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MSASF34 Assessment Checklist for ISO 50003 2014
PAB checklist for ISO 50003 2014
Your Browser Doesn't Support Canvas. Showing the Text Content of the PDF Instead: Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
Effectivity Date
Page
MSA/SF34
01
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September 2018
1 of 87
Conformity assessment – Requirement for bodies providing audit and certification of
environmental management systems
Legend: C – Complies, O – Observation, T – To Address at Audit, N – Nonconformity, N/A – Not
Applicable
Clause Requirement
5 General requirements
5.1 Legal and contractual matters
5.1.1 Legal responsibility
Is the certification body a legal entity, or a defined part of a legal entity, such that it can be held legally
responsible for all its certification activities?
(A governmental certification body is deemed to be a legal entity on the basis of its governmental
status.)
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.1.2 Certification agreement
Does the certification body have a legally enforceable agreement with its client for the provision of
certification service in accordance with the relevant requirements of this part of ISO/IEC 17021?
In addition, where there are multiple offices of a certification body or multiple sites of a client, does the
certification body ensure there is a legally enforceable agreement between the certification body
granting certification and issuing a certificate, and all the sites covered by the scope of the
certification?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.1.3 Responsibility for certification decisions
Is the certification body responsible for, and does it retain authority for, its decisions relating to
certification, including the granting, refusing, maintaining of certification, expanding or reducing the
scope of certification, renewing, suspending or restoring following suspension, or withdrawing of
certification?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5. 2 Management of impartiality
5.2.1 Does your certification body undertake conformity assessment activities impartially?
Is your certification body responsible for the impartiality of its conformity assessment activities?
Does your certification body allow commercial, financial or other pressures to compromise impartiality?
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
Effectivity Date
Page
MSA/SF34
01
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September 2018
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Clause Requirement
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2.2 Does your certification body have top management commitment to impartiality in management
system certification activities?
Does your certification body have a policy that it understands the importance of impartiality in carrying
out its management system certification activities, manages conflict of interest and ensures objectivity
of its management system certification activities?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2.3 Does your certification body have a process to identify, analyse, evaluate, treat, monitor, and
documented the risks related to conflicts arising from its relationships on an ongoing basis?
Where there are any threats to impartiality, does your certification body document and demonstrate
how to eliminate or minimize such threats and document any residual risk?
Does the demonstration cover all potential threats that are identified, whether they arise from within
the certification body or from the activities of other persons, bodies or organizations?
Does the top management review any residual risk to determine if it is within the level of acceptable
risk?
Does the risk assessment process include identification of and consultation with appropriate interested
parties advising on matters affecting impartiality including openness and public perception?
*Sources of threats to impartiality of the certification body can be based on ownership, governance,
management, personnel, shared resources, finances, contracts, training, marketing and payment of a
sales commission or other inducement for the referral of new clients, etc.
** Interested parties can include personnel and clients of the certification body, customers of
organizations whose management systems are certified, representatives of industry trade
associations, representatives of governmental regulatory bodies or other governmental services, or
representatives of non-governmental organizations, including consumer organizations.
*** One way of fulfilling the consultation requirement of this clause is by the use of a committee of
these interested parties.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2.4 Does your certification body certify another certification body for its management system
certification activities?
*See Note to Clause 5.2.2
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
Effectivity Date
Page
MSA/SF34
01
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September 2018
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Clause Requirement
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2.5 Does your certification body and any part of the same legal entity and any entity under the
organizational control of the certification body offer or provide management system consultancy? This
also applies to that part of government identified as the certification body.
* This does not preclude the possibility of exchange of information (e.g. explanation of findings or
clarification of requirements) between the certification body and its clients.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2.6 Does the carrying out of internal audits by the certification body and any part of the same legal
entity to its certified clients is a significant threat to impartiality?
Does your certification body and any part of the same legal entity and any entity under the
organizational control of the certification body offer of provide internal audits to your certified clients?
*See Note 1 to Clause 5.2.3
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2.7 Where a client has received management system consultancy from a body that has a
relationship with a certification body, this is a significant threat to impartiality.
Does your certification body certify the management system for a minimum of two years following the
end of the consultancy?
*See Note 1 to Clause 5.2.3
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2.8 Does your certification body outsource audits to a management system consultancy
organization, as this poses and unacceptable threat to the impartiality of the certification body (see
Clause 7.5)?
*This does not apply to individuals contracted as auditors covered in Clause 7.3.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
Effectivity Date
Page
MSA/SF34
01
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September 2018
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Clause Requirement
Findings/Comments: (To be filled-up by the AB)
5.2.9 Are the certification body’s activities marketed or offered as linked with the activities of an
organization that provides management system consultancy?
Does your certification body take action to correct inappropriate links or statements by any
consultancy organization stating or implying that certification would be simpler, easier, faster, or less
expensive if the certification body were used?
Does your certification body not state or imply that certification would be simpler, easier, faster or less
expensive if a specified consultancy organization were used?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2.10 Does your certification body use personnel (who have provided management system
consultancy, including those acting in a managerial capacity) to take part in an audit or other
certification activities if they have been involved in management system consultancy towards the client
in question within two years following the end of the consultancy?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2.11 Does your certification body take action to respond to any threats to its impartiality arising from
the actions of other persons, bodies or organizations?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2.12 Do all certification body personnel, either internal or external, or committees, who could
influence the certification activities, act impartially and do not allow commercial, financial or other
pressures to compromise impartiality?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
Effectivity Date
Page
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Clause Requirement
5.2.13 Does your certification body require personnel, internal and external, to reveal any situation
known to them that may present them or the certification body with a conflict of interests?
Does your certification body record and use this information as input to identifying threats to
impartiality raised by the activities of such personnel or by the organizations that employ them?
Does your certification body use such personnel, internal or external, unless they can demonstrate
that there is no conflict of interest?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.3 Liability and financing
5.3.1 Can your certification body demonstrate that it has evaluated the risks arising from its
certification activities and that it has adequate arrangements (e.g. insurance or reserves) to cover
liabilities arising from its operations in each of its fields of activities and the geographic areas in which
it operates?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.3.2 Has your certification body evaluated its finances and sources of income and demonstrated to
the committee specified in Clause 6.2 that initially, and on an ongoing basis, commercial, financial or
other pressures do not compromise its impartiality?
Do the requirements of multi-site sampling as defined in Annex B are followed?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
6 Structural requirements
6.1 Organizational structure and top management
6.1.1 Has the certification body documented its organizational structure, showing duties,
responsibilities and authorities of management and other certification personnel and any committees?
When the certification body is a defined part of a legal entity, does the structure include the line of
authority and the relationship to other parts within the same legal entity?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
6.1.2 Are the certification activities structured and managed so as to safeguard impartiality?
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
Effectivity Date
Page
MSA/SF34
01
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Clause Requirement
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
6.1.3 Has the certification body identified the top management (board, group of persons, or person)
having overall authority and responsibility for each of the following:
a) development of policies and establishment of processes and procedures relating to its operations;
b) supervision of the implementation of the policies and procedures;
c) ensuring impartiality;
d) supervision of the finances of the body;
e) development of management system certification services and schemes;
f) performance of audits and certification, and responsiveness to complaints;
g) decisions on certification;
h) delegation of authority to committees or individuals, as required, to undertake defined activities on
its behalf;
i) contractual arrangements;
j) provision of adequate resources for certification activities?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
6.1.4 Does the certification body have formal rules for the appointment, terms of reference and
operation of any committees involved in the certification activities?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
6.2 Operational Control
6.2.1 Does the certification body have a process for the effective control of certification activities
delivered by branch offices, partnerships, agents, franchisees, etc. irrespective of their legal status,
relationship or geographical location?
Have the certification body considered the risk that these activities pose to the competence,
consistency and impartiality of the certification body?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
Effectivity Date
Page
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Clause Requirement
6.2.2 Has the certification body considered the appropriate level and method of control of activities
undertaken including its processes, technical areas of certification bodies’ operations, competence of
personnel, lines of management control, reporting and remote access to operations including records?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7 Resource Requirements
7.1 Competence of personnel
7.1.1 General considerations
Does the certification body have processes to ensure that personnel have appropriate knowledge
relevant to the certification standard and geographic areas in which it operates?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.1.2 Determination of competence criteria
Does the certification body have a documented process for determining the competence criteria for
personnel involved in the management and performance of audits and certification activities?
Are competence criteria determined with regard to the requirements of the certification standard for
each technical area, and for each function in the certification process?
Is the output of the process the documented criteria of required knowledge and skills necessary to
effectively perform audit and certification tasks to be fulfilled to achieve the intended results?
Does Annex A specifies the knowledge and skills that a certification body define for specific functions?
* The term “technical areas” is applied differently on the management system standard being
considered. For any management system, the term is related to products, processes and services in
the context of the scope of the management system standard. The technical area can be defined by a
specific certification scheme (e.g. ISO/TS 22003) or can be determined by the certification body. It is
used to cover a number of other terms such as “scopes”, “categories”, “sectors”, etc, which are
traditionally used in different management system disciplines.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
Effectivity Date
Page
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Clause Requirement
7.1.3 Evaluation processes
7.1.3 Does the certification body have documented processes for the initial competence evaluation,
and on-going monitoring of competence and performance of all personnel involved in the management
and performance of audits and certification, applying the determined competence criteria?
Does the certification body able to demonstrate that its evaluation methods are effective?
Does the output from these processes identify personnel who have demonstrated the level of
competence required for the different functions of the audit and certification process?
* A number of evaluation methods that can be used to evaluate knowledge and skills are described in
Annex B.
** Annex C of ISO/IEC 17021-1:2015 shows an example of process flow for determining and
maintaining competence.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.1.4 Other considerations
Does the certification body have access to the necessary technical expertise for advice on matters
directly relating to certification for technical areas, types of management system and geographic areas
in which the certification body operates?
Are such advice provided externally or by certification body personnel?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.2 Personnel involved in the certification activities
7.2.1 Does the certification body have sufficient, competent personnel for managing and supporting
the type and range of audit programmes and other certification work performed?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.2.2 Does the certification body employ, or have access to, a sufficient number of auditors, including
audit team leaders, and technical experts to cover all of its activities and to handle the volume of audit
work performed?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
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Issue Number
Revision Number
Effectivity Date
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Clause Requirement
7.2.3 Does the certification body make clear to each person concerned their duties, responsibilities
and authorities?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.2.4 Does the certification body have processes for selecting, training, formally authorizing auditors
and for selecting technical experts used in the certification activity?
Does the initial competence evaluation of an auditor include ability to apply required knowledge and
skills during audits, as determined by a competent evaluator observing the auditor conducting an
audit?
* During the selection and training process described above desired personal behaviours can be
considered. These are characteristics that affect an individual's ability to perform specific functions.
Therefore, knowledge about the behaviours of individuals enables a certification body to take
advantage of their strengths and to minimize the impact of their weaknesses.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.2.5 Does the certification body have a process to achieve and demonstrate effective auditing,
including the use of auditors and audit team leaders possessing generic auditing skills and knowledge,
as well as skills and knowledge appropriate for auditing in specific technical areas?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.2.6 Does the certification body ensure that auditors (and, where needed, technical experts) are
knowledgeable of its audit processes, certification requirements and other relevant requirements?
Does the certification body 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?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.2.7 Does the certification body identify training needs and offer or provide access to specific training
to ensure its auditors, technical experts and other personnel involved in certification activities are
competent for the functions they perform?
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
Effectivity Date
Page
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Clause Requirement
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.2.8 Does the group or individual that takes the decision on granting, refusing, maintaining, renewing,
suspending, restoring or withdrawing certification, or on expanding or reducing the scope of
certification, understand the applicable standard and certification requirements, and have
demonstrated competence to evaluate the audit processes and related recommendations of the audit
team?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.2.9 Does the certification body ensure the satisfactory performance of all personnel involved in the
audit and certification activities?
Are there documented process for monitoring competence and performance of all persons involved,
based on the frequency of their usage and the level of risk linked to their activities?
Does the certification body review the competence of its personnel in the light of their performance in
order to identify training needs?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.2.10 Does the certification body monitor each auditor considering each type of management system
to which the auditor is deemed competent?
Do the documented monitoring procedures for auditors include combination of on-site observation,
review of audit reports and feedback from clients or from the market?
