SADCAS F 40a - Checklist ISO IEC 17021-2015 Conformity Assessment - Requirements For Bodies Providing Audit and Cert MS (Issue 1) PDF

SADCAS F 40 (a)
SADCAS Ref. No:
CHECKLIST ISO/IEC 17021:2015

Conformity Assessment –Requirements for Bodies Providing Audit
and Certification of Management Systems
Date(s) of Evaluation:
Assessor(s) & Observer(s):
Organization:
Area/Field of Operation:
Organization’s Representative:
The report covers the following:

Document Review only Implementation on Document Review and Assessment of
Site Visit only Site Visit Company Files
CB’S
ISO/IEC 17021 REQUIREMENTS COMMENT BY ASSESSOR
REFERENCES
5 General requirements
5.1 Legal and contractual matters
5.1.1 Legal responsibility
Legal entity or a defined part of a legal entity

can be held legally responsible. (Pty) Ltd, CC or
other?
Verify registration with Registers of Companies
Governmental CB is a legal entity based on its

governmental status. Identity department.
5.1.2 Certification agreement
Legally enforceable agreement (contract) for

provision of certification activities to
customer?
Are multiple offices of a CB or multiple sites of

a certified customer covered by the
agreement?
Are all the sites covered by the scope of the

certification?
5.1.3 Responsibility for certification decisions
Does CB retain authority and responsibility for

its decisions relating to certification? e.g.
granting, maintaining, renewing, extending,
reducing, suspending and withdrawing.
Issue No: 2 Page 1 of 41 Date of Issue: 2016-06-03

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5.2 Management of impartiality
5.2.1 Is CB top management commitment to

impartiality?
Is there a publicly accessible statement? Does
it cover:
• Importance of impartiality;
• Conflict of interest; and
• Is the CB carrying out its conformity
assessment activities impartially? Is the CB
taking responsibility of impartiality for its
conformity activities and not allowing
commercial, financial or other pressures
to compromise impartiality?
5.2.2 Does the CB have top management

commitment to impartiality in management
system certification activities?
Does the CB have a policy :

• Concerning the importance of impartiality
in carrying out management system
certification activities;
• To manage the conflict of interests; and
• To ensure the objectivity of the
management system certification
activities
5.2.3 Are risks related conflict of interests identified,

Analysed and documented and managed
through the system?
Are relationships posing a threat to impartiality
documented?
How does the CB demonstrate that it

eliminates or minimizes such threats?
Information made available to the impartiality
Committee?
Does top management review any residual
risk?
Does the risk assessment process include
identification and consultation with
appropriate interested parties to advise on
matters affecting impartiality including
openness and public perception?
Not offering certification when relationships
that threaten impartiality cannot be eliminated
or minimized.
Note 1: A relationship that threatens the impartiality
of the CB can be based on ownership, governance,
management, personnel, shared resources, finances,
contracts, marketing and payment of a sales
commission or other inducement for the referral of
new clients, etc.

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Note 2: Interested parties can include personnel and
clients of the CB, customers and organizations whose
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.
Note 3: One way of fulfilling the consultation

requirement is by the use of a Committee of these
interested parties.
5.2.4 Does the CB offer certification for another CB’s

management system
See Note 1
5.2.5 Does the CB and any part of the same legal

entity offer or provide management system
consultancy?
This applies also to that part of government
identified as the CB.
See Note 1
5.2.6 Does the CB any part of the same legal entity

provide internal audits to its certified
customers?
Does the CB certify a management system on
which it provided internal audits within 2 years
following the end of the internal audits?
This applies also to that part of government

identified as CB.
See Note 1
5.2.7 Does the CB certify a customer when the CB’s

relationship with a management system
consultancy or internal audits, poses an
unacceptable threat to the impartiality of the
CB?
See Notes 1,2,3
5.2.8 Does the CB outsource audits to a

management system consultancy
organization? (Unacceptable threat to
impartiality. See 7.5).
This clause does not apply to individuals
contracted as auditors covered in 7.3
5.2.9 Are the CB’s activities marketed or linked with

management system consultancy?
CB takes action to correct inappropriate claims
by any consultancy organization?

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Are there any implications by CB that
certification would be simpler, easier, faster or
less expensive if a specified consultancy
organization is used?
5.2.10 Does CB ensure no conflict of interest of

personnel?
Two years rule applied, how effective is the

process?
5.2.11 Is action taken to respond to any threats to

CB’s impartiality arising from the actions of
other persons, bodies or organizations?
5.2.12 Does all CB personnel, internal, external or

committees act impartially and does the CB
allow commercial, financial or other pressure
to compromise impartiality?
5.2.13 Does the CB require all personnel to reveal any

conflict of interest situations?
Information used as input to identifying threats

to impartiality?
5.3 Liability and Financing

5.3.1 Is the CB able to demonstrate that it has
evaluated 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 field of activities and the geographic
areas in which it operates?
5.3.2 Does the CB evaluate its finances and sources

of income and demonstrate to the committee
specified in 6.2 that initially and on an ongoing
basis, commercial, financial or other pressures
do not compromise its impartiality?
6. Structural requirements
6.1 Organizational structure and top

management
6.1.1 Organizational structure documented including

duties, responsibilities and authorities for
personnel and committees; and relationships
to other parts within the same legal entity?
6.1.2 Are the certification activities structured and

managed so as to safeguard impartiality ?
6.1.3 Does the CB identify the top management

(board, group of persons, or person) having

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overall authority and responsibility for each of
the following:
a) development of policies relating to the
operation of the body?
b) supervision of the implementation of
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) providing adequate resources for
certification activities?
6.1.4 Formal rules for the appointment, terms of

reference and operation of any committees
involved in the certification activities?
6.2 Operational Control

