assure certified program quality manual · cpsc – ch – c1001‐09.4, standard operating...

SCS Global Services Manual

Assure Certified

Program Quality Manual

Environmental Certification Services Division

Program Quality Manual | Assure Certified

Version 1‐0 (May 2020) | © SCS Global Services Page 1 of 23

2000 Powell Street, Ste. 600, Emeryville, CA 94608 USA

+1.510.452.8000 main | +1.510.452.8001 fax www.SCSglobalServices.com

Table of Contents

1.0 Scope ................................................................................................................................. 2

2.0 References ......................................................................................................................... 2

3.0 Program Resources ............................................................................................................ 2

4.0 Definitions ......................................................................................................................... 3

5.0 Certification Body .............................................................................................................. 3

6.0 Certification Body Personnel .............................................................................................. 5

7.0 Changes in the Certification Requirements ........................................................................ 9

8.0 Application for Certification ............................................................................................... 9

9.0 Modification of Certification ............................................................................................ 11

10.0 Certification Decisions ................................................................................................... 12

11.0 Issuing Certification ....................................................................................................... 12

12.0 Decision to Not Grant Certification (New and Existing Clients) ....................................... 14

Suspension, Withdrawal and Termination 14

13.0 Records .......................................................................................................................... 15

14.0 Auditor Assessment and Evaluation ............................................................................... 16

14.1 Auditor Assignment 16

14.2 Desk Audit Activities – New and Initial Client Assessments, Scope Expansions (NOCs) 17

14.3 On‐Site Audit Activities (New and Renewal Sites) 19

14.4 Desk Audit Activities – Renewal Assessments 20

14.5 Document Review 20

14.6 Acceptance Criteria of Laboratory Emissions Reports 21

14.7 Determining the Laboratory Sample Plan 22

14.8 Assessment of Emissions Compliance 22

14.9 Evaluation Report 22

14.10 Assessment of Renewal Product Testing and Manufacturing Site Audits 23

14.11 Issuing NCRs, NIRs, OFIs 24



1.0 Scope

(1.1) This Manual describes SCS’ operational procedures specific to conducting certification for Assure

Certified, a program of the Resilient Floor Covering Institute (RFCI), through the Environmental

Certification Services (ECS) Division of SCS Global Services, an independent third party certification body

acting on behalf of RFCI, in accordance with SCS‐0011‐2019 V1‐0 Rigid Core Flooring Certification

Standard.

2.0 References

The following documents contain provisions that, through reference in this text, constitute provisions of

this manual. At the time of final approval, the indicated editions were valid. All standards are subject to

revision, and the program shall apply the most recent editions of the standards indicated below.

(2.1) Normative References

ASTM F3261‐17, Standard Specification for Resilient Flooring in Modular Format with Rigid

Polymeric Core

SCS‐EC10.3‐2014, V4.0 Environmental Certification Program, Indoor Air Quality Performance

Standard for Building Interiors

CDPH/EHLB/Standard Method V1.2, January 2017 Standard Method for the Testing and

Evaluation of Volatile Organic Chemical Emissions from Indoor Sources Using Environmental

Chambers, Emission testing method for California Specification 01350

CPSC – CH – C1001‐09.4, Standard Operating Procedure for Determination of Phthalates

CONEG Toxics in Packaging in Heavy Metals

EPA SW 846 Method 3052, Microwave Assisted Acid Digestion of Siliceous and Organically Based

Matrices

3.0 Program Resources

In addition to all normative references, Program Personnel shall have access to all additional program

resources, including Program Quality Manual, report templates, checklists, guidance and procedure

documents, forms, and workbooks, which are located on the SCS server. The following shall be made

available to Program Personnel:

Program Manuals/Procedures

Program Quality Manual

ECS Administration of Certifications

Program Templates/Forms

Assure Certified Application

Private Label Application



Data Request Form templates

Assessment Report templates

Audit Plan templates

On‐site Audit Checklist

ECS Technical Guidance Documents

QA/QC Final Review Templates and Checklists Guidance Document

ECS Directory of Approved Indoor Air Quality Laboratories

4.0 Definitions

(4.1) Definitions contained in ISO/IEC 17065 apply as relevant. Additional terminology may be provided in

the Rigid Core Flooring Certification Standard, referenced external standards and throughout various SCS

procedures.

Approved Laboratory: An ISO 17025 accredited laboratory that has been qualified by SCS to conduct and report emissions testing for use in a SCS certification assessment.

Audit: An inspection conducted by an SCS or SCS approved Auditor occurring annually to ensure ongoing conformity to the Certification Standard.

Certification: The overall process by which an entity’s operation and/or products are assessed for conformance to the relevant SCS standards, and provided a certification decision and, if warranted, granted appropriate certification label/mark privileges.

Certification Assessment: Independent evaluation of a product claim using specific predetermined criteria and procedures with assurance of data reliability.

Certification Decision: The conclusion made by the decision‐maker to grant, maintain, renew, expand the scope of, reduce the scope of, suspend, reinstate, or terminate certification.

Certification Label: Program Trademarks, awarded upon certification, which are governed by the RFCI Licensing Agreement and the SCS Certification, Validation and Verification Program Labelling and Language Guidelines also referred to as Certification Mark.

Certified: Status awarded to a flooring manufacturer with possession of a valid certificate, where privileges to use the certification marks in accordance with this standard are granted.

Certified Product: Finished product for which a flooring manufacturer is authorized to apply the RFCI Rigid Core Flooring Certification Mark, as evidence that the product complies with the relevant certification standard. Certified products are listed on the SCS website at http://www.scsglobalservices.com.