Is the monitoring designed in such a way as to minimize disturbance to the normal processes of
certification, especially from the client's viewpoint?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.2.11 Does the certification body periodically observe the performance of each auditor on-site?
Is the frequency of on-site observations based on the need determined from all monitoring information
available?
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
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Issue Number
Revision Number
Effectivity Date
Page
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Clause Requirement
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.3 Use of individual external auditors and external technical experts
Does the certification body require external auditors and external technical experts to have a written
agreement by which they commit themselves to comply with applicable policies and procedures as
defined by the certification body?
Does the agreement address aspects relating to confidentiality and impartiality and shall require the
external auditors and external technical experts to notify the certification body of any existing or prior
relationship with any organization they may be assigned to audit?
*Use of an individual or employee of another organization individually contracted to serve as an
external auditor or technical expert does not constitute outsourcing.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.4 Personnel records
Does the certification body maintain up-to-date personnel records, including relevant qualifications,
training, experience, affiliations, professional status and competence?
Does the record include management and administrative personnel in addition to those performing
certification activities?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.5 Outsourcing
7.5.1 Does the certification body have a process in which it describes the conditions under which
outsourcing (which is subcontracting to another organization to provide part of the certification
activities on behalf of the certification body) may take place?
Does the certification body have a legally enforceable agreement covering the arrangements,
including confidentiality and conflict of interests, with each body that provides outsourced services?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.5.2 Are decisions for granting, refusing maintaining of certification, expanding or reducing the scope
of certification, renewing, suspending or restoring, or withdrawing of certification are not outsourced?
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
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Clause Requirement
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.5.3 Does the certification body:
a) take responsibility for all activities outsourced to another body,
b) ensure that the body that provides outsourced services, and the individuals that it uses, conform to
requirements of the certification body and also to the applicable provisions of this part of ISO/IEC
17021, including competence, impartiality and confidentiality, and
c) ensure that the body that provides outsourced services, and the individuals that it uses, are not
involved, either directly or through any other employer, with an organization to be audited, in such
a way that impartiality could be compromised?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
7.5.4 Does the certification body have a process for the approval and monitoring of all bodies that
provide outsourced services used for certification activities?
Does the certification body ensure that records of the competence of all personnel involved in
certification activities are maintained?
*For Clauses 7.5.1 to 7.5.4, where the certification body engages individuals or employees of other
organizations to provide additional resources or expertise, these individuals do not constitute
outsourcing provided they are individually contracted to operate under the certification body’s
management system (see Clause 7.3)
**For Clauses 7.5.1 to 7.5.4, the terms “outsourcing” and “subcontracting” are considered to be
synonyms.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8 Information requirements
8.1 Public information
8.1.1 Does your certification body maintain (through publications, electronic media or other means),
and make public, without request, in all the geographical areas in which it operates, information about
a) audit processes;
b) processes for granting, refusing, maintaining, renewing, suspending, restoring or withdrawing
certification or expanding or reducing the scope of certification;
c) type of management systems and certification schemes in which it operates;
d) the use of the certification body’s name and certification mark or logo;
e) processes for handling requests for information, complaints and appeals; and
f) policy on impartiality?
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
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Clause Requirement
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.1.2 Does the certification body provide upon request about:
a) geographical areas in which it operates;
b) the status of a given certification; and
c) the name, related normative document, scope and geographical location (city and country) for a
specific certified client?
*In exceptional cases, access to certain information can be limited on the request of the client (e.g. for
security reasons).
** The certification body can also make the information in Clause 8.1.2 public by any means it chooses
without request, e.g. on its internet website.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.1.3 Is information provided by the certification body to any client or to the marketplace, including
advertising, accurate and not misleading?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.2 Certification documents
8.2.1 Does your certification body provide by any means it chooses certification documents to the
certified client?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
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Clause Requirement
8.2.2 Do the certification document(s) identify the following:
a) the name and geographic location of each client whose management system is certified (or the
geographic location of the headquarters and any sites within the scope of a multi-site certification);
b) the effective date of granting, extending or renewing certification which shall not be before the date
of the relevant certification decision;
*The certification body can keep the original certification date on the certificate when a certificate
lapses for a period of time provided that:
- the current certification cycle start and expiry date are clearly indicated;
- the last certification cycle expiry date be indicated along with the date of recertification audit
c) the expiry date or recertification due date consistent with the recertification cycle;
d) a unique identification code;
e) the management system standard and/or other normative document, including issue status (e.g.
revision date or number) used for audit of the certified client;
f) the scope of certification with respect to the type of activities, products and services as applicable
at each site without being misleading or ambiguous;
g) the name, address and certification mark of the certification body; other marks (e.g. accreditation
symbol) may be used provided they are not misleading or ambiguous;
h) any other information required by the standard and/or other normative document used for
certification; and
i) in the event of issuing any revised certification documents, a means to distinguish the revised
documents from any prior obsolete documents?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.3 Reference to certification and use of marks
8.3.1 Does the certification body have rules governing any management systems’ third party mark that
it authorizes certified clients to use?
Do these rules ensure, among other things, traceability back to the certification body?
Is there no ambiguity, in the mark or accompanying text, as to what has been certified and which
certification body has granted the certification?
Is the mark not used on a product or product packaging seen by the consumer or in any other way that
may be interpreted as denoting product conformity?
*ISO/IEC 17030 provides additional information for use of third-party marks.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.3.2 Does your certification body not permit its marks to be applied to laboratory test, calibration or
inspection reports or certificates?
(Such reports are deemed to be products in this context.)
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.3.3 Does your certification body have rules governing the use of any statement on product
packaging or in accompanying information that the certified client has a certified management system?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.3.4 Does the certification body through legally enforceable arrangements require that the certified
client:
a) conforms to the requirements of the certification body when making reference to its certification
status in communication media such as the internet, brochures or advertising, or other documents;
b) does not make or permit any misleading statement regarding its certification;
c) does not use or permit the use of a certification document or any part thereof in a misleading
manner;
d) upon suspension or withdrawal of its certification, discontinues its use of all advertising matter that
contains a reference to certification, as directed by the certification body (see 9.6.5);
e) amends all advertising matter when the scope of certification has been reduced;
f) does not allow reference to its management system certification to be used in such a way as to
imply that the certification body certifies a product (including service) or process;
g) does not imply that the certification applies to activities that are outside the scope of certification;
and
h) does not use its certification in such a manner that would bring the certification body and/or
certification system into disrepute and lose public trust?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.3.5 Does the certification body exercise proper control of ownership and take action to deal with
incorrect references to certification status or misleading use of certification documents, marks or audit
reports?
*Such action could include requests for correction and corrective action, suspension, withdrawal of
certification, publication of the transgression and, if necessary, legal action.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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8.4 Confidentiality
8.4.1 Does the certification body, through legally enforceable agreements, have a policy and
arrangements to safeguard the confidentiality of the information obtained or created during the
performance of certification activities at all levels of its structure, including committees and external
bodies or individuals acting on its behalf?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.4.2 Does the certification body inform the client, in advance, of the information it intends to place in
the public domain?
Are all other information, except for information that is made publicly accessible by the client,
confidential?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.4.3 Except as required in this part of ISO/IEC 17021, is information about a particular client or
individual disclosed to a third party without the written consent of the client or individual concerned?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.4.4 Where the certification body is required by law or authorized by contractual arrangements (such
as with the accreditation body) to release confidential information, are the client or individual
concerned, unless prohibited by law, notified of the information provided?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.4.5 Is information about the client from sources other than the client (e.g. complainant, regulators)
treated as confidential, consistent with the certification body’s policy?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
8.4.6 Does personnel, including any committee members, contractors, personnel of external bodies or
individuals acting on the certification body's behalf, keep confidential all information obtained or
created during the performance of the certification body’s activities except as required by law?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.4.7 Does the certification body have processes and where applicable equipment and facilities that
ensure handling of confidential information?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.5 Information exchange between a certification body and its clients
8.5.1 Information on the certification activity and requirements
Does the certification body provide and update clients on the following:
a) a detailed description of the initial and continuing certification activity, including the application,
initial audits, surveillance audits, and the process for granting, maintaining, reducing, extending,
suspending, withdrawing certification;
b) the normative requirements for certification;
c) information about the fees for application, initial certification and continuing certification;
d) the certification body's requirements for prospective clients to:
1) comply with certification requirements,
2) make all necessary arrangements for the conduct of the audits, including provision for
examining documentation and the access to all processes and areas, records and personnel
for the purposes of initial certification, surveillance, recertification and resolution of complaints;
and
3) make provisions, where applicable, to accommodate the presence of observers (e.g.
accreditation assessors or trainee auditors);
e) documents describing the rights and duties of certified clients, including requirements, when
making reference to its certification in communication of any kind in line with the requirements in
Clause 8.3; and
f) information on procedures for handling complaints and appeals?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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8.5.2 Notice of changes by a certification body
Does the certification body give its certified clients due notice of any changes to its requirements for
certification?
Does your certification body verify that each certified client complies with the new requirements?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
8.5.3 Notice of changes by a client
Does the certification body have legally enforceable arrangements to ensure that the certified client
informs the certification body, without delay, of matters that may affect the capability of the
management system to continue to fulfil the requirements of the standard used for certification?
Do these include, for example, changes relating to:
a) the legal, commercial, organizational status or ownership;
b) organization and management (e.g. key managerial, decision-making or technical staff);
c) contact address and sites;
d) scope of operations under the certified management system; and
e) major changes to the management system and processes?
Does your certification body take action as appropriate?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9 Process requirements
9.1 Pre-certification activities
9.1.1 Application
Does your certification body require an authorized representative of the applicant organization to
provide the necessary information to enable it to establish the following:
a) the desired scope of the certification;
b) relevant details of the applicant organization as required by the specific certification scheme,
including its name and the address(es) of its site(s), its processes and operations, human and
technical resources, functions, relationships and any relevant legal obligations;
c) identification of outsourced processes used by the organization that will affect conformity to
requirements;
d) the standards or other requirements for which the applicant organization is seeking certification;
and
e) whether consultancy relating to the management system to be certified has been provided and, if
so, by whom?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
9.1.2 Application Review
9.1.2.1 Does your certification body conduct a review of the application and supplementary information
for certification to ensure that:
a) the information about the applicant organization and its management system is sufficient to
develop an audit programme (see Clause 9.1.3);
b) any known difference in understanding between the certification body and the application
organization is resolved;
c) the certification body has the competence and ability to perform the certification activity; and
d) the scope of certification sought the site(s) of the applicant organization’s operations, time required
to complete audits and any other points influencing the certification activity are taken into account
(language, safety conditions, threats to impartiality, etc.)?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.2.2 Following the review of the application, the certification body shall either accept or decline an
application for certification. When the certification body declines an application for certification as a
result of the review of application, are the reasons for declining an application documented and made
clear to the client?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.2.3 Based on this review, does your certification body determine the competences it needs to
include in its audit team and for the certification decision?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.3 Audit programme
9.1.3.1 Is an audit programme for the full certification cycle developed to clearly identify the audit
activity/activities required to demonstrate that the client’s management system fulfils the requirements
for certification to the selected standard(s) or other normative document(s)?
Does the audit programme for the certification cycle cover the complete management system
requirements?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.3.2 Does the audit programme include a two-stage initial audit, surveillance audits in the first and
second years following the certification decision, and a recertification audit in the third year prior to
expiration of certification?
Does the first three-year certification cycle begin with the certification or recertification decision?
Do subsequent cycles begin with the recertification decision (see Clause 9.6.3.2.3)?
Does the certification body consider the size of the client organization, the scope and complexity of its
management system, products and processes as well as demonstrated level of management system
effectiveness and the results of any previous audits when determining the audit programme and any
subsequent adjustments?
*Annex E of ISO/IEC 17021-1:2015 is a flowchart of a typical audit and certification process.
**The following list contains additional items that can be considered when developing or revising an
audit programme, they might also need to be addressed when determining the audit scope and
developing the audit plan:
- Complaints received by the certification body about the client;
- Combined integrated or joint audit;
- Changes to certification requirements;
- Changes to legal requirements;
- Changes to accreditation requirements;
- Organizational performance data (e.g. defect levels, key performance indicators data);
- Relevant interested parties’ concerns.
***If specified by the industry specific certification scheme, the certification cycle can be different from
three years.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.3.3 Are surveillance audits conducted at least once a calendar year, except in recertification
years?
