We assess and certify management systems and regulatory inspection activities in the USA.

Certification Process

Introduction

United Registrar Services (URS) is a New Hampshire corporation that offers certification of quality (QMS), aerospace quality AQMS), environmental (EMS) , and occupational health and safety (OH&S) management systems .Assessment and certification services are provided in meeting the requirements of the appropriate ISO 9001, ISO 14001, OHSAS 18001 and AS9100 / AS9110 / AS9120 standards under TGA accreditations

URS Coordinates accreditation by international accreditation bodies. These accreditations provide international recognition of a client’s certified management system. The certification achieved by the client, in turn, gives their customers confidence that the standards for quality management systems have been fulfilled.

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1.0 Purpose

URS offers assessment, certification, and ongoing surveillance services to their clients. Certification requirements are described in the contract signed by the client and URS. The contract data package includes a cost quotation, contract.
This document describes the step-by-step requirements of the certification process offered by URS . It describes the procedures and rules by which URS manages certification, granting a certificate, and the continuation of certification. Client responsibilities are included.

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2.0 Definitions

• Registrar: Body that conducts quality management system certification of conformity. (RAB definition)
• Client: Most quality standards are written from the perspective of the buyer or customer. The organization seeking certification is a client to the customer. This definition may apply to manufacturers, distributors, importers, assemblers, service organizations, etc. A client provides goods or services to the organization.
• Minor Nonconformity: A single system failure or lapse in conformance with a procedure relating to the appropriate standard.
• Major Nonconformity: The absence of, or total breakdown of a quality management system element as specified in the appropriate standard or any non-conformance where the effect is judged to be detrimental to the integrity of the product or service.
• Management Representative: Member of a client’s management with the authority and organizational freedom to resolve matters pertaining to the quality management system.
• Certification audit: Full audit of client quality management system for initial certification and issue of a certificate of registration.
• Surveillance audit: Audits performed between the periods of certification and re-certification.
• Re-certification audit: Audit performed at the end of the initial certification period.
• Follow-up audit: Audit performed to verify corrective action resulting from major nonconformity.
• Revision audit: Audits performed in response to quality management systems changes. a transfer of registration to URS, a client scope change or a change in location/ownership, etc.

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3.0 Preparation of the Client for Certification

The URS program is based on a four-phase process that attempts to identify client quality management system weaknesses prior to the certification process. This early identification provides clients with the opportunity to correct potential quality management system problems and complete the certification process with confidence.

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4.0 Phase I - Preparation of the Client

URS becomes acquainted with the client needs and intentions, and gathers general information. URS maintains a website that outlines its services and qualifications. URS may hold an informational meeting. The general topics of discussion are:

• Purpose and usefulness of the certification
• Preconditions for the certification process
• Certification process
• Client scope of registration
• Approximate cost and schedule

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4.1 Quote

When the URS receives a request for a quote for certification services, the necessary information is collected and documented on a Company Information Sheet The costs for certification audit (Stage 1 and 2), and surveillance audit are calculated and entered on the Quotation Worksheet Form 019 based on the requirements of IAF MD 5. Multi-site certification calculations are quoted in accordance with IAF MD 5.

The quoter signs the quote worksheet and a copy is maintained in the URS database.

The quote letter with a contract for services is submitted to the client for review and approval.

These quote letter and contract cover:

• General terms, rules, and conditions of certification
• Surveillance options of the client system during the certification period
• Request for a Purchase Order describing quoted services
• Inclusion of deposit (for new clients)

The contract is submitted to the client for signature. On return of the signed contract URS will sign and return a copy to the client.

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4.2 Client Registration

• When a client chooses URS as its certification body, The signed contract is returned to URS with a purchase order and deposit if required (for new customers). A copy of URS-002“Client Guidelines for the Certification of Quality Management Systems” and URS-007 “Certification Logo and Rules for Use” are sent to customer by URS administration. These documents cover Description of the certification process
• Rules for use of the URS certificate and logos

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5.0 Phase II - Review of the Quality Documents / Stage 1

The client is responsible to provide its latest revisions of the quality manual, quality procedures, and work and test instructions to the Lead Auditor for documentation review as agreed on.

