ISO/ IEC 17021-1:2015

DEMO KIT CERTIFICATION MANAGEMENT SYSTEM

(MANUAL)

XELMART.COM
Prepared By (Name & Sign) Approved By (Name & Sign) Date

Document No.: M/01 Revision No. 00 Update Date: 01/01/2020

This document is property of 36T36T. No corrections / amendments are to be made except by the
person authorized. The holder to return the document when s/he leaves the 36T36T or when s/he
has no further use for it.
Contents
1. [Company] ........................................................................................................................................... 4
1.1 [Company] PROFILE ................................................................................................................... 4
1.2 AUTHORIZATION STATEMENT................................................................................................... 5
1.3 ORGANIZATION STRUCTURE ..................................................................................................... 6
2. SCOPE OF MANUAL ............................................................................................................................. 7
2.1 SCOPE OF CERTIFICATION; ........................................................................................................ 7
2.2 OPERATIONAL AREA & SITE(S) .................................................................................................. 7
3. TERMS AND DEFINITIONS ................................................................................................................... 8
4. PRINCIPLES ........................................................................................................................................ 10
4.1 GENERAL.................................................................................................................................. 10
4.2 IMPARTIALITY .......................................................................................................................... 10
4.3 COMPETENCE .......................................................................................................................... 10
4.4 RESPONSIBILITY ....................................................................................................................... 11
4.5 OPENNESS ............................................................................................................................... 11
4.6 CONFIDENTIALITY .................................................................................................................... 11

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4.7 RESPONSIVENESS TO COMPLAINTS ........................................................................................ 11
4.8 RISK BASED APPROACH ........................................................................................................... 11
5 GENERAL REQUIREMENTS ................................................................................................................. 13
5.1 LEGAL AND CONTRACTUAL MATTERS ..................................................................................... 13

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5.1.1 LEGAL RESPONSIBILITY ......................................................................................................... 13
5.1.2 CERTIFICATION AGREEMENT ............................................................................................... 13
5.1.3 RESPONSIBILITY FOR CERTIFICATION DECISIONS ................................................................ 13
5.2 MANAGEMENT OF IMPARTIALITY ........................................................................................... 13
6 STRUCTURAL REQUIREMENTS ........................................................................................................... 17
6.1 ORGANIZATIONAL STRUCTURE AND TOP MANAGEMENT ..................................................... 17
6.2 OPERATIONAL CONTROL ......................................................................................................... 18
7 RESOURCE REQUIREMENTS ............................................................................................................... 19
7.1 COMPETENCE OF PERSONNEL ................................................................................................ 19
7.1.1 GENERAL CONSIDERATIONS ................................................................................................ 19
7.1.2 DETERMINATION OF COMPETENCE CRITERIA ..................................................................... 19
7.1.3 AUDIT PROCESS .................................................................................................................... 19
7.1.4 OTHER CONSIDERATION ...................................................................................................... 19
7.2 PERSONNEL INVOLVED IN THE CERTIFICATION ACTIVITIES .................................................... 20
7.3 USE OF INDIVIDUAL EXTERNAL AUDITORS AND EXTERNAL TECHNICAL EXPERTS .................. 22
7.4 PERSONNEL RECORDS ............................................................................................................. 22
 7.5 OUTSOURCING ........................................................................................................................ 22
8 INFORMATION REQUIREMENTS ........................................................................................................ 23
8.1 PUBLIC INFORMATION ............................................................................................................ 23
8.2 CERTIFICATION DOCUMENTS .................................................................................................. 23
8.3 REFERENCE TO CERTIFICATION AND USE OF MARKS.............................................................. 24
8.4 CONFIDENTIALITY .................................................................................................................... 25
8.5 INFORMATION EXCHANGE BETWEEN [Company] AND ITS CLIENTS ...................................... 26
8.5.1 INFORMATION ON THE CERTIFICATION ACTIVITY AND REQUIREMENTS ............................ 26
8.5.2 NOTICE OF CHANGES BY [Company].................................................................................... 26
8.5.3 NOTICE OF CHANGES BY A CERTIFIED CLIENT...................................................................... 26
9 PROCESS REQUIREMENTS .................................................................................................................. 28
9. 1 PRE–CERTIFICATION ACTIVITIES ............................................................................................. 28
9.1.1 APPLICATION ........................................................................................................................ 28
9.1.2 APPLICATION REVIEW .......................................................................................................... 28
9.1.3 AUDIT PROGRAM ................................................................................................................. 28
9.1.4 DETERMINING THE AUDIT TIME .......................................................................................... 29
9.1.5 MULTI SITE SAMPLING ......................................................................................................... 30