6.2.1 Does the CB 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?
Does the CB consider the risk that these

activities pose to the competence, consistency
and impartiality of the CB?
6.2.2 Does the CB consider the appropriate level and

method of control of activities undertaken
including its processes, technical areas of CBs’
operations, competence of personnel, lines of
management control, reporting and remote
access to operations including records?
7 Resource requirements
7.1 Competence of personnel
7.1.1 General considerations

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Does a CB have a process to ensure that
personnel have appropriate knowledge and
skills relevant to the types of management
systems and geographical areas in which it
operates?
7.1.2 Determination of competence criteria
Is competence required for each technical area

and for each function in the certification
activity determined for each technical area?
Is the means for the demonstration of

competence determined?
Are competence requirements determined for

all CB personnel and is this as per documented
process?
Is the documented process as per Annexure A

or as per certification scheme?
7.1.3 Evaluation processes

Does the CB 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?
Are these methods effective?
7.1.4 Other considerations

Does the CB have access to the necessary
technical expertise for technical areas, types of
management system and geographic areas in
which it operates?
7.2 Personnel involved in the certification

Activities
7.2.1 Does the CB as part of its own organization.

have personnel with sufficient competence for
managing the type and range of audit
programmes and other certification work
performed?
7.2.2 Does the CB employ or have access to a

sufficient number of auditors including audit
team leaders and technical experts to cover all
activities and volume of work?
7.2.3 Does the CB make clear to each person

concerned duties, responsibilities and
authorities?

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7.2.4 Does the CB have defined processes for:
• Selecting
• Training
• Formally authorizing auditors and
• Selecting technical experts?
Does the initial competence evaluation of an

auditor include the ability to apply required
knowledge and skill during audits, as
determined by a competent evaluator
observing (witnessing) the auditor conducting
an audit?
7.2.5 Does the CB 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?
7.2.6 Are auditors and technical experts

knowledgeable of the CB’s audit processes,
certification scheme and its requirements and
other relevant requirements?
Does the CB 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?
7.2.7 Are auditors and technical experts used in

these activities where they have demonstrated
competence?
Are training needs identified for functions

performed?
Where there is need, is training offered or

provided?
7.2.8 Are person(s) taking the certification decisions

knowledgeable on the :
• applicable standard;
• certification requirements;
• have demonstrated competence to
evaluate the audit processes; and related
recommendations of the audit team?
7.2.9 Does documented procedures and criteria for

monitoring and measurement of performance
of all personnel exist?

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Competence reviewed to identify training
needs?
7.2.10 Does the CB monitor each auditor considering

each type of management system? The
documented monitoring process shall include a
combination of onsite evaluation, review of
audit reports and feedback from clients or
from market.
7.2.11 Does the CB periodically observe the

performance of each auditor on-site? Is the
frequency of on-site observations based on
need determined from all monitoring
information available?
7.3 Use of individual external auditors and

external technical experts
Does a CB have a written agreement with

external auditors and external technical
experts in place by which they commit
themselves to comply with applicable policies
and procedures as defined?
Does the agreement address all relevant

aspects?
7.4 Personnel records
Does the CB maintain up-to-date personnel

records including:
• Relevant qualifications;
• Training;
• Experience;
• Affiliations;
• Professional status; and
• Competence?
Does this include management and

administrative personnel in addition to those
performing certification activities?
7.5 Outsourcing
7.5.1 Does the CB have a process in which it

describes the conditions under which
outsourcing may take place?
Legally enforceable agreement with each body

that provides outsourced services?
See Notes
7.5.2 Is the CB outsourcing certification decisions?

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7.5.3 Does the CB:
a) take responsibilities for all activities
outsourced?
b) ensure that the body that provides
outsources activities:
• conforms to the CB’s requirements
• conforms to the applicable provisions
of this international standard
including competence, impartiality
and confidentiality?
c) ensure that the outsourced services are
not involved in any way that impartiality
could be compromised?
7.5.4 Documented procedures for the qualification

and monitoring of all outsourced services used
for certification activities?
Records of the competence of auditors and

technical experts maintained?
See Notes
8 Information requirements
8.1 Publicly accessible information
8.1.1 Does the CB maintains and make publicly

accessible or without request information
describing:
a) audit processes;
b) certification processes;
c) types of management systems and
certification schemes in which it operates,
d) the use of the CB’s name and certification
mark and logo,
e) processes for handling requests for
information, complaints and appeals, and
f) policy on impartiality
8.1.2 Does the CB provide upon request information

describing:
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 of
specific certified client.
See Notes
8.1.3 Is the information provided by the CB to any
client or to the market place including
advertising accurate and not misleading?
8.2 Certification documents

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8.2.1 Does the CB provide certification documents to
the certified client by any means it chooses?
8.2.2 Does the certification document(s) identify the

following:
a) the name and geographic location of each
client and any sites within the scope of a
multi-site certification?
b) the dates of granting, extending or
renewing certification?
c) the expiry date or re-certification due
date consistent with the re-certification
cycle?
d) a unique identification code?
e) the standard and/or other normative
document including issue number and/or
revision used for the certified customer?
f) the scope of certification with respect to
product (including service), process, etc.,
as applicable at each site?
g) the name, address and certification mark
of the CB, other marks (e.g. accreditation
symbol)?
h) any other information required by the

standard and/or other normative
document used for certification?
i) in the event of issuing any revised
certification documents, a means to
distinguish the revised documents from
any prior obsolete documents?
8.3 Reference to certification and use of

marks
8.3.1 Does the CB have rules governing any mark

that it authorizes certified customers to use? Is
the mark used on a product or product
packaging seen by the consumer?
8.3.2 Does the CB permit its mark to be applied to

laboratory test, calibration or inspection
reports or certificates?
8.3.3 Does the CB have rules governing the use of

any statement on product packaging or in
accompanying information that the certified
client has a certified management system?
Does the statement include reference to:
a) identification (e.g. brand or name) of the

certified client;
b) the type of management system (e.g.
quality, environment) and the applicable
standard;

