mq 1.0: quality manual of the accreditation center of the

BD-091007-04 GAC

GAC QUALITY MANUAL

Version: 5 of 43

Date: 28 April 2016

Approved by: Nabil A. Molla

MQ 1.0: Quality Manual of the Accreditation

Center of the Cooperation Council for the Arab States of the Gulf (GCC Accreditation Center)

Version 5: 28th April 2016

GAC Quality Manual

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Date: 28 April 2016


TABLE OF CONTENTS

1. INTRODUCTION ............................................................................................................................................. 5

2. GAC QUALITY POLICY .................................................................................................................................... 6

3. TERMS AND DEFINITIONS ............................................................................................................................. 7

4. ACCREDITATION CENTER OF THE COOPERATION COUNCIL FOR THE ARAB STATES OF THE GULF (GAC) ..... 11

4.1 Legal responsibility ..................................................................................................................................... 11

4.2 Structure ..................................................................................................................................................... 11

4.3 Impartiality ................................................................................................................................................. 12

4.4 Confidentiality ............................................................................................................................................ 13

4.5 Liability and financing ................................................................................................................................. 13

4.6 Accreditation activity .................................................................................................................................. 13

5 MANAGEMENT ........................................................................................................................................... 13

5.1 General ....................................................................................................................................................... 13

5.2 Management system .................................................................................................................................. 14

5.3 Document control ....................................................................................................................................... 14

5.4 Records ....................................................................................................................................................... 14

5.5 Nonconformities and corrective actions .................................................................................................... 15

5.6 Preventive actions ...................................................................................................................................... 15

5.7 Internal audits ............................................................................................................................................ 15

5.8 Management reviews ................................................................................................................................. 16

5.9 Complaints .................................................................................................................................................. 16

6 HUMAN RESOURCES ................................................................................................................................... 16

6.1 Personnel associated with GAC .................................................................................................................. 16

6.2 Personnel involved in the accreditation process ........................................................................................ 21

6.3 Monitoring .................................................................................................................................................. 22

6.4 Personnel records ....................................................................................................................................... 22

7 ACCREDITATION PROCESS ........................................................................................................................... 22

7.1 Accreditation criteria and information ....................................................................................................... 22

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7.2 Application for accreditation ...................................................................................................................... 23

7.3 Resource review ......................................................................................................................................... 23

7.4 Subcontracting the assessment .................................................................................................................. 23

7.5 Preparation for assessment ........................................................................................................................ 24

7.6 Document and record review ..................................................................................................................... 25

7.7 On-site assessment ..................................................................................................................................... 25

7.8 Analysis of findings and assessment report ............................................................................................... 25

7.9 Decision-making and granting accreditation .............................................................................................. 27

7.10 Appeals ....................................................................................................................................................... 28

7.11 Reassessment and surveillance .................................................................................................................. 28

7.12 Extending accreditation .............................................................................................................................. 29

7.13 Suspending, withdrawing or reducing accreditation .................................................................................. 29

7.14 Records on CABs ......................................................................................................................................... 29

7.15 Proficiency testing and other comparisons for laboratories ...................................................................... 29

8 RESPONSIBILITIES OF GAC AND THE CAB ..................................................................................................... 30

8.1 Obligations of the CAB ................................................................................................................................ 30

8.2 Obligations of GAC ...................................................................................................................................... 30

8.3 Reference to accreditation and use of symbols and marks ........................................................................ 31

APPENDIX 1 – ORGANISATIONAL STRUCTURE ...................................................................................................... 32

APPENDIX 2 – DELEGATIONS REGISTER ................................................................................................................ 33

APPENDIX 3 – GAC BUSINESS FUNCTIONS AND PROCESS FLOWCHART (APPROVED BY THE GAC STEERING COMMITTEE, 27/01/2009) ................................................................................................................................... 40

APPENDIX 4 – LIST OF ASSOCIATED PROCEDURES ................................................................................................ 41

BIBLIOGRAPHY ................................................................................................................................................... 413

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PREAMBLE

This document, entitled The GAC Quality Manual, provides the framework for the management system as a whole to be implemented by the GAC. It outlines the management direction to be applied for each element of the system and in some cases contains cross-referenced supplementary policies and procedures for each major business function of GAC. The full set of documents governing the establishment and initial operations of GAC is shown in the following diagram: Diagram 1: Quality system/documentation hierarchy

As complete list of the procedures of the GAC is available on the internal electronic “workspace”. As GAC expands its scope of operations the list of lower level documents will also expand to cover new technical fields and new activities such as the different types of certification programs. The quality management system complies with ISO/IEC 17011 but also includes other aspects of the management of GAC required by international organisations.