DEMO KIT
9.1.6 MULTI MANAGEMENT SYSTEM STANDARD ........................................................................ 30
9.2 PLANNING AUDITS .................................................................................................................. 30
9.2.1 DETERMINING AUDIT OBJECTIVES, SCOPE AND CRITERIA................................................... 30

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9.2.2 AUDIT TEAM SELECTION AND ASSIGNMENTS ..................................................................... 31
9.2.3 AUDIT PLAN .......................................................................................................................... 32
9.3 PLANNING AUDITS .................................................................................................................. 33
9.3.1 INITIAL CERTIFICATION AUDIT ............................................................................................. 33
9.4 CONDUCTING AUDITS ............................................................................................................. 35
9.4.1 GENERAL .............................................................................................................................. 35
9.4.2 CONDUCTING THE OPENING AUDIT .................................................................................... 35
9.4.3 COMMUNICATION DURING THE AUDIT............................................................................... 36
9.4.4 OBTAINING AND VERIFYING INFORMATION ....................................................................... 36
9.4.5 IDENTIFYING AND RECORDING AUDIT FINDINGS ................................................................ 36
9.4.6 PREPARING AUDIT CONCLUSION ......................................................................................... 37
9.4.7 CONDUCTING THE CLOSING MEETING ................................................................................ 37
9.4.8 AUDIT REPORT ..................................................................................................................... 38
9.4.9 CAUSE ANALYSIS OF NON–CONFORMITIES ......................................................................... 39
9.4.10 Effectiveness of correction and corrective action ........................................................ 39
9.5 CERTIFICATION DECISION........................................................................................................ 39
 9.5.1 GENERAL .............................................................................................................................. 39
9.5.2 ACTIONS PRIOR TO MAKING A DECISION ............................................................................ 40
9.5.3 INFORMATION FOR GRANTING INITIAL CERTIFICATION ..................................................... 40
9.5.4 INFORMATION FOR GRANTING RE–CERTIFICATION ............................................................ 40
9.6 MAINTAINING CERTIFICATION ................................................................................................ 40
9.6.1 GENERAL .............................................................................................................................. 40
9.6.2 SURVEILLANCE ACTIVITIES ................................................................................................... 41
9.6.3 RE-CERTIFICATION (TRIENNIAL) ........................................................................................... 42
9.6.4 SPECIAL AUDITS.................................................................................................................... 43
9.6.5 SUSPENDING, WITHDRAWING OR REDUCING THE SCOPE OF CERTIFICATION ................... 43
9.7 APPEALS................................................................................................................................... 44
9.8 COMPLAINTS ........................................................................................................................... 44
9.9 CLIENT RECORDS ..................................................................................................................... 45
10 MANAGEMENT SYSTEM REQUIREMENTS ........................................................................................ 47
10.1 OPTIONS ................................................................................................................................ 47
10.2 OPTION A: GENERAL MANAGEMENT SYSTEM REQUIREMENT ............................................. 47

DEMO KIT
10.2.1 GENERAL ............................................................................................................................ 47
10.2.2 MANAGEMENT SYSTEM MANUAL ..................................................................................... 47
10.2.3 CONTROL OF DOCUMENTS ................................................................................................ 47
10.2.4 CONTROL OF RECORDS ...................................................................................................... 48