Is the date of the first surveillance audit following initial certification not more than 12 months from the
certification decision date?
* It can be necessary to adjust the frequency of surveillance audits to accommodate factors such as
seasons or management systems certification of a limited duration (e.g. temporary construction site)
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.1.3.4 Where certification body is taking account of certification already granted to the client and to
audits performed by another certification body, does your certification body obtain and retain sufficient
evidence, such as reports and documentation on corrective actions, to any nonconformity?
Does the documentation support the fulfilling of the requirements in this part of ISO/IEC 17021?
Does your certification body, based on the information obtained, justify and record any adjustments to
the existing audit programme and follow up the implementation of corrective actions concerning
previous nonconformities?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.3.5 Where the client operates shifts, are the activities that take place during shift working
considered when developing the audit programme and audit plans?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.4 Determining audit time
9.1.4.1 Does your certification body have documented procedures for determining audit time?
Does your certification body determine the time needed to plan and accomplish a complete and
effective audit of the client’s?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.4.2 In determining the audit time, does the certification body consider, among other things, the
following aspects:
a) the requirement of the relevant standards;
b) complexity of the client and its management system;
c) technological and regulatory context;
d) Any outsourcing of any activities included in the scope of the;
e) results of any prior audits;
f) size and number of sites, their geographical locations and multi-site considerations;
g) the risks associated with the products, processes or activities of the organization;
h) when audits are combined, joint or integrated?
* Time spent travelling to and from audited sites is not included in the calculation of the duration of the
management system audit days.
** The certification body can use the guidance established in ISO/IEC TS 17023 for determining the
duration of management system audit when documenting these procedures.
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.4.3 Are the duration of the management system audit and its justification recorded?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.4.4 Does the time spent by any team member that is not assigned as an auditor (i.e. technical
experts, translators, interpreters, observers and auditor-in-training) not count in the above established
duration of the management system audit?
*The use of translators can necessitate additional audit time.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.5 Multi-site sampling
Where multi-site sampling is used for the audit of a client’s management system covering the same
activity in various geographical locations, does you certification body develop a sampling programme
to ensure proper audit of the management system?
Is rationale for the sampling plan documented for each client? Sampling is not allowed for some
specific certification schemes, and where specific criteria have been established for a specific
certification scheme, e.g. ISO/TS 22003, these shall be applied.
* Where there are multiple sites not covering the same activity sampling is not appropriate.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.1.6 Multiple management systems standards
When certification to multiple management system standards is being provided by the certification
body, does the planning for the audit ensure adequate on-site auditing to provide confidence in the
certification?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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9.2 Planning Audits
9.2.1 Determining Audit objectives scope and criteria
9.2.1.1 Are the audit objectives determined by your certification body?
Are the audit scope and criteria, including any changes, established by your certification body after
discussion with the client?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.1.2 Do the audit objectives describe what is to be accomplished by the audit and include the
following:
a) determination of the conformity of the client's management system, or parts of it, with audit criteria;
b) evaluation of the ability of the management system to ensure the client organization meets
applicable statutory, regulatory and contractual requirements;
* A management system certification audit is not a legal compliance audit.
c) Determination of the effectiveness of the management system to ensure the client can reasonably
expect to achieving its specified objectives; and
d) as applicable, identification of areas for potential improvement of the management system?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.1.3 Does the audit scope describe the extent and boundaries of the audit, such as physical
locations, organizational units, activities and processes to be audited?
Where the initial or re-certification process consists of more than one audit (e.g. covering different
locations), does the scope of an individual audit not cover the full certification scope, is the totality of
audits consistent with the scope in the certification document?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.1.4 Are the audit criteria used as a reference against which conformity is determined, and does it
include:
- the requirements of a defined normative document on management systems; and
- the defined processes and documentation of the management system developed by the client?
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Findings/Comments: (To be filled-up by the AB)
9.2.2 Audit team selection and assignments
9.2.2.1.1 General
Does your certification body have a process for selecting and appointing the audit team, including the
audit team leader and technical experts as necessary, taking into account the competence needed to
achieve the objectives of the audit and requirements for impartiality?
Does the auditor have the competence to perform the duties of an audit team leader applicable for that
audit?
Does the audit team have the totality of the competences identified by the certification body as set out
in Clause 9.1.2.3 for the audit?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.2.1.2 In deciding the size and composition of the audit team, is consideration given to the
following:
a) audit objectives, scope, criteria and estimated audit time;
b) whether the audit is combined, joint or integrated;
c) the overall competence of the audit team needed to achieve the objective of the audit (see Table
A.1 of ISO/IEC 17021-1:2015);
d) certification requirements (including any applicable statutory, regulatory or contractual
requirements);
e) language and culture?
*The team leader of a combined or integrated audit is expected to have in-depth knowledge of at least
one of the standards and an awareness of the other standards used for that particular audit.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.2.1.3 Are necessary knowledge and skills of the audit team leader and auditors supplemented by
technical experts, translators and interpreters who operate under the direction of an auditor?
Where translators or interpreters are used, are they selected such that they do not unduly influence
the audit?
* The criteria for the selection of technical experts are determined on a case-by-case basis by the
needs of the audit team and the scope of the audit.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
9.2.2.1.4 Is there an auditor appointed as evaluator when auditors-in-training participate in the audit?
Is the evaluator competent to take over the duties and have final responsibility for the activities and
findings of the auditor-in-training?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.2.1.5 Does the audit team leader, in consultation with the audit team, assign to each team member
responsibility for auditing specific processes, functions, sites, areas or activities?
Do such assignments take into account the need for competence, and the effective and efficient use of
the audit team, as well as different roles and responsibilities of auditors, auditors-in-training and
technical experts?
Are changes to the work assignments made as the audit progresses to ensure achievement of the
audit objectives?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.2.2 Observers, technical experts and guides
9.2.2.2.1 Observers
Is the presence and justification of observers during an audit activity agreed to by your certification
body and client prior to the conduct of the audit?
Does the audit team ensure that observers do not unduly influence or interfere in the audit process or
outcome of the audit?
*Observers can be members of the client’s organization, consultants, witnessing accreditation body
personnel, regulators or other justified persons.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.2.2.2 Technical experts
Is the role of technical experts during an audit activity agreed to by your certification body and client
prior to the conduct of the audit?
Is the technical expert accompanied by an auditor?
*The technical experts can provide advice to the audit team for the preparation, planning or audit.
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.2.2.3 Guides
Is each auditor accompanied by a guide, unless otherwise agreed to by the audit team leader and the
client?
Are guide(s) assigned to the audit team to facilitate the audit?
Does the audit team ensure that guides do not influence or interfere in the audit process or outcome of
the audit?
*The responsibilities of a guide can include:
a. establishing contacts and timing for interviews;
b. arranging visits to specific parts of the site or organization;
c. ensuring that rules concerning site safety and security procedures are known and respected by
the audit team members;
d. witnessing the audit on behalf of the client;
e. providing clarification or information as requested by an auditor.
**Where appropriate, the auditee can also act as the guide.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.3 Audit plan
9.2.3.1 General
Does your certification body ensure that an audit plan is established prior to each audit identified in the
audit programme to provide the basis for agreement regarding the conduct and scheduling of the audit
activities?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.2.3.2 Preparing the audit plan
Is the audit plan appropriate to the objectives and the scope of the audit?
Does the audit plan include or refer to the following:
a) the audit objectives;
b) the audit criteria;
c) the audit scope, including identification of the organizational and functional units or processes to
be audited;
d) the dates and sites where the on-site audit activities are to be conducted, including visits to
temporary sites, as appropriate;
e) the expected time and duration of on-site audit activities;
f) the roles and responsibilities of the audit team members and accompanying persons?
*The audit plan information can be contained in more than one document.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.3.3 Communication of audit team tasks
Are the tasks given to the audit team defined?
Does your certification body require the audit team to:
a) Examine and verify the structure, policies, processes, procedures, records and related documents
of the client relevant to the management system standard;
b) Determine that these meet all the requirements relevant to the intended scope of certification;
c) Determine that the processes and procedures are established, implemented and maintained
effectively, to provide a basis for confidence in the client’s management system; and
d) Communicate to the client, for its action, any inconsistencies between the client’s policy, objectives
and targets?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.2.3.4 Communication of audit plan
Is the audit plan communicated and the dates of the audit agreed upon, in advance, with the client
organization?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.2.3.5 Communication concerning audit team members
Does your certification body provide the name of and, when requested, make available background
information on each member of the audit team, with sufficient time for the client organisation to object
to the appointment of any particular auditor or technical expert and for the certification body to
reconstitute the team in response to any valid objection?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.3 Initial certification
9.3.1 Initial certification audit
9.3.1.1 General
Is the initial certification audit of a management system conducted in two stages: stage 1 and stage 2?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.3.1.2 Stage 1
9.3.1.2.1 Does planning ensure that the objectives of stage 1 can be met and client is informed of any
“on site” activities during stage 1?
*Stage 1 does not require a formal audit plan (see clause 9.2.3)
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.3.1.2.2 Are the objectives of stage 1 to:
a) Review the client’s management system documented information;
b) Evaluate the client’s site-specific conditions and to undertake discussions with the client’s
personnel to determine the preparedness for stage 2;
c) Review the client’s status and understanding regarding requirements of the standard, in particular
with respect to the identification of key performance or significant aspects, processes, objectives
and operation of the management system;
d) Obtain necessary information regarding the scope of the management system, including:’
- the client’s site(s);
- processes and equipment used;
- levels of controls established (particularly in case of multisite client);
- applicable statutory and regulatory requirements;
e) Review the allocation of resources for stage 2 and agree the details of stage 2 with the client;
f) Provide a focus for planning stage 2 by gaining a sufficient understanding of the client’s
management system and site operations in the context of the management system standard or
other normative document; and
g) Evaluate if the internal audits and management reviews are being planned and performed, and
that the level of implementation of the management system substantiates that the client is ready
for stage 2?
*If at least part of stage 1 is carried out at the client’s premises, this can help to achieve the objectives
stated above.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.3.1.2.3 Are documented conclusions with regard to fulfilment of the stage 1 objectives and the
readiness for stage 2 communicated to the client, including identification of any areas of concern that
could be classified as nonconformity during stage 2?
*The stage 1 output does not need to meet the full requirements of a report (see clause 9.4.8)
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.3.1.2.4 In determining the interval between stage 1 and stage 2, is consideration given to the needs
of the client to resolve areas of concern identified during stage 1?
*The certification body may also need to revise its arrangements for stage 2.
If any significant changes which would impact the management system occur, does your certification
body consider the need to repeat all or part of stage 1?
Is the client informed that the results of stage 1 may lead to postponement or cancellation of stage 2?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
9.3.1.3 Stage 2
The purpose of stage 2 is to evaluate the implementation, including effectiveness, of the client’s
management system. Does the stage 2 shall take place at the site(s) of the client?
Does it include the auditing of at least the following:
a) Information and evidence about conformity to all requirements of the applicable management
system standard or other normative documents;
b) Performance monitoring, measuring, reporting and reviewing against key performance objectives
and targets (consistent with the expectations in the applicable management system standard or
other normative document);
c) The client’s management system ability and its performance regarding meeting of applicable
statutory, regulatory and contractual requirements;
d) Operational control of the client’s processes;
e) Internal auditing and management review; and
f) Management responsibility for the client’s policies?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.3.1.4 Initial certification audit conclusions
Does the audit team analyse all information and audit evidence gathered during stage 1 and stage 2 to
review the audit findings and agree on audit conclusions?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4 Conducting audits
9.4.1 General
Does the certification body have a process for conducting on-site audits?
Does this process include an opening meeting at the start of the audit and a closing meeting at the
conclusion of the audit?
Where any part of the audit is made by electronic means or where the site to be audited is virtual,
does your certification body ensure that such activities are conducted by personnel with appropriate
competence?
Is the evidence obtained during such an audit sufficient to enable the auditor to take an informed
decision on the conformity of the requirement in question?
*“On-site” audits can include remote access to electronic site(s) that contain(s) information that is
relevant to the audit of the management system. Consideration can also be given to the use of
electronic means for conducting audits.
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.2 Conducting the opening meeting
Is a formal opening meeting held with the client’s management and, where appropriate, those
responsible for the functions or processes to be audited?
Does the purpose of the opening meeting, which usually conducted by the audit team leader, provide
a short explanation of how the audit activities will be undertaken?