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c) the certification body issuing the
certificate.
8.3.4 Does the CB require that the client

organization:
a) conforms to the requirements of the CB
when making reference to its certification
status in communication media?
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 CB? (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 to imply that the CB certifies a
product (including service) or process?
g) does not imply that the certification
applies to activities that are outside the
scope of certification?
h) does not use its certification in such a
manner that would bring the CB and/or
certification system into disrepute and
lose public trust?
8.3.5 Does the CB exercise proper control of
ownership and take action to deal with
incorrect references to certification status or
misleading use of certification marks or audit
reports?
See Note
8.4 Confidentiality
8.4.1 Does the CB through legally enforceable

agreements have arrangements to safeguard
the confidentiality of the information at all
levels of its structure, including committees
and external bodies or individuals acting on its
behalf?
8.4.2 Client informed by the CB of the information it

intends to place in the public domain?
8.4.3 Except as required in this international

standard, is information about a particular

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client or individual disclosed to a third party
without the written consent of the client or
individual concerned?
8.4.4 Where the CB is required by law to release
confidential information to a third party, is the
customer or individual concerned, unless
regulated by law, notified in advance of the
information provided?
8.4.5 Is information about the client treated as

confidential, consistent with the CB’s policy?
8.4.6 Do all personnel acting on the CB’s behalf keep

confidential all information obtained or
created during the performance of the CB’s
activities?
8.4.7 Does the CB have processes and where

applicable equipment and facilities that ensure
the secure handling of confidential
information?
8.5 Information exchange between a CB and

its clients
8.5.1 Information on the certification activity

and requirements
Does the CB 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 and
re-certification?
b) The normative requirements for

certification?
c) Information about the fees for
application, initial certification and
continuing certification?
d) The CB’s requirements for 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?

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3 make provisions where applicable to
accommodate the presence of
observers (e.g. accreditation auditors
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 8.3?
f) Information on processes for handling

complaints and appeals?
8.5.2 Notice of changes by a CB
Does the CB give its certified clients due notice

of any changes to its requirements for
certification?
Does the CB verify that each certified client

complies with the new requirements?
8.5.3 Notice of changes by a client
Legally enforceable arrangements to ensure

that the certified customer informs the CB of
matters that may affect the management
system’s ability to continue to fulfil the
requirements of the standard used for
certification?
See examples a) to e) in the standard
9 Process requirements
9.1 Pre-certification activities
9.1.1 Application
Does the CB require an authorized
representative to provide the necessary
information to enable the CB to establish the
following :
a) scope of the certification,

b) relevant details of the applicant
organization as required by the specific
certification scheme, including its name
and 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,

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d) the standards or other requirements for
which the applicant organization is
seeking certification,
e) whether consultancy relating to the
management system to be certified has
been provided and, if so, by whom.
9.1.2 Application review
9.1.2.1 Does the CB 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 9.1.3),
b) any known difference in understanding
between the CB and the applicant
organization is resolved,
c) the CB has the competence and ability to

perform the certification activity,
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.)
9.1.2.2 Following the review of the application, does

the CB either accept or decline an application
for certification ?
When the CB declines an application, does the
CB document the reasons for declining an
application and make clear to the client?
9.1.2.3 Based on the review of the application, does

the CB determine the competences it needs to
include in its audit team and for the
certification decision ?
9.1.3 Audit programme
9.1.3.1 Is the audit programme for the full

certification cycle developed and does it clearly
identify the audit activity(ies) required for
certification to the selected standard(s) or
other normative documents?
9.1.3.2 Does the audit programme include a two-stage

initial audit, surveillance audits in the 1st and
2nd years and a re-certification audit in the 3rd
year prior to expiration of certification? (The
certification cycle begins with the certification
or recertification decision). See 9.6.3.2.3

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See Notes 1,2,3

9.1.3.3 Does the CB conduct surveillance audits at
least once a calendar year, except in
recertification years.
Does the CB ensure that the first surveillance audit
following the initial certification is carried out not
more than 12 months from the decision date?
See Note
9.1.3.4 Where a CB is taking account of certification or

other audits already granted to the customer,
does it collect sufficient, verifiable information
to justify and record any adjustments to the
audit programme?
9.1.3.5 Where the client operates shifts, does the CB

consider activities that take place during shift
working when developing the audit
programme and audit plans ?
9.1.4 Determining audit time
9.1.4.1 Does the CB have documented procedures for

determining audit time need to plan and
accomplish a complete and effective audit?
9.1.4.2 In determining the audit time, does the CB

consider among other things the following
aspects:
a) The requirements of the management
system standard?
b) Complexity of the client and its
management system?
c) Technological and regulatory context?
d) Any outsourcing of any activities?
e) The results of any prior audits?

f) Size and number of sites and multi-site
considerations?
g) The risks associated with the products,
processes or activities of the
organization?
h) Whether audits are combined, joint or

integrated?
See Notes 1,2
9.1.4.3 Does the CB record the duration of the audit

and its justification?

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9.1.4.4 Does the CB include time spent by any team
member that is not assigned as an auditor?
9.1.5 Multi‐‐site sampling
Where multi-site sampling is utilized, did the

CB develop an adequate sampling programme
to ensure proper audit of the management
system?
Is the rationale for the sampling plan
documented? (IAF guidance applies)
9.1.6 Multiple management system standards

When the CB provide certification based on
multiple management standards, does the
planning for the audit ensure adequate on-site
auditing?
9.2 Planning audits

9.2.1 Determining audit objectives, scope
and criteria
9.2.1.1 Does the CB determine the audit objectives?
Is the audit scope and criteria including

changes established by the CB after discussions
with the client?
9.2.1.2 Are audit describing what is to be

accomplished by the audit and does it include
the following:
a) determination of the conformity of the

client’s management system, or parts of
it, with the audit criteria
b) evaluation of the ability of the
management system to ensure the client
organization meets applicable statutory,
regulatory and contractual requirements
See Note
d) evaluation of the effectiveness of the

management system to ensure the client
organization is continually meeting its
specified objectives
e) as applicable, identification of areas of

potential improvement of the
management system
9.2.1.3 Does the audit scope describe the extent and

boundaries of the audit? Where the initial or
re-certification process consists of more than
one audit, are total audits consistent with the
scope in the certification?