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10.2.5 MANAGEMENT REVIEW ..................................................................................................... 48
10.2.6 INTERNAL AUDITS .............................................................................................................. 49
10.2.7 CORRECTIVE ACTIONS ........................................................................................................ 49
10.3 OPTION B: MANAGEMENT SYSTEM REQUIREMENTS IN ACCORDANCE WITH ISO 9001 ...... 49
ANNEX 1 – QUALITY POLICY ................................................................................................................. 50
ANNEX 2 – CONFIDENTIALITY AND IMPARTIALITY POLICY................................................................. 52
ANNEX 3 – LIST OF PROCEDURES......................................................................................................... 56

Amendment Record Sheet

Amd. Clause Date of Page No. Present Amended Nature Brief description of Reason for the Sign.
No. No. amendment of change amendment
Rev. Issue Rev. Issue change
No. No. No. No.
 ISO/ IEC 17021-1:2015 – MANUAL

1. 36T36T
1.1 36T36T PROFILE
For more than one decade of operations, 36T36T has gained much experience in the Pakistan and has
preserved its commitment to provide quality of audit and certification of certification of management
systems. Qualified and experienced staffs were retained to ensure a continuity of quality of audit and
certification of management systems.

36T36T is an independent certifying body and was established in the Pakistan to cater the needs of
certification of management systems in the various fields. Now a day, 36T36T provides good
reasonable audit and certification of management systems throughout the Pakistan.

36T36T operates a comprehensive management system and a detailed Quality Policy to ensure a high
standard of service all time.

Conceived in the late nineties, 36T36T became a limited company in September 2013. It was founded
by Mr. __________ using their extensive knowledge of all aspects of the 'Quality World'. Knowledge
gained through working as Director in industry, Lead Assessors / Managers with other assessment
bodies and freelance consultants.

Today, 36T36T is a business unit of 36T36T and has its own regional assessors throughout the Pakistan
and has operations worldwide.

DEMO KIT
Company Name Track Record

36T36T has certified more than 1000 management systems and the number is growing daily. More
and more services are not only realizing the benefits of being a “Certified Person”, but also the benefits
of using “36T36T” Its dislike of bureaucracy and its philosophy of being approachable mean that nearly

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all 36T36T contracts stem from recommendations by quality consultants or previously certified
businesses.

36T36T provides certification services based on _______ accreditations. In a year time 36T36T
Pakistan has penetrated the Pakistan Market providing certification of management systems in the
building and constructions, mechanical designers etc.

36T36T and its services are not engaged in any activities that may conflict with their independence of
judgment and integrity in relation to their certification services.

This document is property of 36T36T. No corrections / amendments are to be made except by the person authorized. The
holder to return the document when s/he leaves the 36T36T or when s/he has no further use for it
Doc. No.: M/01 Rev: 00 Page 4 of 57
 ISO/ IEC 17021-1:2015 – MANUAL

1.2 AUTHORIZATION STATEMENT

36T36T is committed to the establish and maintain the Conformity assessment Requirements for the
operation of management system certifications detailed in this manual and implemented by 36T36T
personnel to meet the requirements of ISO/IEC 17021-1:2015.

36T36T’ personnel shall strictly adhere to the policies, quality procedures, standard operating
procedures, and certification documents as supported by the policies outlined in this manual.

_____________ has been appointed as Quality Manager & MR of 36T36T. The Management
Representative is responsible for ensuring compliance with the management system requirements
stipulated in this manual. Management Representative is authorized to ensure that the ISO/IEC 17021-
1:2015 system is established, implemented, and maintained by 36T36T personnel. The CEO, Scheme
Manager & Staff shall give full support and cooperation to the Quality Manager. ______________ has
been appointed as Deputy Quality Manager and shall assume the responsibilities of Quality Manager
in his absence.

As per the organization chart Quality Manager will be responsible for the Management
Representation at all times for catering the Schemes of __________________. Final Approvals for the
Certification process shall be awarded by ______________________ after reviews and involvement
of Certification Committee, where applicable.

36T36T and its personnel are not engaged in any activities that may conflict with their independence

DEMO KIT
of judgment and integrity in relation to their scope of activities, this shall be ensured time to time by
different mechanisms stipulated in this manual.