Is the degree of details consistent with the familiarity of the client with the audit process?
Does the opening meeting include the following:
a) Introduction of the participants, including an outline of their roles;
b) Confirmation of the scope of certification;
c) Confirmation of the audit plan (including type and scope of audit, objectives and criteria), any
changes, and other relevant arrangements with the client, such as the date and time for the
closing meeting, interim meeting between the audit team and the client’s management;
d) Confirmation of formal communication channels between the audit team and the client;
e) Confirmation that the resources and facilities needed by the audit team available;
f) Confirmation of matters relating to confidentiality;
g) Confirmation of relevant work safety, emergency and security procedures for the audit team;
h) Confirmation of the availability, roles and identifies of any guides and observers;
i) The method of reporting, including any grading of audit findings;
j) Information about the conditions under which the audit may be prematurely terminated;
k) Confirmation that the audit team leader and audit team representing the certification body is
responsible for the audit and shall be in control of executing the audit plan including audit
activities and audit trails;
l) Confirmation of the status of findings of the previous review or audit, if applicable;
m) Methods and procedures to be used to conduct the audit based on sampling;
n) Confirmation of the language to be used during the audit;
o) Confirmation that, during the audit, the client will be kept informed of audit progress and any
concerns; and
p) Opportunity for the client to ask questions?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.3 Communication during the audit
9.4.3.1 Does the audit team periodically assess audit progress and exchange information during the
audit?
Does the audit team leader reassign work as needed between the audit team members and
periodically communicate the progress of the audit and any concerns to the client?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
9.4.3.2 Where the available audit evidence indicates that the audit objectives are unattainable or
suggests the presence of an immediate and significant risk (e.g. safety), does the audit team leader
report this to the client, if possible, to the certification body to determine appropriate action?
Are such action includes reconfirmation or modification of the audit plan, changes to the audit
objectives or audit scope, or termination of the audit?
Does the audit team leader report the outcome of the action taken to the certification body?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.3.3 Does the audit team leader review with the client any need for changes to the audit scope
which becomes apparent as on-site auditing activities progress and report this to the certification
body?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.4 Obtaining and verifying information
9.4.4.1 Does the auditor of the certification body collect information relevant to the audit objectives,
scope and criteria (including information relating to interfaces between functions, activities and
processes) by appropriate sampling and verified to become audit evidence?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.4.2 Does the auditor of the certification body use methods to collect information include, but not
limited to:
a) interviews;
b) observation of processes and activities;
c) review of documentation and records?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.4.5 Identifying and recording audit findings
9.4.5.1 Are the audit findings summarizing conformity and detailing non conformity identified, classified
and recorded to enable an informed certification decision to be made or the certification to be
maintained?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.5.2 Are the opportunities for improvement identified and recorded, unless prohibited by the
requirements of a management system certification scheme?
Does the auditor of the certification body not to record nonconformities as opportunities improvement?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.5.3 Does the auditor of your certification body record a finding of nonconformity against
requirement of the audit criteria, contain a clear statement of the nonconformity and identify in detail
the objective evidence on which the nonconformity is based?
Are nonconformities discussed with the client to ensure that the evidence is accurate and that
nonconformities are understood?
Does the auditor refrain from suggesting the cause of nonconformities or their solution?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.5.4 Does the audit team leader attempt to resolve any diverging opinions between the audit team
and the client concerning audit evidence or findings?
Are unresolved points recorded?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.4.6 Preparing audit conclusions
Under the responsibility of the audit team leader and prior to the closing meeting, does the audit team:
a) review the audit findings, and any other appropriate information obtained during the audit, against
the audit objectives and audit criteria and classify the nonconformities;
b) agree upon the audit conclusions, taking into account the uncertainty inherent in the audit process;
c) identify any necessary follow-up actions; and
d) confirm the appropriateness of the audit programme or identify any modification required (e.g.
scope, audit time or dates, surveillance frequency, competence)?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.7 Conducting the closing meeting
9.4.7.1 Does the auditor team of the certification body hold a formal closing meeting with the client’s
management and, where appropriate, those responsible for the functions or process audited?
Is attendance of the closing meeting recorded?
Is the purpose of the closing meeting to present the audit conclusions, including the recommendation
regarding certification?
Are all nonconformities presented in such a manner that they are understood, and the timeframe for
responding agreed?
*“Understood” does not necessarily mean that the nonconformities have been accepted by the client.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.7.2 Is the degree of detail consistent with the familiarity of the client with the audit process? Does
the closing meeting also include the following elements:
a) advising the client that the audit evidence collected was based on a sample of the information;
thereby introducing an element of uncertainty;
b) the method and timeframe of reporting, including any grading of audit findings;
c) the certification body's process for handling nonconformities including any consequences relating
to the status of the client's certification;
d) the timeframe for the client to present a plan for correction and corrective action for any
nonconformities identified during the audit;
e) the certification body's post audit activities;
f) information about the complaint handling and appeal processes?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.4.7.3 Does the audit team of the certification body give the client opportunity for questions?
Are diverging opinions regarding the audit findings or conclusions between the audit team and the
client discussed and resolved where possible?
Are diverging opinions that are not resolved recorded and referred to the certification body?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.8 Audit report
9.4.8.1 Does the certification body provide a written report for each audit to the client?
Does the audit team identify opportunities for improvement without recommending specific solutions?
Is the ownership of the audit report maintained by the certification body?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.8.2 Does the audit team leader ensure that the audit report is prepared and responsible for its
content?
Does the audit report provide an accurate, concise and clear record of the audit to enable an informed
certification decision to be made and include or refer to the following:
a) identification of the certification body;
b) the name and address of the client and the client's management representative;
c) the type of audit (e.g. initial, surveillance or recertification audit);
d) the audit criteria;
e) the audit objectives;
f) the audit scope, particularly identification of the organizational or functional units or processes
audited and the time of the audit;
g) and deviation from the audit plan and their reason;
h) any significant issues impacting on the audit programme;
i) identification of the audit team leader, audit team members and any accompanying persons;
j) the dates and places where the audit activities (on site or offsite, permanent or temporary sites)
were conducted;
k) audit findings (see Clause 9.4.5), reference to evidence and conclusions, consistent with the
requirements of the type of audit;
l) Significant changes, if any, that affect the management system of the client since last audit took
place;
m) any unresolved issues, if identified;
n) where applicable, whether the audit is combined, joint or integrated;
o) a disclaimer statement indicating that auditing is based on a sampling process of the available
information;
p) recommendation from the audit team
q) the audited client is effectively controlling the use of the certification documents and marks, if
applicable; and
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r) verification of effectiveness of taken corrective actions regarding previously identified
nonconformities, if applicable?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.8.3 Does the report contain:
a) a statement on the conformity and the effectiveness of the management system together with a
summary of the evidence relating to:
- the capability of the management system to meet applicable requirements and expected
outcomes;
- the internal audit and management review process;
b) a conclusion on the appropriateness of the certification scope; and
c) confirmation that the audit objectives have been fulfilled?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.9 Cause analysis of nonconformities
Does the certification body require the client to analyse the cause and describe the specific correction
and corrective actions taken, or planned to be taken, to eliminate detected nonconformities, within a
defined time?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.4.10 Effectiveness of corrections and corrective actions
Does the certification body review the corrections, identified causes and corrective actions submitted
by the client to determine if these are acceptable?
Does the certification body verify the effectiveness of any correction and corrective actions taken?
Is evidence obtained to support the resolution of nonconformities recorded?
Is the client informed of an additional full audit, an additional limited audit, or documented evidence (to
be confirmed during future audits) will be needed to verify effective correction and corrective actions?
* Verification of effectiveness of correction and corrective action can be carried out based on a review
of documentation provided by the client, or where necessary, through verification on-site. Usually this
activity is done by a member of the audit team.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
9.5 Certification decision
9.5.1 General
9.5.1.1 Does the certification body ensure that the persons or committees that make the certification or
recertification decisions are different from those who carried out the audits?
Does the individual(s) appointed to conduct the certification decision have appropriate competence?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.5.1.2 Is the person(s) [excluding members of committees (see clause 6.1.4)] assigned by the
certification body to make a certification decision employed by, or under legally enforceable
arrangement with either the certification body or an entity under the organizational control of the
certification body?
Does your certification body’s organizational control has one of the following:
a) Whole or majority ownership of another entity by the certification body;
b) Majority participation by the certification body on the board of directors of another entity; and
c) A documented authority by the certification body over another entity in a network of legal entities
(in which the certification body resides), linked by ownership or board of director control?
* For governmental certification bodies, other parts of the same government can be considered to be
“linked by ownership” to the certification body
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.5.1.3 Does the persons employed by, or under contract with, entities under organizational control
fulfill the same requirements of this part of ISO/IEC 17021 as persons employed by, or under contract
with, the certification body?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.5.1.4 Does your certification body record each certification decision including any additional
information or clarification sought from the audit team or other sources?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
9.5.2 Actions prior to making a decision
Does the certification body have a process to conduct an effective review prior to making a decision
for granting certification, renewing, suspending or restoring, or withdrawing of certification, including,
that:
a) the information provided by the audit team is sufficient with respect to the certification requirements
and the scope for certification;
b) For any major nonconformities, it has reviewed, accepted and verified the correction and corrective
actions; and
c) For any minor nonconformities it has reviewed and accepted the client’s plan for correction and
corrective action?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.5.3 Information for granting initial certification
9.5.3.1 Does the information provided by the audit team to the certification body for the certification
decision include, as a minimum,
a) the audit reports,
b) comments on the nonconformities and, actions where applicable, the correction and corrective
taken by the client;
c) confirmation of the information provided to the certification body used in the application review (see
Clause 9.1.2);
d) Confirmation that the audit objectives have been achieved; and
e) a recommendation whether or not to grant certification, together with any conditions or
observations?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.5.3.2 If your certification body is not able to verify the implementation of corrections and corrective
actions of any major nonconformity within 6 months after the last day of stage 2, does your certification
body conduct another stage2 prior to recommending certification?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.5.3.3 Does the accepting certification body have a process for obtaining sufficient information in
order to take a decision on certification when a transfer of certification is envisaged from one
certification body to another?
* Certification schemes can have specific rules regarding the transfer of certification
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.5.4 Information for granting recertification
Does the certification body make decisions on renewing certification based on the results of the
recertification audit, as well as the results of the review of the system over the period of certification
and complaints received from users of certification?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6 Maintaining certification
9.6.1 General
Does the certification body maintain certification based on demonstration that the client continues to
satisfy the requirements of the management system standard?
Does the certification body maintain a client's certification based on a positive conclusion by the audit
team leader without further independent review, provided that:
a) for any nonconformity or other situation that may lead to suspension or withdrawal of certification,
the certification body has a system that requires the audit team leader to report to the certification
body the need to initiate a review by appropriately competent personnel (see Clause 7.2.8),
different from those who carried out the audit, to determine whether certification can be
maintained, and
b) competent personnel of the certification body monitor its surveillance activities, including
monitoring the reporting by its auditors, to confirm that the certification activity is operating
effectively?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.2 Surveillance activities
9.6.2.1 General
9.6.2.1.1 Does the certification body develop its surveillance activities so that representative areas and
functions covered by the scope of the management system are monitored on a regular basis, and take
into account changes to its certified client and its management system?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.2.1.2 Do surveillance activities include on-site audits assessing the certified client's management
system's fulfilment of specified requirements with respect to the standard to which the certification is
granted?
Do other surveillance activities include:
a) enquiries from the certification body to the certified client on aspects of certification,
b) reviewing any client's statements with respect to its operations (e.g. promotional material, website),
c) requests to the client to provide documents and records (on paper or electronic media), and
d) other means of monitoring the certified client's performance?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.2.2 Surveillance audit
Are surveillance audits planned together with the other surveillance activities so that the certification
body can maintain confidence that the certified management system continues to fulfil requirements
between recertification audits?
Does each surveillance for the relevant management system standard include:
a) internal audits and management review,
b) a review of actions taken on nonconformities identified during the previous audit,
c) Complaints handling;
d) effectiveness of the management system with regard to achieving the certified client's objectives
and the intended results of the respective management system(s);
e) progress of planned activities aimed at continual improvement;
f) continuing operational control;
g) review of any changes; and
h) use of marks and/or any other reference to certification?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.6.3 Recertification
9.6.3.1 Recertification audit planning
9.6.3.1.1 Does the recertification audit confirm the continued conformity and effectiveness of the
management system as a whole, and its continued relevance and applicability for the scope of
certification?