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9.2.1.4 Is 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
• The defined processes and documentation

of the management system developed by
the client
9.2.2 Audit team selection and assignments
9.2.2.1.1 Process in place for selecting and appointing

the audit team taking into account the
competence needed to achieve the objectives
of the audit?
Where there is only one auditor, is the auditor

competent to perform?
9.2.2.1.2 In deciding the size and composition of the

audit team was the following considered:
a) audit objectives, scope, criteria and
estimated time of the audit
b) whether the audit is a combined,
integrated or joint audit
c) the overall competence of the audit team
needed to achieve the objectives of the
audit
d) certification requirements (including any
applicable statutory, regulatory or
contractual requirements?
e) Language and culture
See Note
9.2.2.1.3 Where the necessary knowledge and skill of

the audit team leader and auditors was
supplemented by technical experts, translators
and interpreters, were they selected such that
they do not unduly influence the audit?
See Note
9.2.2.1.4 Where auditors-in-training are included in the

audit team as participants, was an evaluator
appointed?
Was the evaluator competent to take over the
duties and have final responsibility for the
activities and findings of the auditor-in-
training?
9.2.2.1.5 Does the audit team leader, in consultation

with the audit team assign to each team
member responsibility for specific processes,

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functions, sites, areas or activities and are such
assignments taking into account the need for
competence?
Were changes to assignments made to ensure

achievement of the audit objectives?
9.2.2.2 Observers, technical experts and
Guides
9.2.2.2.1 Observers
Prior to the conduct of the audit does the
client agree to the presence and justification of
observers during an audit activity?
See Note
9.2.2.2.2 Technical experts

Prior to the conduct of the audit does the
client agree to the presence and justification of
technical experts during an audit activity?
See Note
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?
Does the audit team ensure that guides do not
influence or interfere in the audit process or
outcome of the audit?
See Notes 1,2
9.2.3 Audit Plan
9.2.3.1 General
Is an audit plan established for each audit to

provide the basis for agreement regarding the
conduct of the audit?
See Note
9.2.3.2 Preparing the audit plan
Is the audit plan appropriate to the objectives

and the scope of the audit and the scope of the
audit?
Does it at least 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;

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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 duration of on-site audit
activities
f) The roles and responsibilities of the audit
team members and accompanying
persons, such as observers and
interpreters.
See Note
9.2.3.3 Communication of audit team tasks

Are the tasks given to the audit team defined
and make known to the client?
Does the audit team:

a) Examine and verify the structure, policies,
processes, procedures, records and
related documents of the customer
organization relevant to the management
system?
b) Determine that these meet all the

requirements relevant to the intended
c) Determine that the processes and

procedures are established, implemented
and maintained effectively, to provide a
basis for confidence in the client
management system? and
d) Communicate to the customer, for its

action, any inconsistencies between the
client’s policy, objectives and targets?
9.2.3.4 Communication concerning audit team

members
Prior to the conduct of the audit does the CB

communicate the audit plan and agree with
the client the dates of the audit?
9.2.3.5 Communication concerning audit team

members

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CB’S
REFERENCES
Does the CB provide the name and, when
requested, make available background
information of each member of the audit team
with sufficient time for the client organization
to object to the appointment of any particular
auditor or technical expert and for the CB to
reconstitute the team in response to any valid
objection?
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
9.3.1.2 Stage 1 audit
9.3.1.2.1 Does the planning ensure that the

objectives of stage 1 can be met?
Does the client be informed of any “on-site”

activities during stage 1
Note : Stage 1 does not require a formal audit

plan (see 9.2.3)
9.3.1.2.2 Is the stage 1 audit performed:

a) to audit the clients management system
documentation?
b) to evaluate the client’s site-specific
conditions and to undertake discussions
with the client’s personnel to determine
to the preparedness for the Stage 2 audit?
c) to 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) to collect necessary information regarding
the scope of the management, including
the client’s site(s), processes and
equipment used, levels of control
established, applicable statutory and
regulatory requirements?
e) to review the allocation of resources for
Stage 2 audit and agree with the client on
the details of the Stage 2 audit?

SADCAS F 40 (a)
CB’S
REFERENCES
f) to provide a focus for planning the Stage 2
audit by gaining a sufficient understanding
of the client’s management system and
site operations in the context of possible
significant aspects?
g) to evaluate if the initial audits and
management review are being planned
and performed and that the level of
implementation of the management
system substantiates that the client is
ready for the Stage 2 audit?
For most management systems it is
recommended that at least part of the Stage
1 audit be carried out at the client’s premises
in order to achieve the objectives stated
above.
9.3.1.2.3 Are Stage 1 audit findings documented and
communicated to the client organization
including identification of any areas of concern
that could be classified as nonconformity
during Stage 2 audit?
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 the Stage 1 audit?
The CB may also need to revise its
arrangement for Stage 2
9.3.1.3 Stage 2 audit
The purpose of the Stage 2 audit is to evaluate
the implementation including effectiveness of
the client’s management system.
Is the Stage 2 audit taking place at the site(s) of

the client?
Does it include at least the following:
a) Information and evidence about

conformity to all requirements of the
applicable management system standard
or other normative document?
b) performance monitoring, measuring,

reporting and reviewing against key
performance objectives and targets?
c) the client’s management system and
performance as regards legal compliance?
d) operational control of the client’s

processes?
e) internal auditing and management
review?