FloorScore®: An indoor air quality certification of the Resilient Floor Covering Institute (RFCI), which was developed in collaboration with SCS and directly references SCS‐EC10.3‐2014 standard and is conducted under the auspices of the SCS Environmental Certification Services – FloorScore certification program. FloorScore products meet the emission requirements of CDPH/EHLB Standard Method V1.2 and may contribute towards points for both LEED v2009 and v4.



Manufacturer: Organization or individual responsible for the production of the product undergoing certification assessment.

Notice of Change (NOC): A notification by a current certified flooring manufacturer indicating a change to their existing certification scope.

On‐Site Audit: Audit that involves a manufacturing site inspection.

Polymeric Rigid Core: The material layer which provides thickness, stiffness, dimensional stability and other properties needed for the finished resilient flooring. Note ‐ The polymeric rigid core layer is an inner layer of the flooring located below the décor layer (e.g., wear layer, décor, polymeric rigid core and backer).

Quality Plan: A document setting out the specific quality practices, resources and sequence of activities implemented by the Manufacturer to ensure consistent compliance with the requirements of the indoor air quality certification program.

Representative Product Sample: A product sample that is representative of the product manufactured and produced under typical operation conditions.

Resilient Flooring with Polymeric Rigid Core—a rigid floor covering, typically in a plank or tile format, having a multiple layer product structure, for example, wear layer, décor, polymeric rigid core, or backer(s), or combination thereof. The planks/tiles have worked edges that allow the product to be joined or butted together to form a larger integral unit. The product may vary in thickness, size, surface texture and gloss. Resilient flooring with polymeric rigid core does not include products having a textile or non‐resilient surfaces such as wood, stone, metal, etc.

RFCI Rigid Core Flooring Certification Mark: Trademark which are used for on‐product and off‐product labelling.

Rigid “WPC” (Expanded Polymer Core) Products) – are rigid products that meet the general definition of “resilient flooring with polymeric core” but also specifically include an intentional cellular structure(foam structure) in the polymeric core layer to help improve properties such as thickness, reduced weight, improved acoustical properties, and easier installation. These products are also sometimes referred to as Expanded Polymer Core (EPC) products. Rigid “SPC” (Solid Polymer Core) Products – are rigid products that meet the general definition of “resilient flooring with polymeric core” but also exhibit no significant porosity or intentional cellular structure in the polymeric core layer; where the SPC rigid core helps improve properties such as thickness, indentation resistance, and easier installation. Standard: A formal document that establishes uniform criteria, methods, processes and practices. Specifically, a standard is comprised of the written requirements that an entity must meet to be Rigid Core Flooring certified.

Supplier: Organization that supplies a product or service to the flooring manufacturer.

Third Party: A person or entity that is recognized as being independent of the parties involved as concerns the issue in question.



5.0 Certification Body

(5.1) SCS operates and maintains certification that meets Assure Certified criteria on behalf of RFCI.

(5.2)The Assure Certified operations are consistent with the SCS Quality System (please refer to the SCS

Quality Manual and Corporate Procedures).

(5.2) According to the SCS Quality Manual, Section 4.7, “SCS is solely responsible for its decisions relating

to the granting, maintaining, extending, limiting, suspending and withdrawing of certification, validation

or verification status under its certification and assessment programs. SCS does not delegate authority for

granting, maintaining, extending, suspending or withdrawing certification, validation or verification to an

outside person or body.”

(5.3) The overall criteria by which the products are evaluated is outlined in SCS‐0011‐2019 Rigid Core

Flooring Certification Standard.

(5.4) The VOC emission criteria by which the products are evaluated for is described in the

CDPH/EHLB/Standard Method for the Testing and Evaluation of Volatile Organic Chemical Emissions from

Indoor Sources Using Environmental Chambers.

(5.5) The phthalate content by which the products are evaluated for is described in CPSC – CH – C1001

09.4, Standard Operating Procedure for Determination of Phthalates.

(5.6) The heavy metals content by which the products are evaluated for is described in CONEG Toxics in

Packaging in Heavy Metals and EPA SW 846 Method 3052, Microwave Assisted Acid Digestion of Siliceous

and Organically Based Matrices

(5.7) Any additional criteria that may apply and will be scoped accordingly and communicated to the

Auditor and Client by SCS.

6.0 Certification Body Personnel

(6.1) The Assure Certified certification personnel is comprised of a Program Manager, Administrative staff,

Technical staff (e.g. Auditor), and utilizes the divisional support from ECS Sales to complete normal day to

day program services. Program operations concerning personnel are consistent with the SCS Human

Resources Policies. All job descriptions are documented in the SCS Human Resources Records. Terms of

reference and/or job descriptions are provided to all program personnel, outlining duties and

responsibilities.

(6.2) The Assure Certified certification program is managed by the Program Manager and is directly

responsible for overall program operations, certification decisions and direct oversight of technical

program personnel, including initial and continuous technical training.



(6.3) All program personnel are required to record and maintain their own training record.

Technical Program Personnel Qualifications

(6.4) At minimum, Technical Program Personnel, must possess a B.A. or B.S. degree in a quantitative field

(e.g., Engineering, Chemistry, Physics, or Industrial Ecology) or have a minimum of 3 years of relevant

professional experience in a manufacturing facility and/or Quality or Environmental Management

Systems (e.g. ISO 9001 or ISO 14001).

(6.5) Program Manager shall determine the appropriate auditor training plan and may reduce the Lead

Auditor qualification training described in the proceeding sections based upon prior work experience as

related to the work to be performed. Deviations to standard training plans shall be documented in the

auditor’s training records.

