IAF ID 4 2012 Market Surveillance of Certified Organizations Word R2

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    International Accreditation Forum, Inc.

    IAF ID 4:2012

    International Accreditation Forum, Inc.

    IAF Informative Document

    Market Surveillance Visits to Certified

    Organizations

    Issue 1

    (IAF ID 4 !"1!#

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

    International Accreditation Forum, Inc. 2012

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    IAF ID 4:2012 International Accreditation Forum$ Inc% a!e 2 o" 20

    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    *+e International Accreditation Forum, Inc. IAF- operates pro!rams "or t+e accreditation o"

    odies t+at pro#ide con"ormity assessment ser#ices, and suc+ accreditation "acilitates trade

    and reduces demands "or multiple certi"ications.

    Accreditation reduces ris$ "or usiness and its customers y assurin! t+em t+at accredited

    'on"ormity Assessment /odies 'A/s- are competent to carry out t+e or$ t+ey underta$e

    it+in t+eir scope o" accreditation. Accreditation /odies A/s- +ic+ are memers o" IAF

    and t+eir accredited 'A/s are reuired to comply it+ appropriate international standards and

    IAF mandatory documents "or t+e consistent application o" t+ose standards.

    A/ memers o" t+e IAF Multilateral eco!nition Arran!ement MA- conduct re!ular

    e#aluations o" eac+ ot+er to assure t+e eui#alence o" t+eir accreditation pro!rams. *+e IAF

    MAs operate at to le#els:

    A MA "or t+e accreditation o" 'A/s to standards includin! I%(I' 16021 "or

    mana!ement systems certi"ication odies, I%(I' 16024 "or personnel certi"ication

    odies and I%(I' 7uide 85 "or product certi"ication odies, is considered a

    "rameor$ MA. A "rameor$ MA pro#ides con"idence t+at accredited 'A/s are

    eually reliale in t+e per"ormance o" con"ormity assessment acti#ities.

    A MA "or t+e accreditation o" 'A/s t+at also includes t+e speci"ic con"ormity

    assessment standard or sc+eme as a scope o" accreditation pro#ides con"idence in t+e

    eui#alence o" certi"ication.

    An IAF MA deli#ers t+e con"idence needed "or mar$et acceptance o" certi"ication. An

    or!ani)ation or person it+ certi"ication to a speci"ic standard or sc+eme t+at is accredited y

    an IAF MA si!natory A/ can e reco!ni)ed orldide t+erey "acilitatin! international

    trade.

    Issue 9o 1

    repared y: IAF *ec+nical 'ommittee

    Appro#ed y: IAF Memers Date: 22 Decemer 2011

    Issue Date: 15 May 2012 Application Date: 15 May 2013

    nuiries: IAF %ecretary,

    .(. /o 1;11, '+elsea, / 1A1

    *elep+one: ?1 813 454 ;15>

    mail: @secretaryia".nuB

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

    International Accreditation Forum, Inc. 2012

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    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    Introduction to IAF Informative Documents

    *+is IAF In"ormati#e Document re"lects t+e consensus o" IAF memers on t+is suCect

    and is intended to support t+e consistent application o" reuirements. oe#er, ein! a

    document "or in"ormation purposes only, IAF Accreditation /ody Memers, and t+e

    'on"ormity Assessment /odies 'A/- t+ey accredit, are not under any oli!ation to use

    or comply it+ anyt+in! in t+is document.

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

    International Accreditation Forum, Inc. 2012

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    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    Market Surveillance Visits to Certified Organizations

    "% Introduction

    *+e traditional met+odolo!y used "or accreditation o" mana!ement system certi"ication odies

    '/s-, ased on I%(I' 16011 in#ol#es o""ice assessments o" t+e certi"ication ody in

    conCunction it+ itnessin! a sample o" t+e '/Es audits.