SADCAS F 40 (a)
CB’S
REFERENCES
f) management responsibility for the client
organization’s policies?
9.3.1.4 Initial certification audit conclusions
Does the audit team analyze all information

and audit evidence gathered during the Stage 1
and Stage 2 audits to review the audit findings
and agree on the audit conclusions?
9.4 Conducting audits
9.4.1 General
On-site audits?
Does the process include opening meeting at

the start of the audit and 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 the CB ensure that such
activities are conducted by personnel with
appropriate competence.
See Note
9.4.2 Conducting the opening meeting

Does the audit team have a formal opening
meeting with the client’s management and
those responsible for the functions or
processes to be audited?
Is the opening meeting conducted by the Lead

auditor?
Are audit activities explained including the

following:
a) Introduction of the participants including

an outline of their roles;
b) Confirmation of the scope of certification;

(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 meetings
between the audit team and client’s
management;
d) Confirmation of formal communication
channels between the audit team and the
client;

SADCAS F 40 (a)
CB’S
REFERENCES
e) Confirmation that the resources and
facilities needed by audit team are
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

identities 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 CB 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.
9.4.3 Communication during the audit

9.4.3.1 During the audit does the audit team
periodically assess audit progress and
exchange information and does the team
leader re-assign work as needed between the
audit team members and periodically
communicate the progress of the audit and any
concerns to the client?
9.4.3.2 Does the audit team leader report to the client

and where possible to the CB the presence of
an immediate and significant risk (e.g. safety)?
Is the outcome of the action taken reported to

the CB?

SADCAS F 40 (a)
CB’S
REFERENCES
9.4.3.3 Does the 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 CB?
9.4.4 Obtaining and verifying information
9.4.4.1 Is information relevant to the audit objective,

scope and criteria obtained by appropriate
sampling and verified to become audit
evidence?
9.4.4.2 Are methods to obtain information included?
a) interviews
b) observation of processes and activities
c) review of documentation and records
9.4.5 Identifying and recording audit findings

9.4.5.1 Are audit findings summarizing conformity and
detailing nonconformity audits and its
supporting evidence recorded and reported?
9.4.5.2 Where opportunities for improvement are not

prohibited by the requirements of a
management system scheme, are they
identified and recorded?
9.4.5.3 Is a finding of non-conformity recorded against

a specific requirement of the audit criteria and
does it contain a clear statement of the non-
conformity and identify in detail the objective
evidence on which the non-conformity is
based?
Are non-conformities discussed with the client

to ensure that the evidence is accurate and
that the non-conformities are understood?
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 on
findings and are unresolved points recorded?
9.4.6 Preparing audit conclusions
Prior to the closing meeting does the audit

team:
a) review the audit findings and any other
appropriate information collected during
the audit against the audit objectives.
b) agree upon the audit conclusions taking
into account the uncertainty inherent in
the audit process.
c) identify any necessary follow-up actions.

SADCAS F 40 (a)
CB’S
REFERENCES
d) confirm the appropriateness of the audit
programme or identify any modification
required (e.g. scope, audit time or dates,
surveillance frequency, competence).
9.4.7 Conduct the closing meeting
9.4.7.1 Does the team hold a formal closing meeting

with management and are nonconformities
presented in such a manner that they are
understood, and are timeframes for
responding agreed?
Is attendance recorded?
9.4.7.2 Does the closing meeting include the following:

a) advising the client that the audit evidence
obtained was based on 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 CB’s post audit activities; and
f) information about the complaint handling
and appeal processes.
9.4.7.3 Is the client given opportunity for questions?
Are diverging opinions regarding the audit

findings or conclusions discussed, resolved
where possible?
Are unresolved diverging opinions recorded

and referred to the CB?
9.4.8 Audit report

9.4.8.1 Does the CB provide a written report for each
audit and is ownership of the report
maintained by the CB?
If the audit team identifies opportunities for

improvement, do they recommend specific
solutions?
9.4.8.2 Does the team leader ensure that the report is

prepared and takes responsibility of the
content of the report?

SADCAS F 40 (a)
CB’S
REFERENCES
Does the report provide accurate, concise and
clear record of the audit and does it include the
following:
a) identification of the certification body;

b) name and address of the client’s
management representative;
c) type of audit (e.g. initial, surveillance or
recertification or special audits;
d) audit criteria;
e) audit objectives;
f) audit scope, particularly identification of
the organizational of functional units or
processes audited and the time of the
audit;
g) any deviation from the audit plan and
their reasons;
h) any significant issues impacting on the
audit programme;
i) identification of the audit team leader,
audit team members and any
accompanying persons;
j) dates and places where the audit activities
(on-site or offsite) were conducted;
k) audit findings, evidence and conclusions,

consistent with the requirements of the
type of audit;
l) significant changes affecting the
management system of the client since
the last audit took place;
m) any unresolved issues, if identified;
n) where applicable, whether the audit is

combined, joint or integrated;
o) disclaimer statement indicating that
auditing is based on a sampling process of
the available information;
p) recommendation from the audit team;
q) audited client effectively controlling the

use of certification documents and marks,
if applicable; and
r) verification of effectiveness of corrective
taken regarding previously identified
nonconformities, if applicable.
9.4.8.3 Does the audit report contain the following :

SADCAS F 40 (a)
CB’S
REFERENCES
a) Statement on the conformity and
effectiveness of the management system
together with a summary of the evidence
relating to the capability of the
management system to meet applicable
and expected outcomes, the internal audit
and management review process ;
b) Conclusion on the appropriateness of the

certification scope ; and
c) Confirmation that the audit objectives

have been fulfilled.
9.4.9 Cause analysis of nonconformities
Does the CB require the client to analyse the

cause and describe the specific correction and
corrective actions taken or planned to be taken
to eliminate detected non-conformities within
a define timeline?
9.4.10 Effectiveness of corrections and

corrective actions
Does the CB review the corrections, identified

causes and corrective actions submitted by the
customer to determine if these are acceptable?
Does the CB verify the effectiveness of any

correction and corrective action taken?
Is the evidence obtained to support the

resolution of non-conformities recorded?
Does the client get informed of the result of
the review and verification?
See Note
9.5 Certification decision
9.5.1 .1 Does the CB ensure that the persons or

committees that make the certification or
recertification decisions are different from
those who carried out the audits?
9.5.1 .2 Does the persons assigned by the CB to make a

certification decision employed or under legally
enforceable arrangement with either the CB or
an entity under the organizational control of
the CB ?
See type of organizational control defined from

a) to c)
9.5.1.3 Does the persons employed by or under

contract with entities under organizational
control fulfil the same requirements of this