(6.6) In order to qualify as a Lead Desk Auditor, the following training prerequisites must be met:

Read all relevant standards and criteria noted in the program resources.

Demonstrate basic competence and understanding of all relevant program standards, including

corporate and program quality manuals, as it relates to technical judgments, certification

assessments, onsite audits, certification decision, report writing, document control, record

retention, conducting Client‐related communications and other job duties and responsibilities.

Complete a minimum of two training desk audits with a sample plan, test result evaluations, and

written report with the technical oversight of a Lead Auditor.

Successfully complete a qualifying desk‐audit evaluation conducted by the Program Manager or

other qualified personnel.

Technical program personnel shall be evaluated using the Qualifying Audit Assessment form and

following the corresponding guidance document for evaluating audits. It is the responsibility of

program personnel to ensure records are saved in personnel files or SCS Auditor profile.

The Program Manager or designated staff shall notify personnel through email upon qualifying as

program staff and update the relevant qualifications in the DMS.

(6.7) In order to qualify as a Lead Onsite Auditor, the following training prerequisites must be met:


Demonstrate basic competence and understanding for conducting quality management system

audits, as related to the scope of the SCS Indoor Air Quality Performance Standard for Building

Interiors, as well as other job duties and responsibilities.

Complete a minimum of three on‐site training audits: an observation audit, a tag‐team audit, and

a check‐out/witness audit.



Auditors shall be evaluated using the Witness Audit Assessment form and following the

corresponding guidance document for evaluating witness audits. It is the responsibility of

program personnel to ensure records are saved in personnel files or SCS Auditor profile.



(6.8) In order to qualify as a Decision Maker, the following training prerequisites must be met:

Demonstrated competency as both a lead desk and on‐site auditor;

Minimum of one (1) year program experience as a lead auditor;

Completion of at least one (1) certification assessment for the Assure Certified program;

Complete training on conducting technical and quality reviews for certification decisions.



The Program Manager may qualify a DM based on relevant and previous experience. Any

deviation to the above training program shall be documented as supplemented qualifications.

Administrative Program Personnel Qualifications

(6.9) In order to qualify as program Administrative Staff, the following training prerequisites must be met:



corporate and program quality manuals as it relates to the administration of certifications,

agreements, scope of services, work orders and invoices, certification decisions, and overall

document control and record retention.



Sales Program Personnel Qualifications

(6.10) In order to qualify as program Sales Staff, the following training prerequisites must be met:



corporate and program quality manuals as it relates to new business, such as applications, scoping

of services, proposals, approved program categories, program certification process, and product

eligibility.





Maintaining Program Competence

(6.11) Program Personnel Calibration Training is required at least annually and documented as training by

personnel. Calibration training shall be completed through at least one of the following forums: program

meetings, one‐on‐one meetings, webinars, training event, and/or evaluation tests. The Program Manager

is responsible for initiating the training and identifying relevant topics based on technical training needs

for the audit team, specific auditor training needs, as well as non‐technical training needs for program

personnel.

(6.12) Program personnel should also pursue ongoing education, training and/or experience that promote

competency and comprehension in any of the following areas:

Indoor air quality assessments for product emissions;

VOC content requirements;

Rigid core flooring performance requirements;

Phthalate and heavy metals content requirements.

(6.13) For maintenance and improvement of competence, program personnel should pursue ongoing

personal and professional development in any of the following areas:

Indoor air quality science and assessment;

Chemical content assessments; and

Certification procedures, processes and techniques.

(6.14) Auditors shall be provided with ongoing training, which may include any one of the following

processes:

Review and feedback on certification assessment reports;

Program notification updates on Guidance Documents, Work Instructions, and Program Quality

Manuals;

Auditor Training Workshops and/or Webinars; and

Desk or on‐site audit trainings led by SCS staff Lead Auditor and/or Program Manager.

Program Personnel Evaluation

(6.15) At a minimum of once a year the Program Manager, training specialist, or designated representative

will review the records for each SCS auditor. An Annual Performance Review will be used to identify the

need for training and/or the need for corrective and preventive action and will consider whether the

auditor’s training record accounts for developed skills, competence, experience, etc. The Annual

Performance Review will be recorded on the SCS Annual Performance Review form, and shall be

maintained in the auditor’s personnel file.

(6.16) In lieu of annual performance reviews for subcontract auditors, the Program Manager, training

specialist, or designated representative will provide subcontract auditors with calibration trainings at



least annually. Subcontract auditors will also be evaluated on an ongoing basis through technical reviews

of assessment reports submitted. The evaluation and feedback of assessment reports will be recorded in

the quality checklists during the technical review process.

(6.17) All auditors may be subject to an observation site‐audit. The Program Manager will be responsible

for selecting an appropriate observer. The auditor’s performance will be recorded on the ECS Witness

Audit Assessment. In such instances, the witness audit and associated records will be maintained in the

auditor’s personnel files.

7.0 Changes in the Certification Requirements

(7.1) In the event of changes to certification requirements, SCS Environmental Certification Services staff

will notify all affected Clients and certification personnel within 30 days of the approved change.

(7.2) For changes relevant to all Clients, the Program Manager/Director (or designee) will send an e‐mail

message to all Clients alerting them of the modifications and actions necessary within 30 days of the

approved change. The Program Manager/Director will determine and communicate an appropriate date

for implementation to the Client, not to exceed one year.

(7.3) For changes relevant to some Clients, the Program Manager/Director, (or designee), will send an e‐

mail message to only the affected Clients alerting them of the modifications and actions necessary within

30 days of the approved change. The Program Manager/Director will determine and communicate an

appropriate date for implementation to the Client, not to exceed one year.

(7.4) All correspondence relating to program modifications and updates will be saved to the SCS server.

