluation of AG auditors. Also, Accreditation Board auditors may visit personally without AG representative; in both cases, organization is liable to allow them to audit their system and verify documents related to management system under prior and timely information.

18. Directory of Certified Clients

    AG maintains a directory for certified clients on its website having details about certified, suspended, and withdrawn clients.

19. Public Information

    AG shall maintain (through publications, electronic media, or other means), and make public without request in all geographical areas in which it operates, information about:

    • Audit processes.
    • Processes for granting, refusing, maintaining, renewing, suspending, restoring, or withdrawing certification, or expanding/reducing scope of certification.
    • Types of management systems and certification schemes in which it operates.
    • The use of the certification body's name and certification mark or logo.
    • Processes for handling requests for information, complaints, and appeals.
    • Policy on impartiality.

    AG shall provide upon request information about:

    • Geographical areas in which it operates.
    • The status of a given certification.
    • The name, related normative document, scope, and geographical location (city and country) for a specific certified client.

    Note 1: In exceptional cases, access to certain information can be limited on the request of the client (e.g., for security reasons).

    Note 2: AG can also make the information public by any means it chooses without request, for example on its website.

    Information provided by AG to any client or to the marketplace, including advertising, shall be accurate and not misleading.