    *+ere +a#e een !roin! concerns in recent years aout t+e e""ecti#eness o" t+is met+odolo!yin ensurin! t+at epected outcomes "rom mana!ement system certi"ication are ein! ac+ie#ed

    consistently around t+e !loe. As a result o" or$ carried out y t+e I%( >000 Ad#isory

    7roup IA7- and t+e IAF *ec+nical 'ommittee, t+e p+ilosop+y (utput MattersGH +as

    ecome idely reco!ni)ed and "orms a core element o" t+e %trate!ic I%(IAF Action lan to

    monitor and impro#e t+e e""ecti#eness o" Accredited Mana!ement %ystem 'erti"icationH.

    'onsistent it+ t+is p+ilosop+y, one o" t+e speci"ic actions in t+e I%(IAF Action lan Item

    3.3- is De#elopment o" criteria "or t+e per"ormance o" #alidation audits y t+e A/s at t+e

    certi"ied or!ani)ations to c+ec$ t+e e""ecti#eness o" t+e mana!ement systemH. *+ese +a#e

    since een reJdesi!nated as Mar$et %ur#eillance #isitsH, and a met+odolo!y "or conductin!

    suc+ #isits +as een de#eloped and #alidated in t+e recent K9ID(I%(IAF roCect

    *A%0>003.

    *+is IAF in"ormati#e document pro#ides su!!estions aout +o s+ort mar$et sur#eillance

    #isits mi!+t e used y accreditation odies or ot+ers in order to complement traditional

    o#ersi!+t tec+niues. In t+e contet o" accreditation, t+is is consistent it+ 'lause 6.11.2 o"

    I%(I' 16011:2004 +ic+ states *+e accreditation ody s+all estalis+ procedures and

    plans "or carryin! out periodic sur#eillance onsite assessments, other surveillance activities

    and reassessments at su""iciently close inter#als to monitor t+e continued "ul"ilment y t+e

    accredited 'A/ o" t+e reuirements "or accreditationH. It is reco!ni)ed t+at some

    accreditation odies and ot+ers- already conduct suc+ #isits to certi"ied or!ani)ations, and+ilst t+e oCecti#e o" t+e current document is not to ma$e suc+ #isits mandatory, it is +oped

    t+at it ill pro#ide a common plat"orm and met+odolo!y "or suc+ #isits i" and +en t+ey are

    deemed to e appropriate. *+is in"ormati#e document uses accredited certi"ication to I%(

    >001 as an eample, ut t+e met+odolo!y could e adapted "or application to ot+er

    mana!ement systems.

    It is important to emp+asi)e t+at t+e adoption o" t+e met+odolo!y descried in t+is

    in"ormati#e document s+ould not necessarily increase t+e cost o" t+e accreditation process. (n

    t+e contrary L t+e oCecti#e is to ma$e t+e accreditation process more e""ecti#e and e""icient,

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

    International Accreditation Forum, Inc. 2012

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    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    y t+e intelli!ent use o" a lanJDoJ'+ec$JActH approac+. *+is means t+at t+e output o"

    mar$et sur#eillance #isits could e used to pro#ide input into t+e plannin! o" suseuent

    o#ersi!+t acti#ities y t+e A/ includin! t+e "reuency and duration o" o""ice assessments and

    itness audits-, ased on t+e pro#en staility t+at t+e ser#ices o" t+e '/ +a#e ac+ie#edH

    I%( 16011:2004 'lause 6.11.3-. *+is could mean, "or eample, t+at '/s +ose certi"ied

    clients demonstrate a +i!+ le#el o" con"idence in t+e e""ecti#eness o" t+eir mana!ement

    systems durin! mar$et sur#eillance #isits mi!+t suseuently ene"it "rom a less onerous

    pro!ramme o" o""ice assessments and itness audits y t+e A/. 'on#ersely, '/s +ose

    certi"ied clients do not pro#ide an acceptale le#el o" con"idence durin! mar$et sur#eillance

    #isits could e suCected to a more intense and tar!eted- pro!ramme o" traditional o#ersi!+t.