Is a recertification audit planned and conducted to evaluate the continued fulfilment of all of the
requirements of the relevant management system standard or other normative document?
Is this planned and conducted in due time to enable for timely renewal before the certificate expiry
date?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.3.1.2 Does the recertification audit include the review of previous surveillance audit reports and
consider the performance of the management system over the most recent certification cycle?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.3.1.3 Would recertification audit activities have a stage 1 audit in situations where there have been
significant changes to the management system, the client, or the context in which the management
system is operating (e.g. changes to legislation)?
*Such changes can occur at any time during the certification cycle and the certification body might
need to perform a special audit (see Clause 9.6.4), which might or might not be a two-stage audit.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.3.2 Recertification audit
9.6.3.2.1 Does the recertification audit include an on-site audit that addresses the following:
a) the effectiveness of the management system in its entirety in the light of internal and external
changes and its continued relevance and applicability to the scope of certification;
b) demonstrated commitment to maintain the effectiveness and improvement of the management
system in order to enhance overall performance;
c) the effectiveness of the management system with regard to achieving the certified client’s
objectives and the intended results of the respective management system(s)?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
9.6.3.2.2 Does your certification body define time limits for correction and corrective action for any
nonconformity for any major nonconformity?
Are these actions implemented and verified prior to the expiration of certification?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.3.2.3 When recertification activities are successfully completed prior to the expiry date of the
existing certification, is the expiry date of the new certification based on the expiry date of the existing
certification?
Is the issue date on a new certificate on or after the recertification decision?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.3.2.4 If the certification body has not completed the recertification audit or the certification body is
unable to verify the implementation of corrections and corrective actions for any major nonconformity
(see Clause 9.5.2.1) prior to the expiry date of the certification, is recertification not recommended and
the validity of the certification not extended?
Is the client informed and the consequences explained?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.3.2.5 Following expiration of certification, does your certification body restore certification within 6
months provided that the outstanding recertification activities are completed, otherwise is stage 2 at
least conducted?
Is the effective date on the certificate on or after the recertification decision and the expiry date based
on prior certification cycle?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.6.4 Special audits
9.6.4.1 Expanding scope
Does the certification body, in response to an application for extension to the scope of a certification
already granted, undertake a review of the application and determine any audit activities necessary to
decide whether or not the extension may be granted?
(This may be conducted in conjunction with a surveillance audit.)
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.4.2 Short-notice audits
Does the certification body conduct audits of certified clients at short or unannounced to investigate
complaints, or in response to changes, or as follow up on suspended client?
In such cases:
a) Does your certification body describe and make known in advance to the certified clients (e.g. in
documents as described in 8.5.1) the conditions under which such audits will be conducted, and
b) Does your certification body exercise additional care in the assignment of the audit team because
of the lack of opportunity for the client to object to audit team members?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.5 Suspending, withdrawing or reducing the scope of certification
9.6.5.1 Does the certification body have a policy and documented procedure(s) for suspension,
withdrawal or reduction of the scope of certification body?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.5.2 Does the certification body suspend certification in cases when, for example,
- the client’s certified management system has persistently or seriously failed to meet
certification requirements, including requirements for the effectiveness of the management
system;
- the certified client does not allow surveillance or recertification audits to be conducted at the
required frequencies; or
- the certified client has voluntarily requested a suspension?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
9.6.5.3 Under suspension, is the client’s management system certification temporarily invalid?
Does the certification body restore the suspended certification if the issue that has resulted in the
suspension has been resolved?
Does failure to resolve the issues that have resulted in the suspension in a time established by the
certification body result in withdrawal or reduction of the scope of certification?
* In most cases the suspension would not exceed 6 months.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.6.5.5 Does the certification body reduce the client's scope of certification to exclude the parts not
meeting the requirements, when the client has persistently or seriously failed to meet the certification
requirements for those parts of the scope of certification?
Is any such reduction in line with the requirements of the standard used for certification?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.7 Appeals
9.7.1 Does the certification body have a documented process to receive, evaluate and make decisions
on appeals?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.7.2 Is your certification body responsible for all decisions at all levels of the appeals-handling
process?
Does your certification body ensure that the persons engaged in the appeals-handling process are
different from those who carried out the audits and made the certification decisions?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.7.3 Do submission, investigation and decision on appeals not result in any discriminatory actions
against the appellant?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.7.4 Does the appeals-handling process include at least the following elements and methods:
a) an outline of the process for receiving, validating and investigating the appeal, and for deciding
what actions are to be taken in response to it, taking into account the results of previous similar
appeals;
b) tracking and recording appeals, including actions undertaken to resolve them; and
c) ensuring that any appropriate correction and corrective action are taken?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.7.5 Is your certification body receiving the appeal responsible for gathering and verifying all
necessary information to validate the appeal?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.7.6 Does the certification body acknowledge receipt of the appeal and provide the appellant with
progress reports and the result of the appeal?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.7.7 Is the decision to be communicated to the appellant made by, or reviewed and approved by,
individual(s) not previously involved in the subject of the appeal?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.7.8 Does the certification body give formal notice to the appellant of the end of the appeals-handling
process?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.8 Complaints
9.8.1 Is your certification body responsible for all decisions at all levels of the complaints-handling
process?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.8.2 Does submission, investigation and decision on complaints not result in any discriminatory
actions against the complainant?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.8.3 Upon receipt of a complaint, does the certification body confirm whether the complaint relates to
certification activities that it is responsible for?
If so, does the certification body deal with it?
If the complaint relates to a certified client, does examination of the complaint consider the
effectiveness of the certified management system?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.8.4 Is any valid complaint about a certified client referred by the certification body to the certified
client in question at an appropriate time?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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9.8.5 Does your certification body have a documented process to receive, evaluate and make
decisions on complaints?
Is this process subject to requirements for confidentiality, as it relates to the complainant and to the
subject of the complaint?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.8.6 Does the complaints-handling process include at least the following elements and methods:
a) an outline of the process for receiving, validating, investigating the complaint, and for deciding
what actions are to be taken in response to it;
b) tracking and recording complaints, including actions undertaken in response to them;
c) ensuring that any appropriate correction and corrective action are taken?
* ISO 10002 provides guidance for complaints handling.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.8.7 Is the certification body receiving the complaint responsible for gathering and verifying all
necessary information to validate the complaint?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.8.8 Whenever possible, does the certification body acknowledge receipt of the complaint provide the
complainant with progress reports and the results of the complaint?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.8.9 Is the decision to be communicated to the complainant made by, or reviewed and approved by,
individual(s) not previously involved in the subject of the complaint?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
9.8.10 Whenever possible, does the certification body give formal notice of the end of the complaintshandling process to the complainant?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.8.11 Does your certification body determine, together with the client and the complainant, whether
and, if so to what extent, the subject of the complaint and its resolution made public?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.9 Clients records
9.9.1 Does the certification body maintain records on the audit and other certification activities for all
clients, including all organizations that submitted applications, and all organizations audited, certified,
or with certification suspended or withdrawn?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.9.2 Do records on certified clients include the following:
a) application information and initial, surveillance and recertification audit reports;
b) certification agreement;
c) justification of the methodology used for sampling of sites, as appropriate;
* Methodology of sampling includes the sampling employed to audit the specific management system
and/or to select sites in the context of multi-site audit.
d) justification for auditor time determination (see Clause 9.1.4);
e) verification of correction and corrective actions;
f) records of complaints and appeals, and any subsequent correction or corrective actions;
g) committee deliberations and decisions, if applicable;
h) documentation of the certification decisions;
i) certification documents, including the scope of certification with respect to product, process or
service, as applicable;
j) related records necessary to establish the credibility of the certification, such as evidence of the
competence of auditors and technical experts; and
k) audit programmes?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.9.3 Does your certification body keep the records on applicants and clients secure to ensure that the
information is kept confidential?
Are records transported, transmitted or transferred in a way that ensures that confidentiality is
maintained?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
9.9.4 Does the certification body have a documented policy and documented procedures on the
retention of records?
Are records retained for the duration of the current cycle plus one full certification cycle?
*In some jurisdictions, the law stipulates that records need to be maintained for a longer time period.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10 Management system requirements for certification bodies
10.1 Options
Does the certification body establish and maintain a management system that is capable of supporting
and demonstrating the consistent achievement of the requirements of ISO/IEC 17021?
In addition to meeting the requirements of clauses 5 to 9, does the certification body implement a
management system in accordance with either:
a) general management system requirements (see Clause 10.2), or
b) management system requirements in accordance with ISO 9001 (see Clause 10.3)?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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Which option has the certification body adopted? (State Option A or B)
10.2 Option A: Management system requirements
10.2.1 General
Does your certification body establish, document, implement and maintain a management system that
is capable of supporting and demonstrating the consistent achievement of the requirements of
ISO/IEC 17021-1?
Does your certification body’s top management establish and document policies and objectives for its
activities?
Does the top management provide evidence of its commitment to the development and
implementation of the management system in accordance with the requirements of ISO/IEC 17021-1?
Does the top management ensure that the policies are understood, implemented and maintained at all
levels of the certification body’s organization?
Does certification body’s top management appoint a member of management who, irrespective of
other responsibilities, have responsibility and authority that include:
a) ensuring that processes and procedures needed for the management system are established,
implemented and maintained, and
b) reporting to top management on the performance of the management system and any need for
improvement?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.2.2 Management system manual
Are all applicable requirements of ISO/IEC 17021-1 addressed either in a manual or in associated
documents?
Does the certification body ensure that the manual and relevant associated documents are accessible
to all relevant personnel?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.2.3 Control of documents
Does your certification body establish procedures to control the documents (internal and external) that
relate to the fulfilment of ISO/IEC 17021-1?
Do the procedures define the controls needed to:
a) Approve documents for adequacy prior to issue;
b) Review and update as necessary and re-approve documents;
c) Ensure that changes and the current revision status of documents are identified;
d) Ensure that relevant versions of applicable documents are available at points of use;
e) Ensure that documents remain legible and readily identifiable;
f) Ensure that documents of external origin are identified and their distribution controlled; and
g) Prevent the unintended use of obsolete documents, and to apply suitable identification to them if
they are retained for any purpose?
* Documentation can be in any form or type of medium.
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.2.4 Control of records
Does your certification body establish procedures to define the controls needed for the identification,
storage, protection, retrieval, retention time and disposition of its records related to the fulfilment of
ISO/IEC 17021-1?
Does your certification body establish procedures for retaining records for a period consistent with its
contractual and legal obligations?
Is access to these records consistent with the confidentiality arrangements?
*For requirements for records on certified clients, see also Clause 9.9
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.2.5 Management review
10.2.5.1 General
Does your certification body’s top management establish procedures to review its management
system at planned intervals to ensure its continuing suitability, adequacy and effectiveness, including
the stated policies and objectives related to the fulfilment of ISO/IEC 17021-1?
Are these reviews conducted at least once a year?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.2.5.2 Review inputs
Does the review input to the management review include information related to:
a) results of internal and external audits;
b) feedback from clients and interested parties;
c) safeguarding impartiality;
d) the status of corrective actions;
e) the status of actions to address risks;
f) follow-up actions from previous management reviews;
g) the fulfilment of objectives,
h) changes that could affect the management system, and
i) appeals and complaints?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
10.2.5.3 Review outputs
Does the outputs from the management review shall include decisions and actions related to:
a) improvement of effectiveness of the management system and its processes;
b) improvement of the certification services related to the fulfilment of ISO/IEC 17021-1;
c) resource needs; and
d) revision of the organisation’s policy and objectives?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.2.6 Internal audits
10.2.6.1 Does your certification body established procedures for internal audits to verify that it fulfils
the requirements of ISO/IEC 17021-1, and that the management system is effectively implemented
and maintained?
*ISO 19011 provides guidelines for conducting internal audits
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.2.6.2 Is the audit programme planned, taking into consideration the importance of the processes
and areas to be audited, as well as the results of previous audits?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.2.6.3 Are internal audits performed at least once every 12 months?
