17021-1-2015-Checklist--Jan-16

ISO/IEC17021-1:2015ChecklistConformityassessment–Requirementsforbodiesprovidingauditandcertificationofmanagementsystems–Part1:RequirementsJan16Page1of79CertificationBody:Address:AccreditationProgrammes:QMS,OSHMS,GDPMDS,HACCPFMS,FSMS,BCM,QMBS,EnMS,WEMS,LSP,MTCS,EIMS,AMS(pleasedeleteasappropriate)Date(s)ofAssessment:TypeofAssessment:Preliminary/Initial/Surveillance/Renewal/Non-routine(pleasedeleteasappropriate)ExtensionofScopes(ifany):Transitionofstandards(ifany):TeamLeader/Assessor(s):AccreditationCriteria:[][][][][][][][][][][][][][][][]ISO/IEC17021-1:2015Conformityassessment–Requirementsforbodiesprovidingauditandcertificationofmanagementsystems-Part1:RequirementsISO/IEC17021-2:2012Part2:CompetencerequirementsforauditingandcertificationofenvironmentalmanagementsystemsISO/IEC17021-3:2013Part3:CompetencerequirementsforauditingandcertificationofqualitymanagementsystemsISO/IEC17021-5:2014Part5:CompetencerequirementsforauditingandcertificationofassetmanagementsystemsISO/IEC17021-6:2014Part6:CompetencerequirementsforauditingandcertificationofbusinesscontinuitymanagementsystemsSACCT02–SACCriteriaforCertificationBodies(OSHMS)SACCT04–SACCriteriaforCertificationBodies(GoodDistributionPracticeforMedicalDevices)SACHACCPDocumentNo.1(RequirementsforHACCPAuditingMethodologyandCriteriaforAuditors)SACCT08–SACCriteriaforCertificationBodies(BusinessContinuityManagement)SACCT09-SACCriteriaforCertificationBodies(QualityManagementforBunkerSupplyChain)SACCT10–SACCriteriaforCertificationBodies(EnergyManagement)SACCT11–SACCriteriaforCertificationBodies(WaterEfficiencyManagementSystems)SACCT13–SACCriteriaforCertificationBodies(LearningServiceProviders)SACCT14–SACCriteriaforCertificationBodies(Multi-TieredCloudComputingSecurity)SACCT15–SACCriteriaforCertificationBodies(ManagementofEnd-of-lifeICTEquipment)SACCT16–SACCriteriaforCertificationBodies(AssetManagement)Jan16Page2of79IAFMD15-IAFMandatoryDocumentfortheCollectionofDatatoProvideIndicatorsofManagementSystemCertificationBodies’Performance(Applicationdate:14July2016)AccreditationProgrammeCertificationStandardsNo.ofSACAccreditedCertificatesvalidattheendofDecemberNo.ofSACAccreditedCertificatesvalidduringtheassessmentNo.ofauditorsNo.ofoverdueauditsNo.ofauditor-daysdeliveredJan16Page3of79Legend:C–Complies,O–Observation,T–ToAddressatAudit,N–Nonconformity,N/A–NotApplicable,F–FurtherinformationrequiredClauseRequirementCommentsManualand/orProceduresreferenceFinding5GeneralRequirements5.1Legalandcontractualmatters5.1.1LegalresponsibilityIsthecertificationbodyalegalentity,oradefinedpartofalegalentity,thatcanbeheldlegallyresponsibleforallitscertificationactivities?Agovernmentalcertificationbodyisdeemedtobealegalentityonthebasisofitsgovernmentalstatus.5.1.2CertificationagreementDoesthecertificationbodyhavealegallyenforceableagreementwitheachclientfortheprovisionofcertificationactivitiesinaccordancewiththerelevantrequirementsofthispartofISO/IEC17021-1?Wheretherearemultipleofficesofacertificationbodyormultiplesitesofaclient,doesthecertificationbodyensurethatthereisalegallyenforceableagreementbetweenthecertificationbodygrantingcertification,andtheclientthatcoversallthesiteswithinthescopeofthecertification?NOTEAnagreementcanbeachievedthroughmultipleagreementsthatreferenceorotherwiselinktooneanother.5.1.3ResponsibilityforcertificationdecisionsJan16Page4of79ClauseRequirementCommentsManualand/orProceduresreferenceFindingIsthecertificationbodyresponsibleforitsdecisionsrelatingtocertification,includingthegranting,refusing,maintainingofcertification,expandingorreducingthescopeofcertification,renewing,suspendingorrestoringfollowingsuspension,orwithdrawingofcertification?Doesthecertificationbodyretainauthorityforitsdecisionrelatingtocertification,includingthegranting,refusing,maintainingofcertification,expandingorreducingthescopeofcertification,renewing,suspendingorrestoringfollowingsuspension,orwithdrawingofcertification?5.2Managementofimpartiality5.2.1Isthecertificationbodyresponsiblefortheimpartialityofitsconformityassessmentactivities?Doesthecertificationbodyallowcommercial,financialorotherpressurestocompromiseimpartialityorensurethatconformityassessmentactivitiesareundertakenimpartially?5.2.2Doesthecertificationbodyhaveapolicydemonstratingthatitunderstandstheimportanceofimpartialityincarryingoutitsmanagementsystemcertificationactivitiesandmanagingconflictsofinterestthusensuringtheobjectivityofitsmanagementsystemcertificationactivities?5.2.3Doesthecertificationbodyhaveaprocesstoidentify,analyse,evaluate,treat,monitoranddocumenttherisksrelatedtoconflictofinterestsarisingfromtheprovisionofcertificationincludinganyconflictsarisingfromitsrelationshipsonanongoingbasis?Jan16Page5of79ClauseRequirementCommentsManualand/orProceduresreferenceFindingIntheeventwhereanythreatstoimpartialityareidentified,doesthecertificationbodydocumentanddemonstratehowiteliminatessuchthreatsanddocumentanyresidualrisk?Doesthedemonstrationcoverallpotentialthreatsthatareidentified,whethertheyarisefromwithinthecertificationbodyorfromt