The audit team refers to the applicable ISO 9001/ AS9100 standard requirements and Document review/Stage 1 Assessment (Form 038) in reviewing the quality documents. In the case of AS9100 / AS9110 / AS9120 audits, the appropriate AS Quality System Assessment questionnaire is utilized. Notes are taken and referenced to appropriate ISO 9001/ AS9100 clauses. Existing industry, regulatory requirements or special requirements such as safety, special clothing, union rules, restricted areas, etc., may be entered as references on the assessment report. These topics are normally discussed at the opening meeting.

URS performs a stage 1 assessment to determine the state of readiness of the clients QMS for certification.

The document review and stage 1 results are recorded on the Report on the Review of Quality Documents/Stage 1 Form 038. The client is informed of the results either verbally or through a copy of the report. The URS will not perform stage 2 activities until verification that deficiencies identified in Stage 1 have been addressed and indicates the proper quality management system is in place to satisfy the requirements of the appropriate standard.

When client quality management system and documentation are considered acceptable, the client and the URS proceed to schedule the Stage 1certification audit.

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6.0 Phase III - Certification Audit, Granting Certification Approval

6.1 Audit Plan

The Audit Plan for the certification audit (stage 2) is prepared by the Lead Auditor and should be flexible to accommodate last minute changes and to permit effective use of resources.

The certification audit plan contains the following:

• Audit objectives and scope
• Standard to be audited
• Identification of audit team members and the client’s management representative
• Dates and place where the audit is to be conducted
• Expected time and duration for the opening and closing meetings, meetings with the client’s management, and for each major audit activity (by element of the appropriate standard)
• Client’s organizational unit to be audited for each major audit activity
• Language of the audit
• Date of issue
• Confidentiality requirements

The Lead Auditor or Second Auditor submits the audit plan to the client for approval, and copies the audit team member(s).

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6.2 Audit Team

All URS Auditors must have completed and passed an accredited Quality Management System Lead Auditor training course.

The Quality System Division Manager or designee select audit team members based on skills, experience and, special product expertise as needed for the client scope of registration. Specifically, in the case of AS9100 audits, all auditors will have passed sanctioned AS9100 training for registrars and in addition, aerospace auditors must satisfy the training and audit participation requirements defined in AS9104. The audit team assigned will be able to communicate effectively both in writing and orally in the required language. The selection and approval of the audit team is recorded on the Auditor Assignment (Form 39). The Project Manager or designee will notify the client verbally or in writing of the selected audit team. The information will include the name of the team members, employment status, i.e. URS employee or sub-contractor. This notification is included in the project file. Sufficient time will be allowed to permit the client to appeal the selection.

The lead auditor assigns each member of the audit team specific elements of the appropriate standard to audit. Auditor caucuses are held as needed to aid in the audit management, share information, or adjust the audit plan, as necessary.

Clients with less than fifty employees may be audited by a Lead Auditor only.

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6.3 Opening Meeting

The opening meeting is convened at the beginning of the first audit day. The Lead Auditor conducts the meeting attended by the audit team members, the client representatives as appropriate and the management representative. Attendance is recorded on an attendance sheet

The purpose of the opening meeting is to:

• Introduce the audit team members to the client
• Review the audit objectives and scope
• Provide an overview of the audit process
• Confirm that time, resources, and facilities are available according to the audit plan
• Clarify all details of the audit plan
• Describe types of nonconformities
• Make customer aware of appeal process
• Remind consultants attending the audit that their role is that of observer
• Review relevant ISO 9001/AS91xx/ISO 14001/OHSAS 18001 requirements

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6.4 Auditing

The audit team and the management representative commence the certification process as described in the audit plan, the list of audit questions, the appropriate standard, and the client documentation. Client documentation is required during the audit.