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This document is property of 36T36T. No corrections / amendments are to be made except by the person authorized. The
holder to return the document when s/he leaves the 36T36T or when s/he has no further use for it
Doc. No.: M/01 Rev: 00 Page 5 of 57
 ISO/ IEC 17021-1:2015
DEMO KIT CERTIFICATION MANAGEMENT SYSTEM
CONTROL OF DOCUMENT AND RECORD

XELMART.COM (PROCEDURE)

Prepared By Approved By Date

Document No.: P/08 Revision No. 00 Update Date: 01/01/2020

This document is property of 35T35T. No corrections / amendments are to be made except by the
person authorized. The holder to return the document when s/he leaves the 35T35T or when s/he
has no further use for it.
Contents
1. PURPOSE ............................................................................................................................................. 3
2. SCOPE .................................................................................................................................................. 3
3. TERMS AND DEFINITIONS ................................................................................................................... 3
4. PROCEDURE ........................................................................................................................................ 3
4.1 DOCUMENT GENERATION AND APPROVAL .................................................................................. 3
4.2 DOCUMENT CODIFICATION .......................................................................................................... 3
4.3 SYSTEM OF WRITING PROCEDURES AND DEVELOPING FORMATS............................................... 4
4.4 MODIFICATION OF DOCUMENTS .................................................................................................. 5
4.5 CONTROL OF EXTERNAL DOCUMENTS AND SPECIFICATION ........................................................ 5
4.6 CONTROL OF ELECTRONIC DATA .................................................................................................. 5
4.6 CONTROL OF RECORDS ................................................................................................................. 5
4.6.1 COLLECTION OF RECORD ....................................................................................................... 6
4.6.2 FILING OF RECORDS ............................................................................................................... 6
4.6.3 ACCESS OF RECORDS .............................................................................................................. 6
4.6.4 METHOD OF INDEXING .......................................................................................................... 6

DEMO KIT
4.6.5 STORAGE AND MAINTENANCE OF RECORDS ......................................................................... 6
4.6.6 PROTECTION OF RECORDS ..................................................................................................... 7
4.6.7 DISPOSITION OF RECORDS ..................................................................................................... 7
4.6.8 RETENTION PERIOD OF RECORD ............................................................................................ 7

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5. REFERENCES ........................................................................................................................................ 7
6. RECORDS ............................................................................................................................................. 7
 ISO/ IEC 17021-1 PROCEDURE – CONTROL OF DOCUMENT AND RECORD

1. PURPOSE
The purpose of this procedure is to establish, implement and maintain a system to control document
and records as applicable to creation, updating and maintaining documented information.

2. SCOPE
This procedure is applicable to all documents related to Management System of 35T35T.

3. TERMS AND DEFINITIONS

Documented Information
Information required to be controlled and maintained by an organization and the medium on which it
is contained.

All other applicable as defined in clause 3 of manual.

4. PROCEDURE
4.1 DOCUMENT GENERATION AND APPROVAL
All the necessary documents shall be prepared for effective implementation of Management System.

DEMO KIT
The personnel nominated in respective area shall be responsible for identifying the need for new
documentation in their respective areas. Documents shall be generated, reviewed and approved by
authorized person as per details given below.

Responsibility

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Manual
Procedures
Schemes
Type Of Document Document Generation and
modification
Quality Manager
Quality Manager
Scheme Manager
Reviewing and Approval
CEO
CEO
CEO
Applicable Standards (External) External Body CEO (Review Only)
Quality Manager & Scheme
Formats, Work Instructions CEO
Manager
Customer Specification, and
External Body Scheme Manager
Documents of External Origin.
Note: - Master copy of all the documents are kept with Quality Manager, who is authorized to issue the same.

4.2 DOCUMENT CODIFICATION

The numbering system used for easy identification shall implemented for Manual, Procedures, and
other documents. The document number shall be started with type of document’s 1st letter for
example Manual shall be nominated with “M” & after that the number shall be given to uniquely
identify it. Similar to that, Procedures shall made as P/## and formats shall made as F/##.