(7.5) For all changes, a directive will be sent via e‐mail to all Auditors and relevant Environmental

Certification Services staff alerting them of the modifications along with instructions for implementation

as it pertains to their work.

(7.6) Up‐to‐date versions of program requirements will also be maintained on the SCS server and made

available on the SCS website or upon request.

8.0 Application for Certification

(8.1) The Environmental Certification Services Division operations for applicants are consistent with the

SCS Quality System. Specific provisions for the Assure Certified program follow and are applicable to

Initial, Surveillance, Renewal, or Modifications to Scope assessments, unless otherwise noted.

(8.2) Program personnel provide applicants and clients with the following (also available on the SCS

website, unless otherwise indicated):

An Assure Certified Application form (initial applicants only);



A description of the overall evaluation and certification process;

Access to the Standard containing the requirements for certification.

(8.3) Upon receipt of the Assure Certified Application, Notice of Change Form, or revisions to a

Surveillance or Renewal Work Order, it is necessary for program staff to ensure the following:

Program staff has the capability to perform the certification services with respect to the scope of

certification requested, the location of the operation and any special requirements such as

language used by the applicant;

The applicant is eligible to receive services of SCS and/or its affiliates;

The applicant’s project is within the scope or can potentially comply with the relevant Assure

Certified Standards and regulations;

The requirements for certification have been clearly defined, documented and understood;

Any differences in understanding between the certification body and the applicant is resolved

prior to the assignment of the initial assessment.

(8.4) If the applicant requests a product category that is outside the approved Assure Certified product

category list, then a request to RFCI may be submitted for approval by the program personnel.

(8.5) Once the application review is complete and successful, Sales Staff will finalize the scope of work

with the Applicant and submit a proposal (initial applicants only).

(8.5.1) Applicant fees are determined using the appropriate program’s basic cost structure. Fees

are not contingent on the outcome of certification decisions.

(8.6) Once the proposal is agreed upon by the Applicant and SCS, ECS Sales/Administrative Staff will send

a Work Order to the Applicant/Client for review and signature.

(8.6.1) Surveillance and Renewal Clients are sent a notification and Work Order approximately

three (3) months preceding the Client’s certification’s expiry date.

(8.7) Upon receipt of a signed Work Order, Administrative Staff will send the Client the SCS Professional

Services Agreement for review and signature, as well as an invoice for retainer fees.

(8.7.1) The Work Order shall define the scope of the certification assessment by including the

following information:

Certification Program Name;

Relevant standards used to assess product conformance;

Manufacturing site location(s);

Product Categories; and

Product Names to be evaluated.



(8.8) The Program Manager is then notified by the Administrative Staff that the client may be assigned to

an auditor for initiation of the product evaluation.

(8.9) The auditor completes the product evaluation. See Section 14 for the required Auditor steps for

Initial, Surveillance, NOC, and Renewal Assessment steps for evaluation and final reporting.

9.0 Modification of Certification

(9.1) Clients are required to inform SCS through the use of a Notice of Change Form about any

modifications that expand or reduce their scope of certification. This may include changes in the

organization, manufacturing operations, product lines, or materials that affect or have the potential to

affect any currently issued certificate. It may also include the addition of products or associated

manufacturing operations that have not yet been issued certification.

(9.2) In response to submission of a Notice of Change Form requesting a change to the scope of a

certificate already granted, program staff shall decide what, if any, evaluation procedure is needed to

determine whether the amendment should be granted, and shall act accordingly. SCS reserves the right

to inspect the site of the certified operation, or require further product testing before deciding whether

to grant a change to the scope of certification.

(9.3) A Notice of Change may include, but is not limited to, the following:

additional manufacturing site and/or product category;

new product testing;

an onsite audit;

revisions to quality plans;

adding new product lines/components;

changing key product materials that may impact conformance; or

notification of site closures with no new facility to replace it.

(9.4) A change of scope shall not include or result in an extension of the certificate’s expiry date beyond

the time period for which it was originally issued, unless justified per procedural requirements.

(9.5) A site audit may be required if changes affect production, operations, and/or the scope of product

being produced.

(9.6) If SCS grants a change of scope, SCS shall review the previous certificate conformance and will

determine if a new certificate is required; or terminate a current certificate to reflect the change of scope.

(9.7) Clients are responsible for the costs incurred for these services related to modification.



10.0 Certification Decisions

(10.1) Once the Auditor has completed the product evaluation and auditing activities, a final report is

submitted to the Decision Maker (DM), whom will make the final certification decision based on the audit

report, supplemental information and all applicable program requirements.

(10.2) The DM is responsible for final review of the assessment scope compared to the Work Order and

the auditor’s reported recommendations.

(10.3) The Program Manager is responsible for designating the Decision Maker.

(10.4) SCS shall not delegate authority for granting, maintaining, extending, suspending or withdrawing

certification to an outside person, body, or International Affiliate.

(10.4.1) Audit Reports completed by International Affiliates must be sent to a qualified Decision

Maker for all final certification decision.

(10.5) If during the Final Review process, the DM has found issues that need to be addressed by the auditor

or Client (additional testing is needed, an onsite audit is needed, etc.), the issue must be resolved and

communicated to the Client prior to final approval of the Audit Report.

(10.6) If disagreements cannot be resolved during the Final Review process, the program shall follow the

Corporate Appeal, Complaint and Dispute Investigation Procedure.

(10.6.1) Upon receipt of any appeal, complaint or dispute, the Environmental Certification

Services Division follows the Corporate Appeal, Complaint and Dispute Investigation Procedure.