The Audit Team verifies, through interviews, examination of documents, and observation of activities and conditions in the audited areas, whether:

• Implemented processes are compatible with documented procedures, and considered effective
• Personnel are properly trained on the processes and procedures

Audit documentation is prepared by the assigned auditors and completes by them during the course of the audit. Beside URS identified audit documents, The auditors utilize Standard specific audit documentation

Each audit step is rated on the List of Audit Questions as follows:

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6.5 Closing Meeting

The closing meeting is convened at the end of the audit. The Lead Auditor conducts the meeting attended by the audit team members, the client representatives as appropriate and the management representative. Attendance is recorded.

The purpose of the closing meeting is to present certification status and information particular to the Standard audited.

• The results of the audit
• The audit observations ensuring that the client understand the audit results
• The audit team conclusions in regard to the client’s quality management system implementation and effectiveness
• Non-conformity Reports and discuss corrective action as appropriate
• EMS related facts
• OH&S related
• A discussion on future proceedings
• OASIS Database listing
• Scoring for AS9100 / AS 9110 / AS9120
• The need to define an OASIS database administrator
• Appeals process

Copies of the non-conformity reports are left with the management representative for corrective action; the Lead Auditor retains the original NCRs. When the NCR corrective actions are implemented, the management representative will forward the NCR and evidence of implementation to the Lead Auditor.

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6.6 Audit Report

Following the certification audit, the Lead Auditor prepares the Audit Report with input from the audit team member(s). The audit report, dated and signed by the Lead Auditor, is copied and forwarded to the client within three weeks following completion of the certification audit. The original audit report is retained in the project file.

The audit report contains the following information:

• Audit objectives and scope (including IAF code and accreditation)
• Identified ISO 9001, AS9100 / AS9110 / AS9120 standard used for assessment
• Identification of audit team members and the client management representative
• Date and place where the audit was conducted
• Records of nonconformity
• Interview Logs (Client personnel interviewed during the audit) AS audits
• Conformity status to each clause of the standard1= ‘conforming' 2= ‘minor nonconformity’ 3= ‘major non-conformity’ and n.a.= ‘not applicable’
• The audit teams conclusion regarding the client’s level of compliance with the appropriate quality management system standard and related documents
• The client’s ability to achieve defined quality objectives.
• Opportunities for improvement
• Statement of confidentiality

Nonconformity report

If a nonconforming issue is identified, the auditor documents the findings on the NCR form appropriate for the Standard being assessed.

Minor Nonconformity: A single system failure or lapse in conformance with a procedure relating to the appropriate standard.

Major Nonconformity: The absence of, or total breakdown of a quality management system element as specified in the appropriate standard or any non-conformance where the effect is judged to be detrimental to the integrity of the product or service.

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6.7 Corrective Action

The client describes corrective action on the NCRs issued, submitting evidence of implementation to the Lead Auditor. The Lead Auditor informs the client of acceptance of the corrective action.

Certificates of Registration are not issued until all nonconformity reports have been reviewed and accepted by the Lead Auditor. Follow-up may or may not be necessary. All AS9100 / AS9110 / AS9120 audits require evidence of full implementation of the corrective action for each ncr issued. Follow-up may or may not be necessary

Verification of the corrective action may include a review of client documentation, records or by an on-site verification within a time period agreed to by the client and the Lead Auditor. Evaluation of the effectiveness of the corrective actions are assessed d at the next schedule audit or when specified by URS.

Should a follow-up audit be necessary to verify implementation of the corrective action that is preventing to issuance of certification or maintaining certification, the Lead Auditor shall prepare and distribute a follow-up audit report similar to the certification audit report.

The audit is complete upon submission of the audit report to the client and submission of corrective actions by the customer.