Quality Manager is responsible for issue of controlled as well as uncontrolled copies of the MS
documents after affixing "Controlled Copy" Or "Uncontrolled Copy" stamps respectively on front page.

This document is property of 35T35T. No corrections / amendments are to be made except by the person authorized. The
holder to return the document when s/he leaves the 35T35T or when s/he has no further use for it
Doc. No.: P/08 Rev: 00 Page 3 of 7
 ISO/ IEC 17021-1 PROCEDURE – CONTROL OF DOCUMENT AND RECORD

If Xerox copy of controlled copy is taken then it shall again stamped for controlled. Quality Manager
shall maintain a list, formally or informally for controlled distributed documents.

For the external or national reference standards used in the Management System, best possible
efforts shall be made by the Quality Manager to procure the latest revisions of these by keeping in
touch with the vendors. Who shall providing these external standards or authorized government
offices at least once in a year.

All the national / international standards used in the 35T35T shall be checked for its latest revision by
contacting local office of publishers once in a year.

It is the responsibility of the Quality Manager and Functional Heads that all the documents used and
reviewed by them are remain legible, readily identifiable and retrievable when required. The
documents are identified by name and/ or document No.

Controlled copies issued to external parties are transmitted via change note for revision of document
or under a covering page.

4.3 SYSTEM OF WRITING PROCEDURES AND DEVELOPING FORMATS

The Procedure shall be written as per header and footer given below. The contents of the procedure
cover the sub-headings given bellow, wherever applicable. All procedures shall be approved by

DEMO KIT
authorized person by signing cover page.

ISO/ IEC 17021-1 PROCEDURE – Title of procedure

1. PURPOSE – this is to defined purpose of procedure.

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2. SCOPE – To define applicability of procedure.

3. TERMS AND DEFINITIONS – To define the terms and definitions used in this procedure.

4. PROCEDURE – To define Overall Activities

5. REFERENCES – To give further reference of procedure

6. RECORDS – To mention the linked formats to be used

This document is property of 35T35T. No corrections / amendments are to be made except by the person authorized. The
holder to return the document when s/he leaves the 35T35T or when s/he has no further use for it
Doc. No.: P/## Rev: 00 Page # of #

For Formats titles shall be given on the document with necessary identification. The master copies of
formats shall having document number and revision number shall maintained by the Quality Manager.

This document is property of 35T35T. No corrections / amendments are to be made except by the person authorized. The
holder to return the document when s/he leaves the 35T35T or when s/he has no further use for it
Doc. No.: P/08 Rev: 00 Page 4 of 7
 F/05
Customers Feedback Form No.00
Date  Year 
Name

Address

Self-Rating
Comment  Excellent Good Satisfactory Average Poor

Service Quality

Certification Method

Communication

Easiness

DEMO KIT
Values of us

Overall Experience

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Any other suggestions for improvement

Please note that this is just for improving ourselves. So, please feel free and give us your fair
opinion, to perform better in near future.
Signature& stamp Reviewed by

Sales Person / Authorised person

For Office Use Only

Action proposed
for future

Corrective action
reference
Remarks

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 F/23
Document Change Note Rev No.00
Sr. No.  Date 
From  To 
Request For New Document Amendment In Existing Document
Manual Procedure Work Instruction Exhibit Format Others
Document No. Issue Date
Issue Number Paragraph No.

Reason

Changes To Be Done Decision

∗ PLEASE ADD / WITHDRAW (*)

Document No. Issue No. Page No. Date

∗ DEMO KIT
AND SUBSTITUTE IN ITS PLACE
Document No. Issue No. Page No. Date

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Which is attached. Please return the Obsolete Document with this form to the Management
Representative or Keep it with you by putting a stamp of “OBSOLETE COPY”.
∗ Distribution and Acknowledgement :
Designation Date R or S Designation Date R or S

NOTE :-
1. (*) Delete as appropriate.
2. Put “R” if you are returning Obsolete document copy or “S” if you are putting a stamp of
OBSOLETE Copy and may be keeping with you or disposed off at your end.
Reviewed And Approved By
Date
Management Representative

Page 1 of 1