    Alt+ou!+ t+e met+odolo!y descried in t+is document is "or in"ormation only, it is +oped t+at

    some '/Es and t+eir respecti#e A/Es mi!+t see t+e ad#anta!es o" adoptin! suc+ mar$et

    sur#eillance #isits on a pilot #oluntary- asis, to complement traditional accreditation

    tec+niues. In t+ese cases, it is recommended t+at t+e eperiences otained "rom suc+

    initiati#es includin! a costene"it analysis- e reported to t+e IAF *ec+nical 'ommittee "or

    suseuent impro#ement o" t+is in"ormati#e document.

    1% Sco&e

    *+is in"ormati#e document is applicale to s+ort mar$et sur#eillance #isits used y

    accreditation odies or ot+ers in order to complement traditional o#ersi!+t tec+niues.

    !% Definitions

    !%1 Market Surveillance: #isit is typically a s+ort oneJday- #isit to a certi"ied or!ani)ation,

    to determine t+e le#el o" con"idence in t+e con"ormity o" t+e mana!ement system to speci"ied

    reuirements and t+e e""ecti#eness o" t+e accredited certi"ication process.

    9(*: A mar$et sur#eillance #isit is nota repeat auditH, and is not intended to identi"y or document speci"ic

    noncon"ormities t+e #isit is intended only to pro#ide con"idence in t+e acti#ities o" t+e '/.

    '% O)ectives

    *+e oCecti#e o" a mar$et sur#eillance #isit is to estalis+ t+e le#el o" con"idence in t+e '/Es

    certi"ication process y direct oser#ations carried out durin! #isits to a sample o" its certi"ied

    or!ani)ations, to use t+e results to de"ine appropriate le#els o" sur#eillance o" t+e '/Es

    acti#ities, and to impro#e t+e o#erall crediility o" accredited certi"ication.

    *+e met+odolo!y "or mar$et sur#eillance #isits descried in t+is document could e used not

    only y A/s, ut also y any duly aut+ori)ed interested party includin! ut not limited to-:

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

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    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    '/Es e.!. '/ +ead o""ice mar$et sur#eillance o" ranc+ acti#ities, or "ranc+isor

    mar$et sur#eillance o" "ranc+isee acti#ities-,

    e!ulators e.!. to in#esti!ate speci"ic concerns t+at call into uestion t+e #alidity o"

    accredited certi"ication-,

    'ustomers o" certi"ied or!ani)ations e.!. +en t+ere are indications t+at t+eir

    certi"ied supplier is not "ul"illin! t+e reuirements o" t+e rele#ant accredited

    certi"ication-,

    %ector sc+emes sc+eme oners e.!. to pro#ide additional con"idence in t+e sc+eme-.

    4% Criteria for Initiating a Market Surveillance Visit

    *+e use o" mar$et sur#eillance #isits y A/s and '/s may e on a #oluntary asis, y mutual

    a!reement, or may e initiated y t+e A/ or ot+er interested parties- to in#esti!ate speci"ic

    situations tri!!ered y ad#erse trends includin! t+e indicators t+at are reuired to e

    identi"ied y t+e '/ and in"ormed on a re!ular asis to t+e A/- or mar$et "eedac$, suc+ as:

    A sudden c+an!e in t+e numer o" certi"icates issued y a '/,

    A '/ t+at raises "e or no 9'Es in lon! period o" time,

    'rises t+at call into uestion t+e crediility o" accredited certi"ication,

    o roduct recalls

    o n#ironmental incidents

    'omplaints "rom customers o" certi"ied or!ani)ations or ot+er interested parties

    indicatin! concerns aout t+e e""ecti#eness o" a '/Es certi"ication process,

    9e!ati#e pulicity.

    o Issues raised y media or!ani)ations re!ardin! a particular product,

    or!anisation or accredited '/, it+ relation to speci"ic tec+nical areas

    includin!, ut not limited to M%, (%, F%M%

    o rolems identi"ied t+rou!+ social netor$in! sites

    o %peci"ic ne!ati#e "eedac$ "rom 97(s re!ardin! t+e per"ormance o"

    accredited certi"ication

    Knilateral inter#ention "rom re!ulators, or ne!ati#e "eedac$ "rom re!ulators.