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6.8 Certification Approval

6.8.1 Brief Audit Report

For QMS/EMS/OH&S audits, the Lead Auditor completes the Brief Audit Report that summarizes the audit results and provides details on the client, the audit and the audit team. Recommendations may be made, such as an additional review of the quality documents, follow-up audit requirements, or recommendation for certification. . The clients management representative signs the brief.

A brief audit report is not required for Aerospace audits. The Lead auditor leaves the completed report, AS checklist and any NCRs at the close of the audit.

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6.8.2 Certification Registration

The audit documentation package is submitted to the Administration Section for initial review. The document package shall include:

The decision to register the client’s quality management system is made by the Registration Section. The Registration Section is comprised of one qualified Lead Auditor and the Project Manager of Certifications. The URS Manager selects the members of the Registration Section. Under no circumstances are any certification personnel allowed to participate in the audit process and the certification of the same client. Audit review requires a member of the Registration Section who has passed the sanctioned ISO training for registrars; this individual has veto authority on certification recommendations.

The Registration Section evaluates the Lead Auditor’s recommendation and reviews the NCR’s and the evidence of corrective action implemented by the client. All NCR’s for AS9100 audits must be fully implemented and closed before registration can be granted.

Once the Registration Section agrees that the client quality management system conforms to the appropriate standard and the URS requirements, the Registration Section members and the URS Manager or designee sign the Brief Audit Report. Should the Registration Section decline to issue the certificate for cause, the responsible Lead Auditor shall be notified with specific information on the action to be taken. The Lead Auditor is responsible for taking the appropriate action in coordination with the Registration Section.

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6.8.3 Issuing the Certificate

Upon approval the reviewers, URS issues a certificate with a validity of three years. The URS Registration Section member or designee signs the certificate.

• Notify the client that certification has been granted
• Provide the client a electronic draft of the certificate for approval
• Once approved provide client with electronic copy and hard copies of certification
• Provide the client with artwork for the URS logo and accreditation body mark, the rules for use (URS-007)
• Provide the client with the certification audit report in not provided by Lead auditor
• Update customer certification status in URS database

Aerospace Certifications

URS submits client audit information for entry into OASIS database via the TGA authorized body. Entry into Oasis is with 30 days of issuance of certificate.

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7.0 Phase IV - Maintenance of Certification

The URS certification approval is valid for three years, provided successful surveillance audits are performed. The certified client shall maintain all certification requirements throughout the validation period. Recertification audits must be held in the organization by the end of the three-year period in order to renew the validity of the certificate for another three-year period if annual surveillance audits are performed.

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7.1 Surveillance Audit

Each certified client shall receive a surveillance audit annually or semi-annually. The client may select the surveillance option.

A recertification audit covering all the applicable ISO 9001 / AS9100 / AS9110 / AS9120 standard elements will be performed at the end of the certification period.

Clients, on a semi annual surveillance audit schedule, will be subject to 2/3 of the initial assessment time in accordance with IAF Guidance on IAF MD 5. This is during the 5th and/or 6th surveillance audits conducted during the 3rd year of registration, as appropriate to the requirements of ISO 9001.

The URS certified clients selecting annual surveillance audits will be for a period of 1/3 the Certification Audit time. Clients that have certification under a URS, TGA Accreditation, may receive either the optional annual or semiannual surveillance audits.

The annual surveillance audit is scheduled with the client two months up to one year from the last date of the certification AUDIT. One Auditor normally performs the surveillance audit.