SADCAS F 40 (a)
CB’S
REFERENCES
standard as persons employed by or under
contract with the CB ?
9.5.1.4 Does the CB record each certification decision

including any additional information or
clarification sought from the audit team or
other sources ?
9.5.2 Actions prior to making a decision
Does the CB confirm, prior to making a decision

that:
a) The information provided by the audit
team is sufficient with respect to the
certification requirements and the scope
of certification?
b) It has reviewed, accepted and verified the

effectiveness of corrections and corrective
actions for all major non-conformities?
c) It has reviewed, accepted the client’s plan

for corrections and corrective actions for
all minor non-conformities?
9.5.3 Information for granting initial

certification
9.5.3.1 Does the information provided by the audit

team to the CB for the certification decision
include as a minimum:
a) the audit reports?
b) comments on the nonconformities and,
where applicable, the correction and
corrective actions taken by the client?
c) confirmation on the information provided

to the certification body used in the
application review? (See 9.1.2) and
d) confirmation that the audit objectives
have been achieved?
e) a recommendation whether or not to
grant certification together with any
conditions or observations?
9.5.3.2 If the CB 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 the
CB conduct another stage 2 prior
recommending certification?

SADCAS F 40 (a)
CB’S
REFERENCES
9.5.3.3 When a transfer of certification is envisaged
from one CB to another, does the accepting CB
have a process for obtaining sufficient
information in order to take decision on
certification ?
9.5.4 Information for granting recertification

Does the CB take decisions on renewing
certification based on the results of the results
of the recertification audit, as well as the
results of the system over the period of
certification and complaints received from
users of certification.
9.6 Maintaining certification
9.6.1 General
Does the CB maintain certification based on
demonstration that the client continues to
satisfy the requirements of the management
system standard?
Does the CB maintain an organization’s
certification based on a positive
recommendation 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 CB needs
to initiate a review by appropriately
competent personnel different from those
who carried out the audit to determine
whether certification can be maintained?
(See 7.2.8); and
b) Competent personnel of the CB monitor

its surveillance activities, including
monitoring the reporting by its auditors,
to confirm that the certification activity is
operating effectively?
9.6.2 Surveillance activities
9.6.2.1 General
9.6.2.1.1 Did the CB 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?

SADCAS F 40 (a)
CB’S
REFERENCES
9.6.2.1.2 Do surveillance activities include on-site audits
assessing the certified client’s management
system fulfilment of specified requirements
with respect to the standard to which the
certification is granted?
Other surveillance activities may include:
a) Enquiries from the CB to the certified

client on aspects of certification;
c) Reviewing any client’s statements with
respect to its operations (e.g. promotional
material, website);
d) Requests to the client to provide
documents and records (on paper or
electronic media); and
e) Other means of monitoring the certified

client’s performance.
9.6.2.2 Surveillance audit

Are on-site audits planned with other
surveillance activities, so that the CB can
maintain confidence that the certified
management continues to fulfil requirements
in between re-certification audits?
Does the surveillance audit programme include

at least:
a) Internal audits and management review?
b) Review of action taken on non-

conformities identified during the
previous audits?
c) Treatment of complaints?
d) Effectiveness of the management system

with regard to achieving the certified
client’s objectives? And the intended
results of the respective management
system?
e) Progress of planned activities aimed at
continual improvement?
f) continuing operational cost?
g) review of any changes? and
h) use of marks and/or any other reference

to certification?
9.6.3 Recertification
9.6.3.1 Recertification audit planning

SADCAS F 40 (a)
CB’S
REFERENCES
9.6.3.1.1 Is a recertification audit planned and
conducted to evaluate the continued fulfilment
of all the requirements of the relevant
management system standard or other
normative document?
9.6.3.1.2 Does the recertification audit consider the

performance of the management system over
the period of certification and include the
review of previous surveillance audit reports?
9.6.3.1.3 In situations where they have been significant

changes (e.g. changes to legislation,
management, processes, etc.) do the
recertification audit activities include a Stage 1
audit?
See Note
9.6.3.2 Recertification audit
9.6.3.2.1 Does the re-certification audit include an on-

site audit that addresses the following:
a) the effectiveness of the management

system?
b) demonstrated commitment to maintain
the effectiveness and improvement?
c) whether the operation of the certified
management system contributes to the
achievement of the organization’s policy
and objectives?
9.6.3.2.2 When during a re-certification audit instances

of nonconformity or lack of evidence of
conformity are identified, does the CB define
time limits for correction and corrective
actions to be implemented prior the expiry of
certification?
9.6.3.2.3 When recertification activities are successfully

completed prior to the expiry date of the
existing certification, does the expiry date of
the new certification based on the expiry date
of the existing certification?
The issue date on a new certificate shall be on

or after the recertification decision.
9.6.3.2.4 Does the CB make recommendation and

extend the validity of the certification if the CB
has not completed the recertification audit or
is unable to verify the implementation of
corrections and corrective actions for any
major nonconformities?

