Regulations of Management System Certification Mark Date (Release) Compiled by: Reviewed by: Pages SN-VS-01_EN 2013-04-16 (L8) A.Buzienė S.Trakelienė 1(4) 1. Introduction This document describes the procedure which shall be followed to when certifying management systems for organizations, i.e. it describes actions which shall be performed by SERTIKA and organization. Certificate of conformity of management systems issued by SERTIKA is related only to those products or services, which are controlled directly by the organization itself. 2. Presentation of application 2.1 Organization which desires to have its management system certified, presents filled application form VS13_F01 to SERTIKA (for more information see www.sertika.lt). 3. Signing of the agreement 3.1 SERTIKA, having registered received application, analyzes it and, in the case of positive results of analysis, supports organization with the form of agreement. The agreement defines certification prices and terms for evaluation and periodical surveillance audits. 3.2 If organization decides to begin the process of its management system‘s certification, it shall sign the agreement and return one copy of signed agreement to SERTIKA. 4. Preparation for management system certification 4.1 SERTIKA arranges the group of auditors when signed agreement is received. 4.2 Each candidacy of auditor is considered together with the organization. 4.3 SERTIKA sends a list of proposed auditors (including experts of Lithuanian National Accreditation Bureau and/or students-auditors) and asks for confirmation. 4.4 If organization disagrees to confirm any candidacy of the auditor group, SERTIKA asks to name motivated reasons. 4.5 SERTIKA makes a decision to substitute auditor group‘s composition and informs organization. 4.6 When audit group is designated, SERTIKA asks organization to present documents of management system: guide(-s), procedures, quality policy, objectives, structural scheme of the organization, reports of the last year‘s internal audits, records of management reviews and documents of essential requirements. 5. Certification of management system The certification of management system consists of two stages: I stage audit, during which group of auditors evaluates documents of management system (part of documents may be checked at the organization) and collects information for II stage audit. II stage audit, during which organizational management system is evaluated. 5.1. I stage audit 5.1.1. SERTIKA analyses received documents and presents analysis report considering the conformity to the requirements of management system standards to the organization in less than 30 days. 5.1.2. If non-conformities are found, SERTIKA offers organization to correct them. 5.1.3. II stage audit is planned only when organization presents (if needed) corrected documents of management system. 5.2. II stage of audit 5.2.1. SERTIKA arranges and sends plan of audit to the organization. Regulations of Management System Certification Mark Date (Release) Compiled by: Reviewed by: Pages SN-VS-01_EN 2013-04-16 (L8) A.Buzienė S.Trakelienė 2(4) 5.2.2. The plan of audit provides audit date and list of auditable objects. 5.2.3. Audit is proceeded only when activities foreseen in the plan take place. Otherwise the plan is corrected. 5.2.4. During the audit auditors and experts examine whether the management system is established, maintained and updated. 5.2.5. During the audit organization shall create conditions for auditors and experts to enter all premises, meet all the workers and get all the records. 5.2.6. During the final meeting in the end of audit, group of auditors informs organization about the nonconformities found and evaluates categories of non-conformities. The group of auditors discusses proper actions to be taken for elimination of non-conformities‘ causes. 5.2.7. Possible corrections and ways of evaluation: 1) corrective actions may be done during the evaluation. In this case, cause of non-conformity is held eliminated; 2) corrective actions, which can be proved by presenting proper documentation. In this case additional confirmation is not necessary. 3) corrective actions related with significant changes, which can be evaluated only by examination in organization. 5.3. Presentation of audit report 5.3.1. SERTIKA supports organization with the audit report in less than 40 days. 5.4. Making a decision 5.4.1. Based on the report of auditor team, director of SERTIKA or Head of Management Systems Certification makes a decision about the certificate. 5.4.2. The decision may be: • to issue the certificate; • not to issue the certificate. 5.4.3. The decision is put aside until the ongoing corrective actions of the organization are finished. 5.5. Issuing certificate and registration of a client 5.5.1. The certificate is issued for 3 year period. 5.5.2. Organization which had management system certified is included in the list of certified companies. 5.6. Use of certificates 5.6.1. Organization shall declare certified only that field of management system which is published in the certificate. 5.6.2. Organization shall not use certificate in such a way, which could negatively affect SERTIKA‘s reputation. 5.6.3. After certificate has been suspended or canceled organization shall stop using it in all advertising material that has any links to the certification. 5.6.4. Organization shall correct all advertising material when scope of certification is reduced. 5.7. Use of certification mark (logo) 5.7.1. The certification of management system does not equal to the certification of a product, therefore it does not dismiss organization from obligations which are related with the product. 5.7.2. SERTIKA issues certification mark together with the certificate. Certified organization has a right to demonstrate this mark, following these rules: 1) mark is intended to demonstrate that management system is certified, use on organization‘s documents and in the advertising material is permitted. Regulations of Management System Certification Mark Date (Release) Compiled by: Reviewed by: Pages SN-VS-01_EN 2013-04-16 (L8) A.Buzienė S.Trakelienė 3(4) 2) mark shall not be used on products or packaging of the products or make an impression in any other way that could make products look as certified; 3) mark shall not be used on laboratory testing, calibration or control reports because these documents are held products in this context; 4) mark shall be used to advertise only that field of activities, which is published in the certificate and does not make an impression that management system covers scope that is not included in the certificate; 5) if organization wishes to advertise its products as the ones which were produced using a certified management system, it shall state on the product or packaging: „The product is produced using certified management system according to the requirements of ISO 9001/ISO 14001 standards”, or similar. 