    N 9(*: A/s may need to estalis+ "eedac$ mec+anisms it+ re!ulators to ensure t+at t+ey are madeaare o" trends in nonJcompliances it+ le!islation.

    Mar$et sur#eillance #isits may e applied on an indi#idual asis, or as part o" a pro!ram

    includin! a lar!er sample clientJspeci"ic, re!ional, or '/Jspeci"ic-.

    *% +lanning of Market Surveillance Visits

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

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    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    /e"ore initiatin! a pro!ramme o" mar$et sur#eillance #isits, it is important to de"ine:

    *+e contractual asis under +ic+ t+e #isits ill e carried out,

    o A/Es are recommended to include le!ally en"orceale reuirements in t+eir

    contracts it+ accredited '/Es and reuire accredited '/Es to do t+e same

    it+ t+eir clients- to allo t+e A/ to conduct mar$et sur#eillance #isits i" and

    +en t+e need arises

    o 'on"identiality criteria

    *+e oCecti#e o" t+e #isit or pro!ramme o" #isits. *+ese may e:

    o art o" a routine sur#eillance mec+anism a!reed it+ t+e '/o *ri!!ered as a result o" ne!ati#e mar$et "eedac$

    *+e samplin! criteria to e used,

    O+o ill participate,

    o *+e A/ assessor in case o" "orei!n accreditation t+is may e carried out y or

    in collaoration it+ t+e local A/-

    o A '/ representati#e as an in#ited oser#er-

    o (t+er rele#ant interested parties, as a!reed

    *+e competence needed y t+e assessment team,

    o *+e assessors s+ould e competent it+ respect to t+e mana!ement system

    under consideration, and in t+e met+odolo!y o" conductin! s+ort mar$etJsur#eillance #isits9(*: 'ompetence in conductin! assessments to I%(I' 16021 may e ad#anta!eous ut is

    not mandatory.

    O+o ill e co#erin! t+e costs o" t+e #isits-,

    o *+is ill #ary dependin! on t+e oCecti#e and tri!!er mec+anism "or t+e

    mar$et sur#eillance #isit, ut s+ould e clearly de"ined e"ore t+e #isit is

    conducted.

    ,% Met-odolog. of a Market Surveillance Visit

    *+e K9ID(I%(IAF roCect *A%0>003, +ic+ as aimed at t+e speci"ic case o" I%(>001 certi"ication, used a c+ec$Jlist comprisin! 28 topics to e co#ered durin! a oneJday #isit.

    *+ese topics are s+on in Anne 1, and could e suitaly modi"ied "or ot+er mana!ement

    systems, or customi)ed dependin! on t+e speci"ic oCecti#es o" t+e mar$et sur#eillance #isit.

    For eac+ item on t+e c+ec$Jlist, and in particular "or o#erall perceptions aout t+e #alidity o" a

    speci"ic or!ani)ationEs certi"ication, it +as een s+on t+at competent assessors can

    distin!uis+ eteen "i#e distinct con"idence le#elsH durin! a s+ort, oneJday #isit, and it is

    recommended t+at t+ese e utili)ed to pro#ide a consistent asis "or mar$et sur#eillance

    #isits, re!ardless o" +o carries t+em out or t+e reasons "or initiatin! t+em. *+ese "i#e le#els

    are epressed in simple terms as "ollos:

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

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    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    /rade 1ittle or no con"idenceH

    o ittle or no e#idence to support t+e implementation o" t+is topic

    /rade !%ome e#idence presented, ut not at all con#incin!H

    o %ome e#idence as presented, ut in t+e pro"essional Cud!ement o" t+e assessor

    ased on eperience-, t+ere ould proaly e e#idence to support a

    noncon"ormity i" a detailed audit trail ere to e "olloed in a "ull system audit.