Is the frequency of internal audits reduced if the certification body can demonstrate that its
management system continues to be effectively implemented according to ISO/IEC 17021-1 and has
proven stability?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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10.2.6.4 Does the certification body ensure that:
a) internal audits are conducted by qualified personnel knowledgeable in certification, auditing and
the requirements of ISO/IEC 17021-1;
b) auditors do not audit their own work;
c) personnel responsible for the area audited are informed of the outcome of the audit;
d) any actions resulting from internal audits are taken in a timely and appropriate manner; and
e) any opportunities for improvement are identified?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.2.7 Corrective actions
Does the certification body establish procedures for identification and management of nonconformities
in its operations?
Does the certification body also, where necessary, take actions to eliminate the causes of
nonconformities in order to prevent recurrence?
Are corrective actions appropriate to the impact of the problems encountered?
Do the procedures define requirements for:
a) identifying nonconformities (e.g. from complaints and internal audits);
b) determining the causes of nonconformity;
c) correcting nonconformities;
d) evaluating the need for actions to ensure that nonconformities do not recur;
e) determining and implementing in a timely manner, the actions needed;
f) recording the results of actions taken; and
g) reviewing the effectiveness of corrective actions?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.3 Option B: Management system requirements in accordance with ISO 9001
10.3.1 General
Does your certification body establish and maintain a management system, in accordance with the
requirements of ISO 9001, which is capable of supporting and demonstrating the consistent
achievement of the requirements of ISO/IEC 17021-1, amplified by Clause 10.3.2 to 10.3.4?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.3.2 Scope
Does the scope of the management system include the design and development requirements for its
certification service for application of the requirements of ISO 9001?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.3.3 Customer focus
For application of the requirements of ISO 9001, when developing its management system, does the
certification body consider the credibility of certification and address the needs of all parties (as set out
in Clause 4.1.2) that reply upon its audit and certification services, not just its clients?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
10.3.4 Management review
For application of the requirements of ISO 9001, does your certification body include as input for
management review, information on relevant appeals and complaints from users of certification
activities and a review of impartiality?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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5 Auditing Process requirements
5.1 General
Are the requirements defined in ISO 50003:2014 applied to the EnMS auditing process?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.2 Confirming the scope of certification
Does the certification body require the organization to define the scope and boundaries of the EnMS?
Does the certification body confirm the suitability of the scope and boundaries at each audit?
Does the scope of the certification define the boundaries of the EnMS including activities, facilities
processes and decisions related to the EnMS?
Given that the scope may be an entire organization with multi-site, a site within an organization, or a
subset or subsets within a site such as a building, facility or process, does the certification body
ensure that energy sources are not excluded when an organization defines the boundaries?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.3 Determining the audit time
5.3.1 Audit time
When determining the audit time, does the certification body include the following factors:
a) energy sources;
b) significant energy uses;
c) energy consumption;
d) the number of EnMS effective personnel?
Is the on-site time at the organization’s location, audit planning, document reviewing and reporting
included in the audit time?
Are the audit duration table and calculation method provided in Annex A of ISO 50003: 2014 used to
determine audit duration?
Where the actual processes and organizational structure are such that reduction in audit duration can
be justified, does the certification body provide and record the rationale for the decision?
If the audit duration is reduced because the organization has integrated the EnMS with another
certified management system, is the adjustment in time due to another certified management system
limited to 20% reduction?
Given that the audit man days are based on eight hours per day, does the certification body make
adjustments based on local, regional, or national legal requirements?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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5.3.2 EnMS effective personnel
Are the number of EnMS effective personnel and complexity criteria defined in Annex A used as the
basis for the calculation of the audit duration?
Have the certification body defined and documented a process for determining the number of EnMS
effective personnel for the scope of the certification and for each audit in the audit programme?
Does the process for determining the number of EnMS effective personnel ensure that the persons
who actively contribute to meeting the requirements of the EnMS are included?
When regulation requires identification of personnel for operations and maintenance of the EnMS
activities, are they included as part of the EnMS effective personnel?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.4 Multi-site sampling
Are the requirements in Annex B followed for certification of multi-sites based on sampling?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.5 Conducting audits
When conducting audit, does the auditor collect and verify, at a minimum, the following audit evidence
related to energy performance?
- energy planning (all sections);
- operational control;
- monitoring measurement and analysis.
Is the definition of major nonconformity fo EnMS (see 3.6 of ISO 50003:2014) used by the auditor
when classifying nonconformities for ISO 50001?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.6 Audit report
Does audit report include the following:
a) scope and boundaries of the EnMS being audited;
b) statement of achievement of continual improvement with audit evidence to support the
statements?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
5.7 Initial certification audit
5.7.1 Stage 1 audit
Does stage 1 include the following:
a) confirmation of scope and boundaries of the EnMS for certification;
b) review of a graphical or narrative description of the organizations facilities, equipment, systems
and processes for the identified scope boundaries;
c) confirmation of the number of EnMS effective personnel, energy sources, significant energy uses
and annual energy consumption, in order to confirm the audit duration;
d) review of the documented results of the energy planning process;
e) review of a list of the energy performance improvement opportunities identified as well as the
related objectives, targets and action plans?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.7.2 Stage 2 audit
During the stage 2 audit, does the certification body gather the necessary audit evidence to determine
whether or not energy performance improvement has been demonstrated prior to making a
certification decision?
Is confirmation of energy performance improvement required for granting the initial certification?
Examples on how an organization may demonstrate energy performance improvement are provided in
Annex C.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
5.8 Surveillance audit
During the surveillance audits, does the certification body review the necessary audit evidence to
determine whether or not continual energy performance improvement has been demonstrated?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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5.9 Recertification audit
During the recertification audit, does the certification body review the necessary audit evidence to
determine whether or not continual energy performance improvement has been demonstrated prior to
making a recertification decision?
Are major changes in facilities, equipment, systems or processes taken into account for recertification
audits?
Is confirmation of continual energy performance improvement required for granting the recertification?
* Energy performance improvement can be affected by changes in facilities, equipment, systems or
processes, business changes, or other conditions that result in a change or need to change the energy
baseline.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
6 Competence requirements
6.1 General
The competence requirements for the auditor(s) and personnel involved in the EnMS certification
process are defined in 6.2 and 6.3.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
6.2 General competence
Do all personnel involved in the EnMS audit and certification activities have a level of competence that
includes the generic competencies described in ISO/IEC 17021:2011 as well as the EnMS general
knowledge described in Table 1 of ISO 50003 2014?
Where “X” in Table 1 of ISO 50003 2014 indicates that the certification body shall define the criteria.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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6.3 Technical competence
In addition to the general competence requirements specified in Table 1 of ISO 50003 2014, does the
certification body define the competence criteria for the technical areas described in Table 2 of ISO
50003: 2014?
If the organization does not fit in one of the eight technical areas, defined in Table 2 of ISO 50003
2014, does define the competence criteria for the technical area and competence criteria?
If the certification body determines it is necessary to subdivide the technical area, are additional
energy use criteria provided?
Do audit teams appointed and composed of auditors and technical experts, as necessary, to meet the
technical competence requirements as well as the general competence requirements consistent with
the scope of the certification?
*Table 3 of ISO 50003: 2014 describes technical skills for an EnMS where “X” indicates that the
certification body defines the criteria.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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The obligations of an accredited applicant organization
002 5.1 After obtaining accreditation, will your certification body at all times:
002 5.1 a (a) Conform with the accreditation criteria, including accreditation regulations specified in
HKAS 002 and HKCAS Supplementary Criteria No.4, technical and non-technical requirements and
other conditions as specified by HKAS Executive under your terms of accreditation;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.1 b (b) Represent honesty and truthfully to any person concerned that your certification body is
only accredited for activities stated in your scope of accreditation;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.1 c (c) Pay such fees and charges as determined by HKAS Executive;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.1 d (d) Endeavour to ensure the accreditation granted by HKAS is not used in a misleading
manner;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.1 e (e) Be a legal entity; and
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.1 f (f) Conform with the Business Registration Ordinance (Cap 310)
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
002 5.2 For any customers for which your certification body performs any accredited activity, does
your certification body maintain for such activity a quality standard which is in conformity with the
accreditation criteria as set by HKAS?
Does your certification body maintain same quality standard at all times, no matter whether or not the
HKAS accreditation symbol is used in the certificate covering the result of such activity?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.3 When making any statement in relation to your certification body’s accreditation status in
situation where non-accredited activities are mentioned, does your certification body ensure that such
a statement is accompanied by a statement indicating which activities are not accredited?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.4 Does your certification body implement the following accreditation regulation:
“Upon termination of accreditation for all activities of an organization as specified in a certificate of
accreditation, the organization shall return such certificate of accreditation to HKAS Executive
forthwith”?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.5 Does your certification body cooperate with HKAS Executive and its assessment teams and
provide them with full support during an on-site assessment and in any other situation such as to
provide all necessary information for assessment of your certification body’s competence and
conformity with the accreditation criteria?
Upon the request of HKAS Executive, does your certification body provide HKAS Executive with a
copy of the documentary standard for which your certification body seeks HKAS accreditation for use
during assessment?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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002 5.6 Does your certification body ensure that you will not use your accreditation status in such a
manner that will bring HKAS or any of its accreditation schemes into disputes, and will not make any
statement regarding your accreditation status that HKAS Executive may reasonably consider it to be
misleading?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.7 Does your certification body maintain complete integrity and impartiality in all circumstances?
Does your certification body issue and implement a pertinent code of conduct for all its directors,
officers, employees and other personnel involved in your operation?
Does the authorised representative report any impropriety or unlawful act of your certification body or
any iniquitous management and/or staff to HKAS Executive?
Does the authorised representative further report immediately any corrupt practice to the IAC (or
similar authority or the police when outside the jurisdiction of the HKSAR)?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.8 Does your certification body notify HKAS Executive within one calendar month if a new
authorised representative has been appointed?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.9 Does the authorised representative or in his absence, other responsible person of your
certification body inform HKAS Executive in writing immediately of any changes or intended changes
in your certification body’s circumstances which may affect your conformity with relevant accreditation
criteria?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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002 5.10 Does your certification body implement the following HKAS regulation on confidentiality:
“An accredited organization shall pay due regard to the confidentially of its customer’s information and
shall make internal rules and guidelines in order to ensure protection of its customer’s information.
Confidential information about a particular customer shall not be disclosed to a third party without the
consent of the customer, except where the law requires such information to be so disclosed. However,
an applicant organisation or an accredited organisation shall allow HKAS Executive to examine all its
records which are relevant to the scope of accreditation in order to assess its competence and
conformity with the relevant accreditation criteria. An applicant organisation and an accredited
organisation shall obtain consent from their customers for the disclosure of any relevant information to
HKAS.”?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.11 Does your certification body ensure that no unofficial contact with assessors, technical
experts and/or AAB members will made on any matter relating to or in connection with the assessment
of any activity for the purpose of granting or maintaining accreditation?
Are all communications concerning your certification body’s assessment made between the authorised
representative or his/her representative or its chief executive or his/her representative and HKAS
Executive?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.12 Does your certification body have a clear policy in writing concerning the provision or receipt
of advantages by your staff?
Does the policy document contain a statement notifying your staff the law under Section 9 of the
Prevention of Bribery Ordinance (Cap. 201)?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.13 Does you certification body have a policy and procedure in writing for handling and resolving
complaints, disputes and appeals from your customers or other parties?
Does your certification body keep records of all complaints, disputes and appeals and actions taken
for a minimum of 3 years and make available to HKAS Executive for inspection upon request?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
002 5.14 Where a complaint, dispute or appeal received from your customers or other parties raises
any doubt on your conformity with your policies or procedures, will your certification body ensure that
the relevant areas of your accredited activities are promptly audited?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.15 If a complaint, dispute or appeal received from your customers or other parties relating to any
of your accredited activities is satisfactorily resolved within 60 days from the date of receipt, does your
certification body notify HKAS Executive in writing of this matter?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.16 Is your certification body aware that any concerned party may lodge complaints with HKAS
on any of your accredited activities?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 5.17 Upon the request of HKAS Executive, does the accredited organization confirm the
authenticity or otherwise of a report, certificate or other document purporting to have been issued by it
for an accredited activity?
Where such a report, certificate or document is found to be a forged document, does the organization
cooperate with HKAS Executive in the investigation of its cause and taking mutually agreeable steps
to prevent recurrence?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002. 5.18 Does the accredited organization provide certification service to any other party for any
standard used by HKAS as accreditation criteria?