Prior to performing the surveillance audit, the Auditor will review previous audit reports and associated non-conformities. The ISO 9001 /AS9100/ISO 14001/OHSAS 18001 elements of the management systems, management responsibility, internal audit, and corrective action including corrective action taken on previous non-conformity reports will be assessed during all surveillance audits. Additional management system elements will be chosen, aided by the review of previous audit records. Should the Lead Auditor discover a major nonconformity in the client quality management system, the client shall develop and implement corrective action and an on-site verification audit may be performed as determined by the Lead Auditor within thirty days as of the surveillance audit date. The same Auditor that conducted the surveillance audit will perform the review and evaluation of the corrective action. The Auditor's recommendation shall be reviewed by the URS Manager or designee, who will notify the client on the status of their certification. If the corrective action is not implemented within 30 days, the URS Manager or designee shall notify the client of the cancellation and withdrawal of the certificate of registration (reference URS-016, Withdrawal and Cancellation of Certification Documents). Should the certificate be canceled, the client may apply for a new certification audit. The extent and scope of the new certification audit shall be determined by the Lead Auditor that initially performed the surveillance audit and is approved by the URS Manager.

The surveillance audit report describing the results of the audit is submitted to the client within four weeks following the completion of the on-site surveillance audit.

The surveillance audit documentation completed by the Auditor shall include:

• Customer Information
• Surveillance Audit Report
• Nonconformity Reports
• Audit Plan
• Opening and Closing Meeting

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7.2 Re-Certification Audit

The total amount of time spent performing the re-certification audit is proportional to the time spent at initial certification of the same organization and will be about 2/3 of the time that would be required for the initial assessment of the same organization at the time that it is to be re-certified, in accordance with IAF Guidance on IAF MD 5 and any/all man-day requirements of AS9104 in addition.

The client shall be notified at least four weeks in advance of the recertification audit.

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8.0 Confidentiality

The confidentiality of client information is protected through the actions and care of all URS personnel. All records from the certification process are kept in a secure system and are subject to URS employee review on a need to know basis only.

The URS agrees to the ‘Right of Access’ by Accreditation Bodies and other regulatory and government bodies for the purpose of establishing that the correct criteria and methods were used in issuing approvals to appropriate industry standards.

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9.0 Publications and Publicity Concerning Client Certification

A list of clients certified by URS is available for public inspection. The certification standard and scope for each registered client is included in the list. The list is updated at least quarterly.

URS may distribute copies of the list or may include the information from the list in a publication. URS may also provide the list to organizations who publish general lists of certified clients.

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10.0 Certification Logo and Rules for Use

URS certification logo and rules for use are described in Procedure URS 007 and establishes rules for the use of the certification logo and accreditation marks.

Clients certified by URS may use the logo and the mark on their correspondence and literature, which relate to the quality management system. There shall be no ambiguity, in the logo or accompanying text, as to what has been certified and which certification body has granted the certification. This logo shall not be used on a product or product packaging seen by the consumer or in any other way that may be interpreted as denoting product conformity.

Logos cannot be applied to laboratory test, calibration or inspection reports, as such reports are deemed to be products in this context.

Use of ISO or accreditation agency logos is governed by separate regulations that may be found on their respective websites.

When making reference to your certification status in communication media such as the internet, brochures or advertising, or other documents, your organization must be sure to avoid the following:

• Making any misleading statement regarding your certification,
• Use or permitting the use of a certification document (certificate, report, e.g.) or any part thereof in a misleading manner,
• Your management system certification cannot be used in such a way as to imply that URS has certified a product (including service) or process,
• Implying that the certification applies to activities that are outside the scope of for which the certificate was issued
• Use of the certification in such a manner that would bring URS and/or the management system certification process into disrepute and lose public trust.

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11.0 Complaints, Disputes and Appeals

Should the client dispute any conclusion of the audit team, the appeal may be submitted in writing to the URS Manager, detailing the specifics of the dispute and providing technical and supporting evidence.

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12.0 Misuse of a Certification

URS shall disseminate requirements on the proper use of the quality management system certification documents by means of issuing guidelines describing the certification of quality management systems, and rules for the use of the certification logo and accreditation mark. Incorrect reference to the certification standard, improper advertising and/or other documentation or failure to notify the URS of changes in the quality management system shall be addressed as potential misuse and the client shall be notified by means of the audit results.

For what ever reason, if your URS certificate is no longer valid, your company must discontinue its use, including in all advertising matter.