Agreement

Rules (RL)

Quality Manual (MQ)

Accreditation Procedures (AC)

Human Resources Procedures (HR)

Quality Management

Procedures (QM)

Field of Application Documents (FAD) and Technical Notes (TN)

Administration Procedures

(ADM)

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1. INTRODUCTION

The GCC Accreditation Center The Center was established by a decision of the governments of the six Member States of the Cooperation Council for the Arab States of the Gulf and the republic of Yemen, formalised through the Agreement and approved by the Board of Directors in 08 May 2013. This Agreement gives the Accreditation Center legal authority to provide specified accreditation services within the territories of all of the Members States in the fields of calibration, testing, inspection and certification, known generically as conformity assessment. It is established under the stewardship of the Standardization Organization of the Cooperation Council for the Arab States of the Gulf and is governed by a Board of Directors who exercises regular supervision over the affairs of the Center, and regional committees whose members are drawn from all Member states, including stakeholder bodies. The Center operates on a day-to-day basis with a cadre of permanent staff under the general management of the Director General supported by a number of external technical experts. The objectives of the Center are to facilitate trade within the Gulf Region and between the Member States and foreign trading partners through enhanced credibility of the competence of accredited conformity assessment bodies operating within all Member States. The Center will operate according to international best practice as defined in a suite of relevant international standards and enter into Mutual Recognition Arrangements (MRAs) with similar bodies operating in other countries and regions. The Center will also encourage the development of best practices by all conformity assessment bodies operating with the Region. Location The Center maintains its Head Office at:

Olaya Str., AlGadeer Riyadh, Kingdom of Saudi Arabia Tel: +966 11 274-6655 Fax: +966 11 210-5391

and provides its services through Branch Offices which may be located in any Member State.

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2. GAC QUALITY POLICY

GAC QUALITY POLICY

April 28th 2016

It is the policy of the GCC Accreditation Center (GAC) to provide accreditation services according to

international best practices as defined in relevant standards and guidelines published by appropriate

international bodies and to abide by ILAC, IAF, APLAC, PAC, and ARAC requirements.

The GAC is a client-focused organisation that seeks to deliver its services in a timely manner and be impartial,

fair, transparent and non-discriminatory in all its dealings with them.

The GAC structure as well as its ways of functioning is fixed by the agreement between the 7 member

countries stipulations that provide for its autonomy for decision.

The GAC structure organises and encourages exchanges of information with the national regulatory

authorities in member countries, the international relevant organisations, the economical and industrial

partners, the scientific community and the accredited bodies themselves. These communication channels are

tools that need to be activated and maintained in the most effective way.

Assessors are the most important instrument of the system. They have to give evidence of the level of

competence of the accredited bodies and their performance conditions to a large extent the value of

accreditation and its acceptance by the market. A strict follow-up of performance and further training on a

regular basis are of utmost importance.

The management system will follow and adapt itself to the expectations of the users and to the requirements

of international standards that are applicable to accreditation bodies. The input of the assessors, of the

accredited bodies and of the stakeholders helps to determine the lines of action of the management system.

Striving for acceptable quality means responding to the goals in a pragmatic manner. The results of the

internal audits, complaints and other information are the basis for the annual review of the management

system.

To meet our commitment, we must:

1. Succeed APLAC recognition for ISO/IEC 17025 testing labs accreditation in 2017,

2. Ensure a strict follow-up and improvement of the performance of assessors and GAC personnel,

3. Establish efficient relationship with interested parties and Conformity Assessment Bodies,

4. Encourage cooperation with Accreditation Bodies of other economies,

5. Ensure effective participation in the activities of international accreditation organisations.

As Director General, I declare my commitment to ensure the compliance and the implementation of the

ISO/IEC 17011 requirements. This quality policy shall be communicated and understood at all level of GAC

structure.