Does HKAS Executive take immediate action to suspend the accreditation of an accredited
organization in violation of this requirement?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
Use of HKAS accreditation symbols and claims of accreditation status
002. 8.1 Does your certification body implement the following HKAS regulation:
“An accredited organisation may use the relevant HKAS accreditation symbol as described in HKAS
Supplementary Criteria No. 1 and claim accreditation status provided that the following conditions are
complied with:
002 8.1 a (a) All advertising and promotional materials (including letterheads) shall not, in the opinion
of HKAS Executive, give a false or misleading impression regarding the accreditation status of the
organisation;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 8.1 b (b) HKAS Supplementary Criteria No. 1 and requirements relevant to the accreditation
scheme concerned as described in the relevant specific regulations, are complied with at all times; and
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 8.1 c (c) Does any statement made by the organization in connection with its accreditation status
not, in the opinion of HKAS Executive, give a false or misleading impression to any third party of its
accreditation status”?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
002 8.2 Is your certification body aware of that an accredited organization shall not allow its
accreditation be used to imply that any subject of its accredited activities, for example, a product,
process, system or person is approved by HKAS or HKAS Executive and shall take suitable actions to
stop any incorrect reference to accreditation.
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
Other HKAS regulation
HKAS SC-06 2.1 Has your certification body documented the code of conduct within its management
system for stating its policies on impartiality, confidentiality, professionalism, integrity, conflict of
interest, and the organisation’s commitment to complying with the Prevention of Bribery Ordinance
(Cap 201) of Hong Kong or applicable laws and regulations of the country where the accredited
organisation is located?
Does the code of conduct cover at least the following aspects:
HKAS SC-06 2.2a (a) acceptance of advantage;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.2b (b) offer advantage;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.2c (c) entertainment;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.2d (d) compliance with laws of Hong Kong or relevant jurisdictions;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.2e (e) compliance with relevant requirements of applicable professional standards;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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HKAS SC-06 2.2f (f) conflict of interest;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.2g (g) use of company assets;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.2h (h) confidentiality of company information;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.2i (i) outside employment;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.2j (j) relationship with customers, suppliers and contractors;
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.2k (k) procedures for reporting suspected violation and established mechanism for the
prompt and fair adjudication of alleged violations; and
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.2l (l) disciplinary actions to be taken against violations.
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 2.3 Does your certification body determine the contents of the code of conduct in
accordance with its circumstances to ensure that all persons working for it act lawfully, ethically,
professionally, and honestly and protect the impartiality, independence and integrity of the
organization?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 3.1 Does your certification body ensure that all its directors, staff and other personnel
working for it understand and practice the code of conduct?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 3.2 Has your certification body provided training to all personnel as part of the
orientation training when they join the organization and refresher training to all members periodically
thereafter?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 3.3 Does your certification body periodically remind all personnel working for it the code
of conduct?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 3.4 Is the code of conduct accessible to all personnel working for the organisation?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 3.5 Is the authorised representative aware that he/she shall report any impropriety or
unlawful act of the organization or any iniquitous management and/or staff to HKAS Executive in
accordance with HKAS 002 clause 5.7?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKAS SC-06 3.6 Does your certification body periodically review the code’s suitability and adequacy;
and implement improvement as appropriate?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
Specific regulations for HKCAS
HKCAS SC-04 2.1 An assessment team may, at its discretion, carry out an observation on your
certification body while it is performing certification audits for which your certification body is accredited
or seeking accreditation.
Does your certification body ensure to seek consent from and explain to your customers concerning
the presence of the assessment team in such certification audits?
Does your certification body further assure your customers that the presence of the assessment team
during the certification audits will not affect the outcome of the audits?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 2.2 Is your certification body aware that HKAS Executive will conduct a reassessment
on the accredited activities of your certification body every three years after the accreditation has been
granted?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 2.3 Is your certification body aware that HKAS Executive may also conduct a
surveillance visit to your certification body routinely every six months and HKAS Executive has
discretion to vary the period for reassessment and surveillance visit as it sees fit?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 2.4 Is your certification body aware that upon granting of the accreditation to your
certification body for a certification system, HKAS Executive will issue a certificate of HKCAS
accreditation for such certification system to your certification body?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 3.1 Does your certification body at all times conform with the following HKCAS
accreditation criteria:
(a) HKAS 002 – Regulations for HKAS Accreditation,
(b) Relevant HKCAS Supplementary Criteria,
(c) Relevant HKAS Supplementary Criteria,
(d) Relevant IAF requirements as specified in IAF documents including Mandatory Documents and
Resolutions?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 3.2 Does your certification body ensure that it shall not use its accreditation status in a
way that may be interpreted by any person that any product, process, system or person certified by
your certification body has been approved by HKAS or HKAS Executive?
Does your certification body further endeavour to ensure that the organizations certified will implement
the certified system at all time?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 3.3 Is your certification body aware that the requirements and conditions for the use of
accreditation symbols on products certified under an accredited product certification scheme are
specified in the relevant HKAS and HKCAS Supplementary Criteria?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 3.4 If your certification body intends to subcontract any part of your accredited
activities, does your certification body ensure that the subcontracted certification body is accredited for
performing the activities by HKAS or an accreditation body which has concluded a mutual recognition
arrangement/agreement with HKAS?
Does your certification body notify the customer in writing of your intention to subcontract the activities,
the extent of such subcontract and the name of the subcontractor?
Does your certification body further ensure that your customer agrees to such arrangement?
Does your certification body keep all records of such subcontracted activities?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 3.5 Does your certification body have enforceable arrangement with each organization
holding a HKCAS accredited certificate which commit it to allow, on request, HKAS assessment teams
to witness the certification body’s audit teams performing audits, including access to its premises for
doing so?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 3.6 Does your certification body provide to HKAS a list of countries that HKAS
accredited certificates have been issued by your certification body?
(Any change to this list is considered to be circumstances that may affect conformity with relevant
accreditation criteria.)
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 4.1 Does the authorized representative of your certification body, within 14 days from
the effective date of any suspension or termination (voluntarily or by HKAS Executive), inform your
customers of activities for which the accreditation has been suspended or terminated in writing of such
suspension or termination?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
002 2.10 Is your certification body aware that HKAS Executive may report the details of such
suspension or termination in the next issue of the website of HKCAS Directory of Accredited
Certification Bodies and website of HKAS?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.1 Is your certification body aware that every certification body accredited under
HKCAS will be awarded with a distinctive HKCAS accreditation symbol?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.2 Does your certification body implement the following HKAS regulation:
“An organization which is certified by a certification body accredited by HKAS may use the HKCAS
accreditation symbol of such certification body (subject to regulations set out in HKAS 002) to
demonstrate to the public that it has been certified by a competent and impartial certification body
accredited by HKAS.”?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.3 Is your certification body aware that a HKAS accredited certification body may use
its HKCAS accreditation symbol on its certificates, stationery, documents, publications and its
advertisements, subject to the regulations set out in HKCAS SC-04 and any other relevant
requirements as specified from time to time by HKAS?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.4 Does your certification body ensure that the form, size, colour and usage of the
HKCAS accreditation symbol are in accordance with the HKAS Supplementary Criteria No. 1?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.5 Does your certification body use distinctly different certification marks for different
certification systems (such as Products, Quality management System) and avoid confusion between
the meanings of its marks?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.6 Does your certification body ensure NOT to use the HKCAS accreditation symbol
on any document unless such document relates in whole or in part to your accredited activity?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.7 Does your certification body ensure that where an organization is certified by your
certification body, such certified organization may use the HKCAS accreditation symbol in conjunction
with the certification symbol of your certification body provided that any use of the accreditation symbol
is subject to the regulations set out in HKAS 002, HKAS SC-01 and any other relevant HKCAS
requirements as specified from time to time by HKAS?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.8 Does your certification body ensure that organizations certified for management
system will NOT use the certification mark on a product, product packaging or a test certificate, or in
any way that may be interpreted by any person as suggesting product certification?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.9 Does your certification body ensure NOT to use the HKCAS accreditation symbol
on any stationery, documents, publications and advertisements are related in whole or in part to your
scope of accreditation?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.9 Does your certification body ensure that the HKCAS accreditation symbol will not
be used by any of your certified organizations on any stationery, documents, publications and
advertisements unless those stationery, documents, publications and advertisements are related in
whole or in part to the your scope of accreditation and to the certification scope of the organization?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.10 Does your certification body ensure that your certified organizations will only use
the HKCAS accreditation symbol together with your certification symbol in such a manner as set down
in HKAS SC-01 and any other relevant HKCAS Supplementary Criteria?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.11 Does your certification body ensure NOT to use the HKCAS accreditation symbol
in any way that may be interpreted by any person as suggesting that HKAS Executive has certified or
approved the activities of your certified organizations, or in any way which may have a misleading
effect?
Does your certification body also take reasonable steps to ensure that your certified organisations will
not use the HKCAS accreditation symbol in such a way?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.12 Does your certification body ensure that if the accreditation in relation to any
activity under your scope of accreditation is suspended or terminated, your certification body will
immediately cease to use and distribute any certificate, stationery, document, publication and
advertisement which bears the accreditation symbol, save for those which relate in whole or in part to
activities, the accreditation of which is not terminated?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 5.13 If the accreditation for a certification system of your certification body is
terminated, will your certification body take all steps to ensure that your certified organisations cease
to use the HKCAS accreditation symbol, save for those which relate in whole or in part to certification
systems, the accreditation of which is not terminated?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-04 6.1 Does your certification body ensure that application for any HKCAS service from
HKAS is made in appropriate forms?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
Specific regulations specific for EnMS certification scheme under HKCAS
HKCAS SC-10 3 General requirements
HKCAS SC-10 3.1 Is there a contract signed between the applicant organization and your certification
body to confer your certification body the authority to carry out the responsibility in accordance with
HKCAS 003?
Does the contract also confer your certification body the authority to carry out the responsibility in
accordance with HKAS SC-10?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 4 Resource requirements
HKCAS SC-10 4.1 Does your certification body have at least one competent auditor or audit team in
every area (classified in accordance with Appendix C) for which your certification body has applied or
is holding current accreditation?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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HKCAS SC-10 4.2 Does your certification body define the competence criteria and the pre-requisite
levels of education, work experience and training for personnel responsible for certification functions
such as the following?
- Conducting contract review,
- Selecting and verifying the competence of EnMS auditor,
- Auditing,
- Leading the audit team,
- Reviewing audit reports and
- Making certification decisions.
Are the requirements in Annex A of HKCAS 003 and the competence requirements for the auditor(s)
and personnel involved in the EnMS certification process as defined in ISO 50003: 2014 applied?
Does your certification body demonstrate that your personnel comply with such criteria through a
proper appraisal system and keep the evidence of competence?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 4.3 Does your certification body have a process to ensure that the audit team is
composed of auditors with appropriate competence for conducting an EnMS audit?
Does each audit team have appropriate technical knowledge and knowledge of the requirements on
energy management or energy utilization laid down by the relevant regulatory bodies in Hong Kong
applicable to the client organization which it audits?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 4.4 Is the audit of an applicant organization performed by an audit team consisting of a
lead auditor and where necessary, auditor(s) and technical expert(s)?
Where the audit is conducted by a team (more than one auditor), does the levels of skills required held
within the team as a whole?
Does each audit team have sufficient knowledge and expertise and appropriate work experience
required to audit all relevant EnMS activities of the organization, including developing energy review,
establishing energy baseline, identifying EnPI and legal requirements and other energy-related
requirements such as agreement with customers and voluntary programmes, knowledge of design and
procurement activities related to energy performance, calibration of equipment, and energy
measurement and analysis?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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HKCAS SC-10 4.5 Does your certification body ensure that the lead auditors and auditors have
successfully completed appropriate training on audit technique based on ISO 19011: 2011?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 4.6 Are technical experts included in the audit team?
Do they provide technical support to the auditor or the team?
Although technical experts need not be trained on auditing techniques, do they have the required
qualification, experience and technical knowledge on the activities to be audited?
Do they work under the direction and close supervision of a qualified auditor or a lead auditor during
an EnMS audit?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 4.7 Does the audit team include a trainee auditor who works under close supervision
of a qualified lead auditor or auditor?
Is the responsibility assigned to him/her less than the level for a qualified auditor?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 4.8 Does your certification body identify and evaluate training needs for your personnel
and provide them with necessary training, such as up-to-date knowledge in operation of energy
management system, control of significant energy uses, EnMS standard and other relevant normative
documents, HKAS accreditation criteria, and skills in auditing?