    /rade '(P J 9o reason to dout t+at t+is is ein! addressed correctlyH

    o *+e de"aultH !rade, +ere t+ere is no e#idence to su!!est reasons "or concern,

    ased on t+e assessorEs eperience and pro"essional Cud!ement.

    /rade 4 'lear e#idence t+at t+is is ein! done, and meets t+e intent o" t+e rele#ant

    standardH

    o %u""icient oCecti#e e#idence as a#ailale to pro#ide a !ood le#el o" con"idence

    t+at t+e or!ani)ation is meetin! t+e reuirements.

    /rade * Oe can e proud to use t+is or!ani)ation as a enc+mar$ "or t+is topicH

    o *o e reser#ed "or truly ecellent per"ormance.

    0% Anal.sis of esults

    /rades ' to * are considered to e acceptale results t+at con"irm t+e #alidity o" t+e

    accredited certi"ication. '/s +ose clients are consistently assessed to e 7rade 4 or

    7rade 5 s+ould e considered as +a#in! roust certi"ication process and A/s s+ould

    consider reducin! t+e traditional o#ersi!+t o" sur#eillance assessment and itnessin!.

    /rade ! raises douts re!ardin! t+e ay in +ic+ t+e accredited certi"ication process +as

    een conducted, ut reuires a more inJdept+ analysis e"ore reac+in! conclusions.

    Decisions s+ould not e made ased on a sin!le 7rade 2H result at a certi"ied

    or!ani)ation.

    /rade 1 calls into uestion t+e #alidity o" t+e '/Es accreditation, and s+ould lead to

    "urt+er in#esti!ation and action.

    nd o" IAF In"ormati#e Document "or Mar$et %ur#eillance #isits to 'erti"ied (r!ani)ations

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

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    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    Anne2 1 3 Suggested Met-odolog. for Market Surveillance Visits

    Visit +lan

    *ypical &isit plan "or (neJday #isits to I%( >001Jcerti"ied or!ani)ations

    9(* L *imin!s are approimate, and may e adapted to suit local or cultural needs

    '/ in#ited to participate as observer

    iming Activit. Comments

    0>:00 L 0>:30+ (penin! rie"in! plain contet and oCecti#es o" t+e #isit. *+is may #ary

    dependin! on +at tri!!ered t+e #isit-.

    mp+asi)e t+at t+e #isit is 9(* intended to e an audit, andt+at t+e results ill e '(9FID9*IA. It is not intended

    to determine con"ormity or nonJcon"ormity o" t+e system.

    *+e results o" t+e #isit ill not necessarily a""ect t+e

    or!ani)ationEs certi"ication status.

    (Cecti#e is to loo$ at e""ecti#eness o" t+e C56s &rocesses

    "or I%( >001 certi"ication on a sample asis. Aim is toimprove the accredited certification process.

    ecord attendance and si!n con"identiality a!reements as

    appropriate.

    A!ree on sc+edule "or rest o" day.

    Allo time "or s+ort presentation y or!ani)ation 15 min

    ma-.

    0>:30 L 10:00+ Mana!ementrepresentati#e

    Discuss sel"Jassessment uestionnaireH it+ M Anne2-. Kse time to estalis+ empat+y it+ M.