GAC DIRECTOR GENERAL

NABIL A. MOLLA

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3. TERMS AND DEFINITIONS

The terms and definitions used in this manual are taken from the GAC Agreement and GAC Rules document. Where not defined, other terms and definitions in this Quality Manual are those defined in the following international standards, in descending order of precedence apply:

ISO/IEC 17011:2004, Conformity assessment -- General requirements for accreditation bodies accrediting conformity assessment bodies

ISO/IEC 17000:2004, Conformity assessment -- Vocabulary and general principles ISO/IEC Guide 2:2004, Standardization and related activities -- General vocabulary ISO/IEC Guide 99:2007, International vocabulary of metrology -- Basic and general concepts and

associated terms (VIM) ISO 9000:2005, Quality management systems -- Fundamentals and vocabulary ISO 9001:2008, Quality management systems -- Requirements

3.1 Accreditation Third-party attestation related to a conformity assessment body conveying formal demonstration of its competence to carry out specific conformity assessment tasks. 3.2 Accreditation body Authoritative body that performs accreditation.

3.3 Accreditation body logo Logo used by an accreditation body to identify itself. 3.4 Accreditation certificate An official document issued by the Center stating that an accreditation in a certain scope has been granted to the applicant. 3.5 Accreditation requirements The criteria and requirements specified by the Center in accordance with the requirements and criteria issued by the relevant international authorities and/or any other additional requirements laid down by member states with which the Applicant must comply in order to obtain the accreditation. 3.6 Accreditation symbol A symbol issued by an accreditation body to be used by accredited CABs to indicate their accredited status. NOTE: "Mark" is to be reserved to indicate direct conformity of an entity against a set of requirements. 3.7 Accredited organization The conformity assessment body, or any other body whose work requires accreditation, accredited by the Center. 3.8 Agreement The agreement to establish the Center. 3.9 Appeal Request by a CAB for reconsideration of any adverse decision made by the accreditation body related to its desired accreditation status NOTE: Adverse decisions include:

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refusal to accept an application,

refusal to proceed with an assessment,

corrective action requests,

changes in accreditation scope,

decisions to deny, suspend or withdraw accreditation and

any other action that impedes the attainment of accreditation .

3.10 Applicant The conformity assessment body, or any other body whose work requires accreditation, seeking accreditation by the Center. 3.11 Assessment Process undertaken by an accreditation body to assess the competence of a CAB based on particular standard(s) and/or other normative documents and for a defined scope of accreditation NOTE Assessing the competence of a CAB involves assessing the competence of the entire operations of the CAB including the competence of the personnel, the validity of the conformity assessment methodology and the validity of the conformity assessment results. 3.12 Assessor Person assigned by an accreditation body to perform, alone or as part of an assessment team, an assessment of a CAB. 3.13 Board of Directors Board of Directors of the Accreditation Center. 3.14 Center Accreditation Center of the Cooperation Council for the Arab States of the Gulf (GAC). 3.15 Complaint Expression of dissatisfaction, other than appeal, by any person or organization, to an accreditation body, relating to the activities of that accreditation body or of an accredited CAB, where a response is expected. 3.16 Conformity assessment Confirmation that specific requirements relevant to a product, operation, system, a person or a body have been met.

3.17 Conformity assessment body a body that provides conformity assessment services including testing, calibration , inspection , certification of personnel, certification of products, certification of management systems or other services associated with conformity and can be accredited.

3.18 Consultancy Participation in any of the activities of a CAB subject to accreditation EXAMPLES

preparing or producing manuals or procedures for a CAB;

participating in the operation or management of a CAB’s system;

giving specific advice or specific training towards the development and implementation of a CAB’s management system and/or competence;

Giving specific advice or specific training for the development and implementation of the operational procedures of a CAB.

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3.19 Cooperation Council Cooperation Council for the Arab States of the Gulf (GCC). 3.20 Day Means working day, and excludes all public holidays and/or days of formal religious observance. 3.21 Expert Person assigned by an accreditation body to provide specific knowledge or expertise with respect to the scope of accreditation to be assessed.