If client misuse remains unresolved, it could result in publication of the misuse, or suspension of certification, in the URS List of Certified Clients, or cancellation and withdrawal of certification

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13.0 Suspension of Certification

URS may be required to suspend a client's certification for a limited time for several reasons, including:

• Nonconformance within the Quality Management System
• Improper use of the URS certificate or logo
• Nonconformance with the guidelines for certification

The URS Manager shall notify the client of suspension action by registered letter, indicating the conditions under which the suspension will be removed. URS may publish notification of suspension in its list of certified clients. If conditions are not resolved, the certification will be canceled and the certificate withdrawn. If the client resolves conditions of suspension within the appropriate time, the suspension will be removed and the client notified.

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14.0 Modification of the Client Scope

The client certified by URS may request a change to the scope of registration controlled by the valid certificate. This request is made in writing and evaluated by the URS. If acceptable, arrangements are made to audit the changes in scope during the next scheduled surveillance, recertification audit or in a special audit for that specific purpose. URS shall maintain records of all correspondence and audit records relating to client scope changes.

Approval for modification of the scope of registration requires re-issue of the certification documents.

After review of the client’s changes to the QMS, URS may elect to schedule an additional audit to verify QMS effectiveness in where URS believes the changes are of the nature that there is significant risk to the objectivity and effectiveness to the client’s QMS.

The client shall accept URS's decision regarding verification auditing or needs for further investigation.

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15.0 Changes to Client Quality Management System

The certified client shall immediately notify URS of significant intended or implemented changes in the client's quality management system. Significant changes may include: change in ownership, major personnel changes, modification of systems and scope, and/or other changes that impact the system originally approved by URS. URS will investigate the implications of the changes and take the appropriate action.

On-site verification may be made in the next surveillance or recertification audit. URS may require an immediate special audit or further investigation if after review of the changes, URS believes there is risk to the objectivity and effectiveness of the client’s QMS. The client and URS shall keep records of significant changes in the client quality management system and their URS approval as appropriate.

URS requires copies of all changes to core QMS documentation of the client system since their last audit and prior to any scheduled surveillance or recertification audit. URS shall verify conformance to the certification standard (documentation and implementation) concerning changes to the client system in the next audit.

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16.0 Implementing Changes in the Certification System Rules

Changes in the URS certification system rules may be required. All affected clients shall be notified as appropriate and are given the opportunity to comment on the changes and to implement action as appropriate. URS shall specify an expected implementation date in agreement with affected clients, giving them sufficient time to change their quality management system. All correspondence and audit records regarding the quality management system rule changes are maintained by URS.

A client's failure to take the action required to amend its quality management system may lead to a suspension of certification or, in cases of significant problems, may result in cancellation of certification and withdrawal of the certificate.

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17.0 Client Corrective Action

A client certified by URS is responsible for taking prompt and adequate action to correct any nonconformance in their quality management system. The client must formally notify URS of corrective action proposed and/or taken. Once URS has been notified, it must assure that corrective action has evidence of implementation. Verification of the corrective action may be done at the next scheduled surveillance or recertification audit.

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18.0 Conflict of Interest

URS employees and agents shall avoid engaging in any activity that would constitute a conflict of interest or be perceived as a potential conflict of interest with the URS certification services for any client quality management system.

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19.0 General Terms

The client shall maintain comprehensive general liability insurance and provide URS proof of its coverage upon request.

The client agrees to hold URS members, officers, employees, agents, and other representatives harmless from all injury and damage claims of any nature arising from the activities described in this document, other than those resulting from gross negligence or willful misconduct. The client’s sole remedy shall be limited to the fees paid to URS for services performed under this agreement.

The client or URS may terminate this agreement without cause with ninety (90) day written notice. Any termination does not absolve the client of responsibility for outstanding fees for services rendered by URS prior to the date of termination.

This agreement shall be governed by and construed in accordance with the laws of the State of New Hampshire.

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