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

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    to 'erti"ied (r!ani)ations

    iming Activit. Comments

    10:00 L 12:30+ %iteH *our *+in!s to loo$ "or:

    Do employee numers tie in it+ t+ose used "or auditduration calculations,

    7eneral +ouse$eepin! and or$ en#ironment in"rastructure,

    'ommunications 9otice oards upJtoJdate or electronic

    communications intranet etc-,

    *al$ to sample o" employees,

    o 'oncept o" process

    o Aility to descrie responsiilities, acti#ities

    underta$en etc.

    o Aareness o"

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    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    iming Activit. Comments

    14:00 L 18:30+ Mana!ement

    epresentati#e and

    ot+ers, as needed

    e#ie certi"icate:

    o Does scope o" certi"ication clearly de"ine +at

    products and ser#ices are co#eredR

    e#ie o"

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    A7789 ! 3 :S8;F3ASS8SSM87< 5= >8 C8IFI8D O/A7I?AIO7

    (o e filled out toget-er @it- t-e assessor if clarifications are necessar.#

    *+e "olloin! uestionnaire is desi!ned to address se#eral $ey components re!ardin! your

    eperiences, as an ISO 9001- certified organization, re!ardin! t+e certi"ication process.

    IMPORTANT NOTE:

    We request that this questionnaire be filled out by the MANAGEMENT

    REPRESENTATIE of your or!ani"ation# $ithout dis%ussin! $ith any %onsultant $ho

    &ay have hel'ed in the i&'le&entation of your syste or $ith your %ertifi%ation body(

    This is not be%ause $e don)t trust the& * it)s be%ause $e $ant +O,R o'inions-

    1. 9ame and address o" or!ani)ation:

    2. Mana!ement representati#e:

    9ame:

    Function:

    Jmail:

    *elep+one:

    3. *op Mana!ement names- erson or !roup o" people +o directs and controls t+e

    or!ani)ation at t+e +i!+est le#elH-

    4. 'erti"ication /ody lease attac+ a copy o" t+e certi"icate-

    5. %cope o" certi"ication

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

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    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    8. 9umer o" employees in your or!ani)ation (+lease mark @it- an :9< in t-e

    a&&ro&riate o2-

    1to

    5

    8to

    10

    11to

    15

    18to

    25

    28to

    45

    48to

    8

    5

    88to

    ;5

    ;8to

    125

    128to

    165

    168to

    265

    268to

    425

    428to

    825

    828to

    ;65

    ;68to

    1165

    1168to

    1550

    (#er 1550please state

    numer-

    6. o lon! +a#e you een certi"ied to I%( >001R (+lease mark @it- an :9< in t-ea&&ro&riate o2-

    0 L 3 years 4J10 years (#er 10 years

    ;. o many auditorJdays did t+e certi"ication ody use durin! your initial or most recent

    "ull reJcerti"ication- auditR "or eample, 2 auditors "ullJtime "or a total o" 3 days T 8

    auditorJdays- : UUUUUUUtotal numer of auditor3da.s-

    >. o o"ten does your certi"ication ody #isit you to carry out sur#eillance audits, to ensure

    your system continues to meet t+e I%( >001 reuirementsR

    #ery 8 mont+s #ery > mont+s (nce a year ess "reuently t+anonce a year

    10. o many auditorJdays does your certi"ication ody spend eac+ year on sur#eillance

    auditsR "or eample, 2 auditors "ullJtime "or a total o" 2 days T 4 auditorJdays- :

    UUUUUUUnumer of auditor da.s &er .ear-

    11. O+at as t+e name o" t+e auditor +o #isited you last timeR UUUUUUUUUUUUUUUUUUUUUUU

    12. Are you +appy it+ t+e ay in +ic+ your '/ +as conducted your auditsR

    13. O+at is your on opinion aout t+e status o" your mana!ement systemR

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

    International Accreditation Forum, Inc. 2012

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    Issue 1 IAF In"ormati#e Document "or Mar$et %ur#eillance &isits

    to 'erti"ied (r!ani)ations

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

    International Accreditation Forum, Inc. 2012

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    Mar$et %ur#eillance &isits to 'erti"ied (r!ani)ationsAnne 3

    Anne2 ' 3 82am&le of Visit Summar. (MS 8ffectiveness#

    9(*: *+is is 9(* a 'on"ormity assessmentH eercise. esults are to e epressed in terms o" con"idence le#els, ased on oser#ations

    and discussions durin! t+e #isit.