11.0 Issuing Certification

(11.1) Once the DM has provided a certification decision to the Auditor, the Administrative Staff is

responsible for sending out the final digital certification package. If a decision was made not to grant

certification, see Section 12 Decision Not to Grant Certification, for the required steps to communicate

with the client.

(11.2) The Administrative Staff is responsible for sending certification documents once the following

confirmation has been made:

The DM has finalized and signed the Auditor’s report in agreement with granting certification;

All program requirements have been completed and no contingencies exist on issuing certification

documents;

A signed Professional Services Agreement has been received and saved to the client’s file for the

scope of work.

(11.3) The Administrative Staff is responsible for ensuring that certificate(s) must specify the following:



The name and address of the Client that was the subject of certification;

The name and address of the certification body (SCS);

The SCS certification granted or the applicable certification system;

The products or specific material assembly certified;

The SCS standards to which each product is certified, and the applicable certification system;

Assure Certified certificates are valid for a period of three (3) years. All certificate expiration dates

will fall on the last day of the month. For Initial clients, the issuance date will be the date of the

Final Certification Decision, and, therefore, can result in the certification period extending beyond

three calendar years;

The signature of the Senior Vice President, or another SCS officer.

Only one product category shall appear on an Assure Certified certificate.

(11.4) At the request of a Client, draft certificates may be provided to ensure information listed on

certificates are accurate prior to providing final certificates. The draft certificate will exclude the

certification dates and the authorized signature.

(11.5) The SCS website offers any interested party access to a register of Assure Certified products. The

SCS Green Products Guide includes:

The certification number issued by SCS;

The identity of the certificate holder;

Reference to the type of certification achieved;

The effective dates of certification;

Type of product certified, and generally, a product description and brand names.

Issuing Private Label Certificates

(11.6) Private Label requests will be handled according to the agreements between SCS and the owners

of registered trademark certification marks (e.g. RFCI).

(11.6.1) Private Label certificates shall expire on the same date as its source certificate.

(11.6.2) Private Label certificates shall include documentation of it source certificate in the SCS

DMS.

(11.6.3) The following documents shall be required before issuing a Private Label Certificate:

Signed Private Label Application;

Signed Work Order; and

Current and Valid Source Product Certificate.



Issuing Certificate Extensions

(11.7) At the discretion of SCS, and with justified circumstances, SCS may extend the specified period of

validity of a certificate beyond the three (3) year period for up to three (3) months in order to complete

the renewal process. Under extenuating circumstances, Clients may be issued a certificate extension

beyond the three month period, however only at the discretion of the Program Manager. SCS shall record

any such issuance of certification extensions following the ECS Administration of Program Certificates,

Section 4. Certificate Extensions.

(11.7.1) If a certification extension is granted and the renewal certification has been completed,

the start date of the renewed certificate will be adjusted and will be valid through the original

expiration date in order to prevent any impacts to internal financial projections. Refer to ECS

Administration of Program Certificates, Section 4. Certificate Extensions.

12.0 Decision to Not Grant Certification (New and Existing Clients)

(12.1) A DM may decide not to issue certification for the following reasons, which may not be limited to:

The flooring manufacturer failed to meet the minimum certification requirements;

The flooring manufacturer failed to resolve conformance issues;

The flooring manufacturer failed to provide payment; and/or

The flooring manufacturer failed to sign the Professional Services Agreement.

(12.2) Upon the decision not to issue certification, the flooring manufacturer will be notified within two

(2) business days in writing of the decision, which will include the following:

Rationale for not issuing certification;

Steps to pursue certification assessment again;

Notification of Corporate Procedure for Appeals and Disputes.

Suspension, Withdrawal and Termination

(12.3) Program Manager (or designee) are responsible for certification decisions concerning suspension,

withdrawal and termination of certification. Reasons for suspension, withdrawal and termination include,

but are not limited to: unwillingness or inability to correct NCRs, unwillingness or inability to meet financial

or contractual arrangements; misusing or damaging the integrity of the SCS or relevant accreditation body

trademarks; intentional violation of requirements; or association with fraud. (See Administration of

Program Certificates for all activities associated with Suspension, Withdrawal and Termination of client

certification.)



13.0 Records

(13.1) Upon completion of certification, the following client records shall be maintained on the SCS server

and stored for at least five (5) years:

Certification Applications;

Professional Services Agreement (PSA);

Work Orders;

Invoices;

Milestone client correspondence;

Evaluation documentation (e.g. Data Request Form, Emissions History Workbook, Onsite Audit

Checklist, Onsite Audit Plan, Sample Plan, etc.);

Technical Review comments;

Certification evaluation reports;

Register of all certificate holders and certified products;

Approvals for use of program certification marks;

Final certification packet correspondence email.

(13.2) The following program records shall be maintained on the SCS server in its most current and up to

date version:

Key decisions/changes in requirements/program notifications to staff and clients.

Certification complaints, appeals or disputes, including minutes or notes of committee meetings

responsible for reviewing such complaints, appeals or disputes;

(13.3) The following personnel records shall be maintained on the SCS server in its most current and up

to date version for Auditors, Administrative Staff, Decision Makers, and ECS Sales which comprise the

certification body personnel:

CVs;

Qualifications;

Confidentiality agreements, and declarations of potential conflicts of interest;

Training records; and

Contracts with contractors and/or subcontractors.



14.0 Auditor Assessment and Evaluation

14.1 Auditor Assignment

(14.1.1) The Program Manager is responsible for assigning a qualified Lead Auditor or Audit Team (e.g.

Lead Desk Auditor and Lead On‐site Auditor; Lead Auditor and Auditor in Training; Lead Desk Auditor,

Lead On‐site Auditor, and Training Auditor) based on training and program experience.