SADCAS F 40 (a)
CB’S
REFERENCES
Does the CB inform the client about the
consequences?
9.6.3.2.5 Following expiration of certification, does the

CB restore certification within 6 months
provided that the outstanding recertification
activities are completed or at least conduct a
stage 2 audit?
The effective date on the certificate shall be on

or after the recertification decision and the
expiry date shall be based on prior certification
cycle.
9.6.4 Special audits
9.6.4.1 Expanding scope
Does the CB in response to an application for

expanding 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)
9.6.4.2 Short‐notice audits
If it is necessary for the CB to conduct audits of

certified clients at short notice or
unannounced to investigate complaints or in
response to changes or as follow up on
suspended clients:
a) Does the CB describe and make known in

advance to the certified clients (e.g. in
documents as described in 8.5 1) the
conditions under which these short notice
visits are to be conducted? and
b) Does the CB exercise additional care in the
assignment of the audit team because of
the lack of opportunity for the client to
audit team members?
9.6.5 Suspending, withdrawing or reducing

scope of certification
9.6.5.1 Does the CB have a policy and documented

procedure(s) for suspension, withdrawal or
reduction of the scope of certification and does
it specify the subsequent actions by the CB?
9.6.5.2 Does the CB suspend certification in cases

when for example:

SADCAS F 40 (a)
CB’S
REFERENCES
• 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?
9.6.5.3 Under suspension the client’s management

system certification is temporarily invalid.
9.6.5.4 Does failure to resolve the issues that have

resulted in the suspension in a time established
by CB result in withdrawal or reduction of the
See Note
9.6.5.5 Does the CB 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?
9.7 Appeals
9.7.1 Does the CB have a documented process to

receive, evaluate and make decisions on
appeals?
9.7.2 Is the CB responsible for all decisions at all

levels of the appeals handling process?
Does the CB ensure that the persons engaged
in appeals handling process are different from
those who carried out the audits and made the
certification decisions?
9.7.3 Do submission, investigation and decision on

appeals result in any discriminatory actions
against the appellant?
9.7.4 Does the appeal handling process include at

least the following elements and methods:
a) an outline of the process for receiving,
validating, 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;

SADCAS F 40 (a)
CB’S
REFERENCES
c) ensuring that any appropriate correction
and corrective action is taken.
9.7.5 Does the CB receiving the appeal responsible

for gathering and verifying all necessary
information to validate the appeal?
9.7.6 Does the CB acknowledge receipt of the appeal

and provide the appellant with progress
reports and the outcome?
9.7 Are 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?
9.7.8 Does the CB give formal notice of the end of

the appeal handling process to the appellant?
9.8 Complaints
9.8.1 Is the CB responsible for all decisions at all

levels of the complaints-handling process?
9.8.2 Does the process followed on submission,

investigation and decision on complaints not
result in any discriminatory actions against the
complainant?
9.8.3 Upon receipt of a complaint does the CB

confirm whether the complaint relates to
certification activities that is responsible for
and, if so, deals with?
If the complaint relates to a certified client
does the examination of the complaint
consider the effectiveness of the certified
management system?
9.8.4 Is a complaint about a certified client also

referred by the CB to the certified client in
question at an appropriate time?
9.8.5 Does the CB 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?
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?

SADCAS F 40 (a)
CB’S
REFERENCES
b) tracking and recording complaints
including actions undertaken to resolve
them?
c) ensuring that an appropriate correction
and corrective actions are taken?
See Note
9.8.7 Is the CB receiving the complaint responsible

for gathering and verifying all necessary
information to validate the complaint?
9.8.8 Whenever possible does the CB acknowledge

receipt of the complaint and provide the
complainant with progress reports and the
outcome?
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?
9.8.10 Whenever possible does the CB give formal
notice of the end of the complaint handling
process to the complainant?
9.8.11 Does the CB determine together with the client

and the complainant whether and, if so to
what extent, the subject of the complaint and
its resolution shall be made public?
9.9 Client records
9.9.1 Does the CB maintain records on the audit

and other certification activity for all clients
including all organizations that submitted
applications and all organizations audited,
certified or with certification withdrawn?
9.9.2 Do the records on certified clients include

the following:
a) application information and initial,

surveillance and re-certification audit
reports?
b) certification agreement?
c) justification of the methodology used for
sampling?
See Note
d) justification for auditor time
determination? (See 9.1.4)
e) verification of correction and corrective
actions?
f) records of complaints and appeals and
any subsequent correction and corrective
actions?

SADCAS F 40 (a)
CB’S
REFERENCES
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 services as applicable?
j) related records necessary to establish the

credibility of the certification such as
evidence of the competence of auditor
and technical expert?
k) audit programmes
9.9.3 Does the CB 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?
9.9.4 Does the CB have a documented policy and

documented procedures on retention of
records?
Are records retained for the duration of the

current cycle plus one (1) full certification
cycle?
See Note
10 Management system requirements for

CBs
10.1 Options
In addition to meeting the requirements of

clauses 5 to 9 does the CB implement a
management system in accordance with either:
a) General management system

requirements (see 10.2)? or
b) Management system requirements in
accordance with ISO 9001 (see 10.3)?
10.2 Option A: Management system

Requirements
10.2.1 General

SADCAS F 40 (a)
CB’S
REFERENCES
Does the CB establish, Document, implement
and maintain a management system capable of
supporting and demonstrating the consistent
achievement of the requirements of the
standard?
Does the CB’s top management establish and

document policies and objectives for its
activities?
Does the CB’s top management provide
evidence of its commitment to the
development and implementation of the
management system in accordance with the
requirements of the standard?
Does the CB’s top management ensure that
policies are understood, implemented and
maintained at all levels of the CB’s
organization?
Does the CB’s top management assign

responsibility and authority for:
a) ensuring that processes and procedures

needed for the management system are
established, implemented and
maintained?
b) Reporting to the top management on the
performance of the management system
and any need for improvement?
10.2.2 Management system manual

Are all applicable requirements of the standard
addressed in a manual or in associated
documents and accessible to all relevant
personnel?
10.2.3 Control of Documents

Did the CB establish procedures to control the
documents (internal and external) that relate
to the fulfilment of this international standard?
Do the procedures define the controls needed

to:
a) To approve documents for adequacy prior
to issue?
b) To review and update as necessary and
approve documents?
c) To ensure that changes and the current
revision status of documents are
identified?
d) To ensure that relevant versions of
applicable documents are available at
points of use?