    o 1 B ;ittle or no confidence

    o ! B Some evidence &resented$ ut not at all convincing

    o ' B O 3 7o reason to dout t-at t-is is eing addressed correctl.

    o 4 B Clear evidence t-at t-is is eing done$ and meets t-e intent of ISO ""1

    o * B Ee can e &roud to use t-is organization as a enc-mark for t-is to&ic

    Statement Confidence

    level

    Comments andGor )ustifications

    (reHuired in case of level 1 or *#

    1 2 3 4 51- *+e initial or most recent "ull recerti"ication- audit duration as appropriate

    "or t+e si)e and compleity o" t+e or!ani)ation %ee IAF MD5-IAF *ale adCusted "or compleity etc-:

    Actual:

    'omments:2- *+e duration and "reuency o" sur#eillance audits are appropriate "or t+e si)e

    and compleity o" t+e or!ani)ation see 'lause 5 o" IAF MD5-IAF *ale adCusted "or compleity etc-:

    Actual:

    'omments:3- *+e scope mentioned on t+e or!ani)ationEs certi"icate accurately descries its

    acti#ities, and is not misleadin!.

    Issued: 15 May 2012 IAFJID 4J2012

    International Accreditation Forum, Inc. 2012

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    Mar$et %ur#eillance &isits to 'erti"ied (r!ani)ationsAnne 3

    Statement Confidence

    level

    Comments andGor )ustifications

    (reHuired in case of level 1 or *#4- All eclusions are adeuately Custi"ied i" t+ere are no eclusions, !i#e 7rade

    4H and ma$e a note in comments-5- *+ere is e#idence o" top mana!ementEs in#ol#ement it+ and commitment to

    t+e implementation o" I%( >001

    8- Internal communication is !ood, and employees are aare o" t+eir roles in t+e

    - *+e uality policy is appropriate "or t+e or!ani)ationEs situation and culture

    10- *+e or!ani)ation +as estalis+ed and deployed meanin!"ul oCecti#es at

    rele#ant "unctions and le#els

    11- *+e

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    Mar$et %ur#eillance &isits to 'erti"ied (r!ani)ationsAnne 3

    Statement Confidence

    level

    Comments andGor )ustifications

    (reHuired in case of level 1 or *#1;- *+ere is a "ocus on identi"yin! t+e 'AK% o" process, product and system

    noncon"ormities, and on implementin! e""ecti#e correcti#e action1>- Internal audits are ein! carried out accordin! to plan, and are e""ecti#e

    20- Mana!ement re#ies are ein! carried out accordin! to plan, and are e""ecti#e

    21- *+e or!ani)ation +as a "ocus on &9*I97 noncon"ormities

    22- 'ustomer "eedac$ and customer complaints +andlin! mec+anisms are

    appropriate

    23- *+e

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    Mar$et %ur#eillance &isits to 'erti"ied (r!ani)ationsAnne 3

    %pace "or Additional 'omments

    Issued: 15 May 2012 IAFJID 4J2012

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    Mar$et %ur#eillance &isits to 'erti"ied (r!ani)ationsAnne 3

    Assessor: Date:

    Issued: 15 May 2012 IAFJID 4J2012

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    Mar$et %ur#eillance &isits to 'erti"ied (r!ani)ations

    Furt-er Information

    For "urt+er In"ormation on t+is document or ot+er IAF documents, contact any

    memer o" IAF or t+e IAF %ecretary.

    For contact details o" memers o" IAF see J IAF Oe %ite J @+ttp:.ia".nuB

    IAF %ecretary,

    .(. /o 1;11, '+elsea, / 1A1

    *elep+one ?1 813 454 ;15>

    mail @secretaryia".nuB

    Issued: 15 May 2012 Application Date: 15 May 2013 IAF ID 4:2012

    International Accreditation Forum, Inc. 2012