(14.1.2) The Program Manager may also assign Auditors based on geographical proximity to the

manufacturing site in order to control client costs and assessment time.

(14.1.3) The Lead Auditor is introduced to the Client by the Administrative Staff, whom is then responsible

for all proceeding audit activities through the completion of the final report, which is submitted to the

Decision Maker for a final certification decision. The Lead Auditor is responsible for conducting all

evaluation activities in accordance with the criteria of the relevant certification Standard(s) and ISO 19011

auditing practices, and ECS Auditor protocols.

(14.1.4) The following sections list the required Audit steps to complete an evaluation.

(a) If steps are excluded due the simplicity of the assessment (Minor NOC) or other approved

reasons, it is the responsibility of the Auditor and Administrative Staff to document the rationale

in the client file or DMS.

(b) If during the assessment the Auditor requires additional evaluation tasks to continue the

certification process, the Auditor shall consult with the Administrative Staff and Program Manager

before communicating the changes to the client.

The Client shall be notified in writing of the additional requirements and the rationale for

coming to this conclusion.

The Auditor will be responsible for confirming the changes with the client and providing

a new Audit Plan.

If changes require additional evaluations fees, then a new work order shall be issued.

(14.1.5) The evaluation timeline shall not exceed one year, if the timeline to complete an assessment is

prolonged for one year from the date of the signed work order, then the Auditor shall consult with the

Program Manager and Administrative Staff to communicate with the client on the steps to close the

evaluation activities or assess additional fees. In such circumstances the following will be issued:

The Client shall be notified in writing of the effective timeline to close the evaluation activities.

If the client decides to continue the assessment, the Auditor will be responsible for confirming

the changes with the client and providing a new Audit Plan.

The additional evaluation time and fees will be assessed and a new work order shall be sent to

the Client.



14.2 Desk Audit Activities

(14.2.1) A Lead Auditor is responsible for the annual surveillance assessment of existing certifications and

maintenance to program requirements and standards.

(14.2.2) A Lead Auditor is responsible for evaluating to conformance of the most current Standards.

Unless otherwise stipulated by the respective Standard or Program Requirements, if a new version of a

certification Standard covering the activities of the operation(s) has been approved with an effective date

prior to renewal certification assessment, then the updated Standard shall replace the previous version

as the Standard for evaluation.

(14.2.3) The Lead Auditor is responsible for conducting the following desk audit activities:

Client Communication Responsibilities

Act as main point of contact for the Client throughout the assessment process;

Communicate directly with the client regarding the status for the on‐site audit activities, if

applicable;

Respond to all Client questions regarding the DRF, required documents, conformance issues and

all other certification requirements;

Confirm the scope of certification that the client wishes to pursue;

Initiate scheduling of on‐site audit as needed.

Required Documents to Provide to the Client

Provide and confirm an audit plan to the Client;

Provide confirmation of the number of on‐site audits required if multiple sites exist;

Provide all required assessment forms to be completed by the client, such as the DRF;

Submit final sampling plan to the client;

Provide sampling instructions to the client if sample will not be collected during an on‐site audit.

Communication Requirements with the On‐Site Auditor (as applicable)

Direct on‐site audit activities, such as key areas and personnel to interview and assess based on

submitted documents and records.

Direct product sampling and coordinate shipping and receiving with the approved laboratory.

QMS and Product Performance Evaluation Activities

For all assessments:

If the client’s scope under Assure Certified is also FloorScore certified, the QMS and VOC

emissions testing activities may be waived as these components are evaluated annually

under the FloorScore program.



If the client’s scope under Assure Certified is not FloorScore certified, all QMS and product

performance evaluation activities must be conducted.

If applicable, review on‐site audit report and follow‐up on findings and conformance issues,

if completed by a different auditor.

Review complaints, disputes or allegations of non‐compliance with any applicable aspect of

all relevant certification Standards.

Review the Client’s use of logo and language use in compliance with the SCS Certification,

Validation and Verification Program Labelling and Language Guidelines and SCS Corporate

Logo and Language Usage Procedure

Confirm and document any changes to the scope of the assessment in coordination with the

Administrative Staff (when adjustments to scope may require additional fees.

For Initial and Notice of Change Assessments:

Assess and review all corresponding client documents for Quality Control and product testing

requirements to be used in the assessment and determine final certification

recommendation;

Create and finalize a laboratory sample plan for product testing in coordination with the

Client and any additional resources as needed, such as Program Manager, Laboratory, etc.;

For Surveillance and Renewal Assessments:

Review the submitted DRF and assess for any changes in production, manufacturing,

formulations, and/or ingredients and determine if any changes may affect a certified

product’s certification status.

Review the quality procedures for any changes and determine if an onsite audit is needed.

Assess and review previous year reports to confirm all conformance issues have been closed;

Assess if there are any recurring conformance issues to indicate systemic breakdowns in the

quality management system or production process;

Assess if there are any recurring OFIs that may need to be elevated to a NCR or NIR;

Assess if test results are consistent or fluctuating to raise concern on systemic or isolated

Quality Management Systems issues.

Assess the need for an on‐site audit(s) and/or laboratory sample testing.

Final Reporting Activities

Complete the final audit report with final certification recommendations and submit to the

Decision Maker, whom shall be qualified and not involved in the audit activities, as either the lead

or on‐site auditor;

Confirm all audit records, documents, and correspondence are saved to the client files to verify

audit activities were conducted in accordance with program requirements;



Record all NCR and NIR activities in the appropriate client files, including issuance, dates for

response, client evidence, signed NCR forms, and closure (also includes saving key

correspondence with the client); and

Record and follow‐up on all client complaints or disagreements in accordance with SCS Corporate

Procedures.

