List of Required Documents for Submission for the Accreditation as a Certification Body for Management-Systems according to DIN EN ISO/IEC

17021

72 FB 004.7_17021_e
Issue: Revision: Page: 1 1 1/2

Documentation for assessments of the office

Initial and re-accreditation: Extension / Change of accreditation: Surveillance of accreditation: Customer number1: Column 1 Column 2 Column 3 Phase1:

No.

Document
Quality Manual QM-including all documents relating to the requirements of DIN EN ISO / IEC 17021 and certification areas (eg. QMS, EMS, SCC, EN 9100 Aerospace, ISO 27001 IT security management, etc.) Master list (s) of all quality documents (including version and / or expiration date) Organization Chart Rules of Procedure, Members of the Committee for safeguarding impartiality Statement of the management to the independence and impartiality Analysis of conflicts of interest, including relations with affiliated bodies List of certified organizations - split by areas of certification (ISO 9001, ISO 14001, etc.) and countries (only in cross-border certification)) Sample - Certificate / copy original - certificate for each certification area Use of logo A method for monitoring of auditors Tariff or price list Documentation of the certification rules and procedures (certification system of the CA) List of subcontractors Auditor competence matrix for areas of certification (ISO 9001, ISO 14001, etc.) and EAsectors, ISO 22000-Cat., Etc. if applicable List of branches / offices with the corresponding activities Samples of all types of contracts (certification contract with customers, contractors, external auditors) Completed check list 72 CL 001.7_17021_e (Document is made available to DAkkS as MS-Word-File)

1.

2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16.

X X X X X X X X X X X X X X X

X X X X X X X X X X X X X X X

X X

X X

17.

Is completed by Deutsche Akkreditierungsstelle GmbH

List of Required Documents for Submission for the Accreditation as a Certification Body for Management-Systems according to DIN EN ISO/IEC 17021

72 FB 004.7_17021_e
Issue: Revision: Page: 1 1 2/2

Documentation for the conduct of witness audits

Witness audits in the context of initial certifications Witness audits in the context of recertifications Witness audits in the context of surveillance of certification No.
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13.

column 1 column 2 column 3 1 X X X X X X X X X X X X X X X X X X X X X X X 2 X X X X X X 3 X X X X X X

Document
Customer master data (customer questionnaire, application, other certifications) Customer information (web address, possibly directions) Determination of the audit man-days, including support multi-site, transfer-Review Offer / Certification Agreement Report on examination of the dossier of the customer Contents / Structure of the manual Report on the preliminary audit / Stage 1 Audit Audit documentation (initial certification, last surveillance, last recertification) Certificate Audit Plan Evidence of qualifications, independence, monitoring, exchange of experience of the auditors / technical experts Procedure of the Certification Body for the organisation of audits Audit documentation (audit report, deviation reports) - at the end of the audit

Further documents could be requested by the customer manager or the assessor, if required.

Place, Date

Signature of the Customer Manager

Name in print

* The customer manager shall sign and confirm the completeness and correctness of all the above mentioned
documents by signature. In preparation of the assessment, the listed documents shall be up-dated. After review, the customer manager shall provide the documents to the assessor.