After training, is the competence of the personnel involved in EnMS certification activities evaluated?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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HKCAS SC-10 4.9 Is certification decisions made by a staff member or a committee?
In case the certification decision is made by a committee, does your certification body ensure that the
committee members who make decision on granting/withdrawing a certification have a level of
knowledge and experience sufficient for making a sound decision based on the results or information
obtained from the auditing processes?
Does your certification body have documented procedures and criteria for the committee to make
certification decisions?
Have the committee members trained on the criteria?
Are detailed records of the factors considered by the committee and the deliberation kept?
Is the performance of the committee monitored?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 4.10 Does your certification body implement a system to monitor the performance of
your personnel involved in the EnMS audit, including lead auditors, auditors and technical experts?
Does your certification body perform on-site performance evaluation for every auditor and lead auditor
at least once every three years?
Does the evaluation cover all aspects of the activities that the auditors have been authorised by the
certification body to perform?
Does your certification body take corrective actions if there is any doubt on the competence of an
auditor and a lead auditor?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 5 Information Requirements
HKCAS SC-10 5.1 Does your certification body include all names and geographic locations of a
certified organization covered by a certification in a certification document?
Are the activities carried out in each geographic location covered by an EnMS certification clearly
specified in the certification documents?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 5.2 Does your certification body ensure that the scope and boundaries of the EnMS
are clearly defined by the top management of the applicant organization and stated in the certification
documents in a way that would not create misleading impression?
Does your certification body ensure the integrity of the EnMS within the defined scope and boundaries
such that it can be implemented effectively?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6 Process Requirements
HKCAS SC-10 6.1 Does your certification body specify the information to be provided by an applicant
organization which applies for its certification?
Upon receiving an application, does your certification body review and check whether sufficient
information has been provided by the organization and ask for supplementary information if
necessary?
To ensure that essential information will not be missed out, has your certification body designed an
application form which lists all the information required for use by the organizations?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.2 Does your certification body confirm the suitability of the scope and boundaries at
each audit in accordance with ISO 50003?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.3 Does your certification body have an effective system to enable the analysis of
your own competencies in energy management and your audit work to ensure that you have the
competence and ability required for each technical area in the certification process?
Is such competence analysis conducted by your certification body for each client organization before
performing the contract review?
Are the details of the analysis and the outcome recorded?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.4 For the stage 1 audit, does your certification body include on-site visit at an
applicant organization’s premises including both permanent location(s) and temporary site(s) where
the organization carries out work or service?
Does your certification body record the justifications for not doing so, e.g. your certification body has
audited the organization recently for certification of another management system, and all important
information relevant to the EnMS has been collected?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.5 Does your certification body audit an applicant organization’s EnMS documentation
in the stage 1 audit to determine whether and when the organization is ready for the stage 2 audit?
Does your certification body determine the interval between stage 1 and stage 2 audits and only
conduct stage 2 audit after the findings identified in the stage 1 audit have been adequately resolved
by the organization?
In general, the organization will need some time to adequately resolve findings identified in the stage 1
audit, scheduling the stage 1 and stage 2 audits back to back is not recommended.
Is the interval between stage 1 and stage 2 audits and its justification recorded?
Does your certification body repeat stage 1 audit if changes to an applicant organization’s EnMS have
rendered the information collected in the original stage 1 audit invalid?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.6 When parts of an applicant organization’s EnMS have been confirmed to be in
conformity with the certification criteria in the stage 1 audit and not be re-audited in the stage 2 audit,
does your certification body in the stage 2 audit verify that no substantial changes have been made to
those parts?
For such cases, is it clearly stated in the stage 2 audit report that conformity of those parts has been
established during the stage 1 audit?
Does your certification body have documented procedures for determining of those parts has been
established during stage 1 audit?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.7 Does your certification body have documented procedures for determining the
amount of time required for any initial audit (stage 1 and stage 2) surveillance audit and re-certification
audit in accordance with ISO 50003?
Does your certification body ensure that the audit team has sufficient time to cover all relevant
elements in accordance with ISO 50001:
20011 requirements at each audit stage?
Are the audit duration determined by the certification body and the justification for the determination
recorded?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.8 Where the EnMS audit is to be combined with audits of other management
systems, for example, quality management system (QMS) and environment management system
(EMS), does your certification body able to demonstrate that the EnMS audit complies with all
requirements as specified in ISO 50003 and with all relevant HKAS accreditation criteria?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.9 Where certification body offers multiple-site certification, does your certification
body have documented procedures for multiple-site sampling audit in accordance with ISO 50003?
Does your certification body record the justification for the sampling plan of a multiple-site sample
audit?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.10 Does your certification body follow the requirements in IAF MD 2: 2007
Mandatory Document for the transfer of Accredited Certification of Management Systems when
allowing the transfer of an existing EnMS certification from another accredited certification body?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.11 To ensure consistent quality of audits, does your certification body have
documented procedures, criteria and quality assurance measures for all certification schemes your
certification body operates?
Does your certification body, in particular, implement a system to ensure that the certification activities
are operating effectively and certification decisions are made by parties not involved in the audit?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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HKCAS SC-10 6.12 During audits, does your certification body evaluate whether the applicant
organization has appropriate process for ensuring the competence of personnel and any persons
working on behalf of the organization responsible for EnMS activities?
Does your certification body examine carefully the system of the organization for ensuring that such
activities are implemented, operated and maintained properly?
Do audit teams of your certification body have the required expertise to carry out such competence
evaluation and devote sufficient time to carry out evaluation properly?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.13 Does your certification body ensure that the applicant organization has
established an appropriate interval for reviewing and evaluating compliance with legal requirements
and other energy-related requirements to which the applicant organization subscribes?
Does your certification body also evaluate whether the organization has established appropriate
processes in place and has assigned duties and responsibilities of personnel to implement the actions
needed for complying with any updated requirements?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.14 Does your certification body evaluate whether the applicant organization has
relevant analysis of energy use and consumption, and whether the areas of significant energy use and
the opportunities for improving energy performance have been appropriately identified?
Does your certification body also ensure that methodology and criteria for prioritizing opportunities for
improving energy performance have been developed and documented by the organization?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.15 Does your certification body ensure that the applicant organization has developed
a process for collecting and recording consistent and reliable data related to energy management at
appropriate frequency, for example, annually?
Is your certification body recommended to consider the industry best practices in evaluating such time
intervals, and the justification for accepting the frequency recorded?
Does your certification body ensure details such as identification of required data, roles and
responsibilities of personnel involved in the process, frequency of collecting data, data source and
storage location, methods of recording data, and verification of data have been defined and
documented by the organization?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.16 Does your certification body ensure that the applicant organization uses recent
and reliable data to establish the energy baseline, and periodically review the energy baseline to
determine if adjustments are required?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.17 Does your certification body ensure that the applicant organization has selected
and used appropriate methods or models for calculating EnPIs?
Does reference to international practices such as ISO 50006: 2014 made as far as possible?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.18 Does your certification body ensure that the application organization has
determined other variables such as whether, seasonal effect and operating schedule that can
significantly affect an EnPI?
Does your certification body ensure that the organization has evaluated the correlation of the EnPI
with such variables and appropriate model is used in its EnPIs calculation?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.19 Does your certification body ensure that the applicant organization has reviewed,
and updated if necessary, their EnPIs at appropriate time interval?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
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HKCAS SC-10 6.20 Does your certification body ensure that the applicant organization’s energy
objectives and targets are consistent with the energy policy, and appropriate action plans are in place
for achieving its objectives and targets?
Does your certification body ensure that the action plans are documented and updated at appropriate
time intervals?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.21 Does your certification body ensure that the applicant organization has
established appropriate calibration programmes for equipment used for monitoring and measurement
of key characteristics of the organization’s EnMS?
Does your certification body ensure that the organization has checked and/or calibrated the equipment
in accordance with appropriate specifications before use?
Does your certification body ensure that calibration methods, requirements and frequencies are
specified?
Does your certification body ensure that the responsibilities of personnel involved in the calibration
process for ensuring the equipment is properly calibrated are defined by the organization?
Does your certification body ensure that the records including equipment information and identification,
location and status of equipment, adjustments and maintenance of equipment, calibration schedule,
calibration report, and verification of calibration results are maintained?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.22 Does your certification body require the applicant organization to define an
appropriate time interval for conducting internal audit and management review of the EnMS?
Does your certification body record the justification for accepting such time interval?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 6.23 Subject to the agreement of its applicant organizations, an accredited certification
body may take and/or keep photos and/or video images of process lines to demonstrate that the
organizations have implemented EnMS effectively or to show details of any observed defects?
Does your certification body keep records of supplementary information necessary for the
interpretation of such photos and video images recorded?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
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Findings/Comments: (To be filled-up by the AB)
HKCAS SC-10 7 Management system requirements for certification bodies
HKCAS SC-10 7.1 Has your certification body established and maintained a management system for
offering EnMS certification service and appropriate documented procedures covering EnMS specific
elements in accordance with the requirements of HKCAS 003?
Do the management system and documented procedures cover the auditing of the EnMS of the
applicant organization in accordance with ISO 50001: 2011 or the certification scheme?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS regulations specific for certification(s) in respect of certification scheme(s)
HKCAS SC-11 2.1 Does the certification scheme have the following elements:
- identification of the type (i.e. management system) and the object of certification;
- the requirements, including any interpretations thereof, against which the certification takes
place (such as the certification standards, product specifications, legal standards);
- the way in which the certification body establishes the conformity (such as audit method,
inspection protocol, inspection instruction, test method, etc.) and the process or procedure
description required;
- if applicable, the way in which surveillance and/or re-certification takes place (such as
surveillance frequencies, contents, activities, scopes);
- the requirements, including any interpretations thereof, that apply to the certification body with
regard to its organization, mode of operation, personnel, equipment, reporting, certificates,
etc.?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-11 2.2 Does the certification scheme meet the following criteria:
- has been developed with the participation of technically competent representatives of
interested parties, or has been subject to formal review by such parties and subsequently
revised as appropriate;
- is such that it is possible to assess whether a subject product or management system is in
compliance;
- has credibility with industry, appropriate regulatory authorities and relevant professional groups;
- is periodically reviewed with the involvement of representatives of interested parties as far as
practicable and updated where necessary;
- is publicly available for application without restriction by number of membership or other
limitation?
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Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-11 4.2 Are the requirements against which the management system is assessed
unambiguously specified?
Does the elements as described below are present in the certification scheme?
- Policy
- Planning
- Implementation and Execution
- Assessment of performance
- Improvement
- Management Review
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-11 4.3 Does the applicant or accredited certification body conform to all the requirements
of ISO/IEC 17021?
If the certification scheme contains additional requirements to a certification body, do these
requirements deviate from the requirements of ISO/IEC 17021?
With respect to the certification audit magnitude, HKAS uses the principles as set out in relevant IAF
Guidance or Mandatory documents (i.e. IAF MD 5).
Is the auditing effort of the certification scheme less extensive than indicated in this IAF document?
(This will normally not be accepted for accreditation.)
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-11 4.4 Does the certification scheme describe the system of monitoring on certificates
issued?
Does the monitoring consist of surveillance and recertification audits as stipulated in Clauses 9.3 and
9.4 of ISO/IEC 17021?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
Philippine Accreditation Bureau
Management System Accreditation
Assessment Checklist for
ISO 50003:2014
Document ID
Issue Number
Revision Number
Effectivity Date
Page
MSA/SF34
01
00
September 2018
87 of 87
Clause Requirement
HKCAS SC-11 4.5 Does the certification scheme describe in which manner the results are to be
interpreted and the consequences associated with the results?
Does this mean that non-conformities would prelude certification, or would be a cause for suspending
or withdrawing the certificate described?
Is the objective of management system certification to ensure compliance with regulatory
requirement?
If this is the case failure to comply with these requirements, is it considered as reasons for not issuing
a certificate or for suspension or withdrawal of a certificate?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
HKCAS SC-11 4.6 Is the certificate issued based on the certification audit in line with the audit
conducted?
Does the certificate unambiguously describe the type of management system that was certified?
Describe briefly the CB’s established policies and procedures: (To be filled-up by the CB)
Findings/Comments: (To be filled-up by the AB)