14.3 On‐Site Audit Activities

(14.3.1) The On‐Site Auditor is responsible for conducting all on‐site activities in accordance with the

criteria of the relevant certification Standards, ISO 19011 auditing practices, and ECS Auditor protocols.

(14.3.2) The On‐Site Auditor is responsible for conducting the following on‐site audit activities:

Required Documents to Provide to the Client

Provide an audit plan;

Provide sampling instructions, inclusive of materials needed for sampling, packaging and

shipping.

Final On‐site audit checklist/report

NCR form, if necessary.

Pre‐Audit Preparation

Review the client documents submitted for the on‐site audit;

Consult with the Lead Auditor (if applicable) on any specific directions for conducting the

audit, records to review, activities to observe, and/or personnel to interview.

Confirm the audit date and notify program personnel.

On‐Site Audit Activities

Conduct Opening and Closing meetings in accordance with ECS Auditor Protocols.

Identify, collect, and prepare the samples for laboratory testing during the onsite audit in

accordance with the Lead Auditor’s sample plan.

Complete document and record review.

Tour the manufacturing facility and observe the entire production process, inclusive of

purchasing, receiving, client order, production, labeling, packaging, and shipment.

Review the records of customer complaints, disputes or allegations of non‐compliance with

any applicable aspect of all relevant certification Standards.

Confirm QMS procedures are fully implemented over the full range of management

operations and products under the scope of the assessment.

Confirm materials and formulations are consistent with information submitted in the DRF.

Observe any deviations or variations in production process.



Observe and review records for Client Complaints procedure.

Confirm the certification assessment scope and document if a scope expansion may be

required due to additional manufacturing sites, product lines or other reasons noted in

Section 9: Modification of the Certification Assessment.

Record all audit findings in the Auditor Checklist and provide objective notes and relevant

evidence.

Client Communication

Notify Client of audit findings throughout the audit in a manner that is understood and

acknowledged by the Client.

Provide clear explanations of all non‐conformities including the timeframe for implementing

any corrective actions.

Resolve and/or record any diverging opinions of your audit findings and/or conclusions

Confirm the next steps with the Client including the status of lab testing (if known), and turn‐

around time to receive their audit report with certification decision.

Notify the Client immediately if there is evidence to indicate that the audit objectives are

unattainable, report the reasons to the Client and determine the appropriate actions in

coordination with the Lead Auditor (e.g. modification of the audit plan, change to the audit

scope or termination of the audit).

14.4 Document Review

(14.4.1) If the client’s scope under Assure Certified is also FloorScore certified, including the

manufacturing site, the QMS activities may be waived as the QMS is evaluated annually under the

FloorScore program.

(14.4.2) A Document Review of quality procedures submitted to the Auditor is required for Initial and

Renewal Assessments. The documents submitted must ensure that the following are incorporated in each

of the manufacturing site’s quality system, as applicable to the certification assessment scope:

Production Flow Chart or Description of Production Flow;

Disclosure of Production Variability (if any);

Product Identification and Traceability Procedures;

Procedures for the Control of Non‐conforming Products;

Corrective and Preventive Action Procedures; and

Procedure to record Complaints, disputes or allegations of non‐compliance with any applicable

aspect of all relevant certification Standards.

(14.4.3) The Client’s documentation shall be reviewed to determine the conformity of the system with

audit and Standard requirements, preferably prior to conducting an on‐site audit (if needed). The review

shall take into account the size, nature and complexity of the Client’s operations.



(14.4.4) The Auditor shall inform the Client and appropriate representative(s) if the documentation is

determined to be inadequate. The auditor will decide whether the assessment should proceed or be

suspended until documentation inadequacies are resolved.

14.5 Acceptance Criteria of Laboratory Test Reports

(14.5.1) Initial product testing should occur at one of the SCS‐approved laboratories, as listed in the ECS

Directory of Approved Laboratories.

(14.5.2) In some cases, a client may have existing laboratory test results, including results from a non‐SCS

approved lab. These results can be used for initial certification assessment purposes, provided all of the

following parameters are met:

The Client is contractually able to share the test results with SCS;

Testing was conducted per the relevant standards;

The laboratory is ISO/IEC 17025 accredited, with the relevant standards included in the scope of

ISO accreditation;

Testing was conducted within the past 12 months from the date of the signed work order; and

The test report includes all the required elements of a test report per the relevant standards.

(a) Existing laboratory test results shall be consistent with a sample plan appropriate for the scope

of products under assessment. Any changes to scope must be handled by either conducting

additional testing or adjusting the scope of products under assessment, which may include

product exclusions until further testing or additional requirements have been met.

(b) The information submitted for certification assessment purposes will be evaluated by the Lead

Auditor, who shall determine whether the submitted documentation is applicable and adequate

to fulfill the relevant requirement(s) of the certification program.

(c) SCS will determine whether a non‐disclosure or confidentiality agreement signed between the

client and the originating author prohibits use of the documentation.

(d) The Program Manager (or designee), is responsible for final approval of use of all external

documents.

(14.5.3) The Lead Auditor shall confirm the following information on the laboratory report meets the

required certification criteria and any deviations are clearly documented with a rationale for acceptance

and approval by the auditor:

Laboratory is listed as an approved laboratory or meets the requirement of Section 14.5.2;

The correct test methods are documented in the report;

The manufacturing date, sampling date and shipping date meet acceptance criteria;

The chain of custody is attached to the report and completed;



The correct sample and manufacturing site is documented in both the chain of custody and lab

report;

The laboratory has documented any deviations or special preparations.