SADCAS F 40 (a)
CB’S
REFERENCES
e) To ensure that documents remain legible
and readily identifiable?
f) To ensure that documents of external
origin are identified and their distribution
controlled? and
g) To prevent the unintended use of
obsolete documents and to apply suitable
identification to them if they are retained
for any purpose?
See Note
10.2.4 Control of records
Does the CB 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 this international standard?
Does the CB 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?
See Note
10.2.5 Management review
10.2.5.1 General
Did the CB’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 this international
standard?
Are these reviews conducted at least once a

year?
10.2.5.2 Review inputs

Does the input to management review include
information related to:
a) Results of internal and external audits?
b) Feedback from clients and interested

parties related to the fulfilment of this
international standard?
c) safeguarding impartiality?
d) Status of corrective actions?
e) status of actions to address risk?

SADCAS F 40 (a)
CB’S
REFERENCES
f) Follow-up actions from previous
management reviews?
g) Fulfilment of objectives?
h) Changes that could affect the
management? and
i) Appeals and complaints?
10.2.5.3 Review outputs

Do the outputs from the management review
include decisions and actions related to:
a) Improvement of the effectiveness of the

management system and its processes?
b) Improvement of the certification services

related to the fulfilment of this
c) Resource needs? And
d) Revisions of the organization’s policy and
objectives?
10.2.6 Internal audits
10.2.6.1 Does the CB establish procedures for internal

audits to verify that it fulfils the requirements
of this international standard and that the
management system is effectively
implemented and maintained?
See Note
10.2.6.2 Is an audit programme planned taking into
consideration the importance of the processes
and areas to be audited as well as the results of
previous audits?
10.2.6.3 Are internal audits performed at least once

every 12 months?
10.2.6.4 Does the CB ensure that:

a) Internal audits are conducted by qualified
personnel knowledgeable in certification,
auditing and the requirements of this
b) Auditors shall 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

SADCAS F 40 (a)
CB’S
REFERENCES
e) Any opportunities for improvement are
identified?
10.2.7 Corrective actions
Does the CB establish procedures for

identification and management of
nonconformities in its operations?
Does the CB 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 problem encountered?
Do the procedures define requirements for:

a) Identifying non-conformities (e.g. from
complaints and internal audits)?
b) Determining the causes of non-
conformity?
c) Correcting non-conformities?
d) Evaluating the need for actions to ensure
that non-conformities 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?
10.3 Option B : Management system requirements

in accordance with ISO 9001
10.3.1 General
Does the CB establish and maintain a
management system in accordance with the
requirements of ISO 9001, capable of
supporting and demonstrating the consistent
achievement of the requirements of the
standard, amplified by 10.3.2 to 10.3.4?
10.3.2 Scope
Does the scope of the management system
include the design and development
requirements of its certification services?
10.3.3 Customer focus

SADCAS F 40 (a)
CB’S
REFERENCES
When developing its management system,
does the CB consider the credibility of
certification and address the needs of all
parties (as set out in 4.1.2) that rely upon its
audit and certification services, not just its
clients?
10.3.4 Management review

Does the CB include as input for management
review information on relevant appeals and
complaints from users of certification activities
and a review of impartiality?
Additional /General Comments (This space may be used to expand on comments in specific sections)
Signed Date:
Lead /Technical Assessor:

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SADCAS F 40 (a)

SADCAS Ref. No:

CHECKLIST ISO/IEC 17021:2015

The report covers the following:

5.1 Legal and contractual matters

5.1.1 Legal responsibility

Legal entity or a defined part of a legal entity

Verify registration with Registers of Companies

Governmental CB is a legal entity based on its

5.1.2 Certification agreement

Legally enforceable agreement (contract) for

Are multiple offices of a CB or multiple sites of

Are all the sites covered by the scope of the

5.1.3 Responsibility for certification decisions

Does CB retain authority and responsibility for

Issue No: 2 Page 1 of 41 Date of Issue: 2016-06-03

5.2.1 Is CB top management commitment to

5.2.2 Does the CB have top management

Does the CB have a policy :

5.2.3 Are risks related conflict of interests identified,

How does the CB demonstrate that it

Issue No: 2 Page 2 of 41 Date of Issue: 2016-06-03

Note 3: One way of fulfilling the consultation

5.2.4 Does the CB offer certification for another CB’s

5.2.5 Does the CB and any part of the same legal

5.2.6 Does the CB any part of the same legal entity

This applies also to that part of government

5.2.7 Does the CB certify a customer when the CB’s

See Notes 1,2,3

5.2.8 Does the CB outsource audits to a

5.2.9 Are the CB’s activities marketed or linked with

Issue No: 2 Page 3 of 41 Date of Issue: 2016-06-03

5.2.10 Does CB ensure no conflict of interest of

Two years rule applied, how effective is the

5.2.11 Is action taken to respond to any threats to

5.2.12 Does all CB personnel, internal, external or

5.2.13 Does the CB require all personnel to reveal any

Information used as input to identifying threats

5.3 Liability and Financing

5.3.2 Does the CB evaluate its finances and sources

6.1 Organizational structure and top

6.1.1 Organizational structure documented including

6.1.2 Are the certification activities structured and

6.1.3 Does the CB identify the top management

Issue No: 2 Page 4 of 41 Date of Issue: 2016-06-03

6.1.4 Formal rules for the appointment, terms of

6.2 Operational Control

Does the CB consider the risk that these

6.2.2 Does the CB consider the appropriate level and

7.1 Competence of personnel

7.1.1 General considerations

Issue No: 2 Page 5 of 41 Date of Issue: 2016-06-03

7.1.2 Determination of competence criteria

Is competence required for each technical area

Is the means for the demonstration of

Are competence requirements determined for

Is the documented process as per Annexure A

7.1.3 Evaluation processes

Are these methods effective?