5.7.3. SERTIKA monitors how certified clients are keeping up the requirements of 5.7.2 cl. by observing advertising material and products supplied to the market. 5.7.4. If incorrect links or incorrect use of certification documents or marks was discovered, certified client receives a warning note in writing and has to make corrections. 5.7.5. If certified client does not respond to the warning, certificate is suspended for 3 months period. If the client does not solve the problem then the certificate is canceled. 6. Surveillance 6.1. SERTIKA performs surveillance audits at least once a year. This is done for the purpose of management system‘s continuous conformity maintenance according to the requirements of standard. 6.2. During the period of certificate validity SERTIKA is obliged to perform surveillance audits as described in the agreement of management system certification. Additional special audits are possible when certification scope is expanded, complaints or appellations are received, when updating certificate after its temporary or total suspension, or when significant difficulties or changes in management system of organization appear. 6.3. If, during the surveillance audit, non-conformities are found, organization shall ensure that proper measures will be taken in 3 (three) months counting from the date of audit. The corrective actions are verified during the additional audit, if needed. 6.4. SERTIKA presents information to the certified client about changes in certification requirements and indicates actions, which shall be undertaken for management system to comply with the requirements of standards. 6.5. Reacting to the significant changes of management system, complaints or when certificate is temporarily suspended, SERTIKA may perform a surveillance audit without any preliminary notice. 6.6 Client undertakes to inform SERTIKA about essential changes that have influence to the management system immediately. The client shall inform SERTIKA in the cases described below: • When Quality Manager is changed • When number of workers changes by more than 10 persons; • When activity is changed and certification scope and/or legal addresses change due to this fact. The client shall present new procedures of management system 2 (two) weeks before the surveillance audit. 7. Special audits 7.1. Expansion of certification scope 7.1.1. According to the organization wishes, its management system‘s certification scope may be expanded. 7.1.2. Organization presents application (form in www.sertika.lt). 7.1.3. SERTIKA performs identical actions as shown in 2-5 paragraphs. 7.1.4. A new certificate with the expanded scope is issued after the expansion of the certification scope. 7.1.5. Audit of certification scope expansion may be arranged together with the surveillance audit. Regulations of Management System Certification Mark Date (Release) Compiled by: Reviewed by: Pages SN-VS-01_EN 2013-04-16 (L8) A.Buzienė S.Trakelienė 4(4) 7.2. Unplanned audit 7.2.1. Reacting to complaints, changes or client requests, Head of Management System Certification arranges group of auditors and includes it in the audit program as well as describes the extent of the audit. Candidacies of auditors are not considered with the client in this case. 8. Suspension, cancelation or reduction of certification scope 8.1 Certification scope is reduced, accreditation is suspended or canceled in the following events: • if certified management system does not conform to the requirements of standards during the surveillance period of the certified management system. • certified organization does not grant the permission to perform the surveillance on the required basis. • client voluntarily asks to temporarily suspend the validity of certificate. NOTE: if client does not allow SERTIKA to perform the surveillance or asks to suspend the validity of certificate, Head of Management System certification shall make a decision in 2 weeks. 8.2. Head of Management System certification, taking into account estimation done by Chief auditor, makes a decision considering suspension or reduction of the certification scope. 8.3. Head of Management System certification makes a decision considering cancellation of certificate if earlier defined non-conformities are not eliminated for period longer than 1 month. 8.4. If certificate is canceled, information is presented in SERTIKA‘s webpage (www.sertika.lt). 9. Repeated certification (re-certification) 9.1. When certificate’s validity is coming to an end and organization applies, management system may be re-certified. In this case organization presents application for the repeated certification. 9.2. SERTIKA repeats actions as described in 2 - 8 paragraphs. 10. Appellations and complaints 10.1. Organization or its client has a right to make a complaint to SERTIKA because of improper actions related to the procedures of activity. 10.2. SERTIKA analyses complaint(-s) and informs applicant about the final decision in 20 days counting from the day of complaint reception. 10.3. If SERTIKA’s decision does not satisfy the applicant, he may send an appellation to the Committee of Impartiality Assurance (CIA). SERTIKA shall explain the procedures of CIA to the applicant. 11. Confidentiality 11.1. Except cases foreseen by laws of Republic of Lithuania and these certification regulations, SERTIKA holds to strict confidentiality requirements and does not give any information received during evaluation and certification of management systems to any other third party without written permission of the organization. In some cases documents may be presented to the National Accreditation Bureau which holds to the requirements of confidentiality as well. 11.2. If documents or information about client is received from other sources (not from company under the certification) SERTIKA still satisfies the requirements of confidentiality, except cases foreseen in the law of Republic of Lithuania. 11.3. SERTIKA has a right to announce information about the canceled certificates on its webpage.