14.6 Determining the Laboratory Sample Plan

(14.6.1) The Auditor shall reference the information provided by the Client in the completed Data Request

Form to determine a final sample plan for all relevant testing methods.

(14.6.2) A worst‐case representative product sample for each test requirement shall be selected to

determine compliance for each product category or a specific product line/model.

(14.6.3) Product groupings shall be based on similar product performance and application, as well as

product ingredients and production process. If variances within product groupings exist, such as within

material suppliers, ingredients, production processes and quality management systems, then the model

expected to be the worst cast shall be used to determine compliance. In instances where the worst‐case

sample is not produced regularly, the next worst‐case sample should be selected that more accurately

represents the Client’s production introduced to the market.

14.7 Assessment of Testing Compliance

(14.7.1) Laboratory test results are evaluated for conformance with the following testing standards:

ASTM F3261‐17, Standard Specification for Resilient Flooring in Modular Format with Rigid

Polymeric Core

CDPH/EHLB/Standard Method V1.2, January 2017 Standard Method for the Testing and

Evaluation of Volatile Organic Chemical Emissions from Indoor Sources Using Environmental

Chambers, Emission testing method for California Specification 01350

CPSC – CH – C1001‐09.4, Standard Operating Procedure for Determination of Phthalates

CONEG Toxics in Packaging in Heavy Metals/EPA SW 846 Method 3052, Microwave Assisted Acid

Digestion of Siliceous and Organically Based Matrices

14.8 Evaluation Report

(14.8.1) A report on the outcome of the evaluation (Audit Report) is prepared by the Auditor, identifying

all observations and all non‐conformities that must be addressed in order to satisfy the requirements of

certification. A summary of all NCRs, NIRs, and OFIs will be included in the audit report, regardless of

whether corrective action has been implemented. Any corrective actions shall also be summarized in the

report.

(14.8.2) If certification is not recommended due to NCRs, NIRs or additional evaluation requirements, the

Auditor shall provide written documentation of the rationale for not recommending certification, tasks

required to meet certification requirements, and the timeline to close NCRs and NIRs. If the Client requires



an extended time to complete the required additional evaluation tasks beyond the time required by the

Auditor, then the Auditor in consultation with the Program Manager shall determine if the assessment

process will require a new evaluation and/or work order to detail the scope of the evaluation.

(14.8.3) At the discretion of the Auditor, the draft report or summary of findings may be sent to the Client

for review prior to final approval of the Audit Report. This step is intended to provide the Client the

opportunity to address any concerns with the content of the Audit Report or Auditor Findings. If a report

is returned by a Client that is in disagreement with the audit conclusions, the Draft Audit Report must be

reviewed by a Decision Maker.

(14.8.4) At the discretion of the Auditor, a preliminary review may be requested for specific issues

encountered through the development of the Audit Report. This may be completed as a technical review

by an Auditor or DM.

(14.8.5) If an appropriate sample is not be available during the on‐site audit for collection by the Auditor, the Auditor may authorize the Client to collect another sample which is consistent with the applicable standard.

14.9 Assessment of Renewal Product Testing and Manufacturing Site Audits

(14.9.1) Product retesting is required at each renewal assessment (the end of the three‐year certification

period).

(14.9.2) Product testing during annual surveillance will be determined as follows:

Performance Testing will not be required in surveillance years, unless changes to product warrant

testing. Required a minimum of every 3 years.

Phthalates: Tested a minimum of every 3 years, unless change to product formulation, or if the

initial testing was within 5% of the content limit. (950ppm‐1000ppm). For products in the 5%

range, testing will be conducted during surveillance period.

Heavy Metals: Tested a minimum every 3 years, unless change to product formulation, or if the

initial testing was within 5% of the content limit. (95ppm‐100ppm). For products in the 5% range,

testing will be conducted during surveillance period.

Volatile Organic Compounds: FloorScore® requirements are followed.

(14.9.3) If, during the renewal assessment process or prior to renewal, the Client indicates any changes

in product ingredients, production process, and/or quality management systems, the impact of these

changes shall be evaluated by the auditor and assessed for additional sample testing.

(14.9.4) Manufacturing sites will be assessed for renewal onsite audits, at minimum every three years

after the initial onsite audit. The Client must submit any updated quality documentation to ensure current

documents are on file with SCS. Renewal onsite audits will be required if any significant changes or major

non‐conformances are issued for ingredients/formulations, manufacturing procedures, and/or the quality

management system that may affect product emissions. SCS may also conduct an onsite audit prior to



the third year review in the event that the Client indicates any significant changes to the

ingredients/formulations, manufacturing procedures, and/or the quality management system that may

affect product emissions. FloorScore certified manufacturing sites will follow the renewal onsite audit

frequency outlined in the FloorScore program.

(14.9.5) If a Client can demonstrate that they are certified to ISO 9001, or similar, and do not have any

open NCRs from internal/external audit reports, then the Client may be exempt from renewal onsite audit

requirements during the Renewal Assessments.

(14.9.5.1) An ISO/IEC 9001 or similar site is a site that has achieved ISO/IEC 9001 certification or

incorporates ISO 9001 quality measures into their quality system. These measures shall include:

Production Flow Description;

Product Identification and Traceability Procedures;

Disclosure of Production Variability;

Procedures for the Control of Non‐conforming Products; and

Corrective and Preventive Action procedures.

14.10 Issuing NCRs, NIRs, OFIs

(14.10.1) The Lead Auditor and Onsite Auditor may issue conformance findings, such as NCRs, NIRs, or

OFIs. The guidance on issuing these is found in the NCR/NIR/OFI Procedures.