3.23 Extending accreditation Process of enlarging the scope of accreditation. 3.24 Secretariat Secretariat of the Center. 3.25 Director General Director General of the Center. 3.26 Interested parties [stakeholders] Parties with a direct or indirect interest in accreditation. NOTE: Direct interest refers to the interest of those who undergo accreditation; indirect interest refers to the interests of those who use or rely on accredited conformity assessment services.

3.27 Lead assessor LA Assessor who is given the overall responsibility for specified assessment activities. 3.28 Member States Member states in the Cooperation Council. 3.29 Ministerial Board Ministerial Board of the Cooperation Council. 3.30 Mutual Recognition Arrangements International or regional arrangements between accreditation bodies that allow for mutual recognition of accredited conformity assessment results. 3.31 Organization Standardization Organization of the Cooperation Council for the Arab States of the Gulf (GSO). 3.32 Reducing accreditation Process of withdrawing accreditation for part of the scope of accreditation.

3.33 Schedule of accreditation Specific conformity assessment services for which accreditation is sought or has been granted. 3.34 Scope of accreditation A specific conformity assessment service or any other services the applicant may seek accreditation for. 3.35 Director General

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Director General of the Center. 3.36 Supreme Council Supreme Council of the Cooperation Council. 3.37 Surveillance Set of activities, except reassessment, to monitor accredited CAB's continued fulfilment of requirements for accreditation NOTE: Surveillance includes both surveillance on-site assessments and other surveillance activities, such as:

a) enquiries from the accreditation body to the CAB on aspects concerning the accreditation; b) reviewing the CAB’s declarations with respect to what is covered by the accreditation; c) requests to the CAB to provide documents and records (e.g. audit reports, results of internal quality control

for verifying the validity of CAB services, complaints records, management review records, etc.); d) Monitoring the CAB’s performance (such as results of participating in proficiency testing).

3.38 Suspending accreditation Process of temporarily making accreditation invalid, in full or for part of the scope of accreditation. 3.39 Withdrawing accreditation Process of cancelling accreditation in full.

3.40 Witnessing Observation of the CAB carrying out conformity assessment services within its scope of accreditation. 3.41 Year The Gregorian calendar (AD).

3.42 Accreditation Decision Committee ADC Committee appointed by SDM and selected among experts in accreditation. A chair and, at least, one member are appointed to provide, after adequate study, a recommendation to ADM to grant, extend, reduce, renew or withdraw an accreditation. The members of ADC should be competent persons different from those who carried out the assessment.

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4. ACCREDITATION CENTER OF THE COOPERATION COUNCIL FOR THE ARAB STATES OF THE GULF (GAC)

4.1 Legal responsibility

GAC is established by an Agreement (henceforth called the Agreement) between the Member States of the Cooperation of the Arab States of the Gulf and the republic of Yemen and, as a consequence, has legal status within the region.

4.2 Structure

4.2.1 The organisational structure of the GAC is provided in Appendix 1.

4.2.2 The Agreement gives GAC the authority and the responsibility to make decisions relating to accreditation, including the granting, maintaining, extending, reducing, suspending and withdrawing of accreditation.

4.2.3 GAC’s legal status is given in the Agreement and ownership is vested in the governments of the seven Member States.

4.2.4 All staff positions within the GAC have formally defined Job Descriptions (See clause 6.1.3) and Duty Statements and these are to be found in the Human Resources Procedures.

4.2.5 The chief executive officer of the GAC is its Director General who is supported by the following positions: Administration and Finance Manager; Technical and Quality Manager; Service Delivery Manager; Accreditation Decision Manager; Development and Marketing Manager.

Each position has specific responsibilities for development of policies relating to the operation of the accreditation body including:

a) supervision of the implementation of the policies and procedures; b) supervision of the finances of the accreditation body; c) decisions on accreditation; d) Contractual arrangements.

Individual authorities to act in specified areas are delegated to individuals or committees as approved by the Board of Directors and Director General. A list of all such delegations is contained in Appendix 2 Delegated Authorities.

4.2.6 GAC employs professionally qualified staff to manage all aspects of its operations and, in addition, engages individuals with appropriate expertise to provide advice on technical requirements and to serve as assessors in the assessment of conformity assessment bodies. The procedure QM 8.0 outlines the process of creating and functioning of Technical Advisory Committees. GAC may appoint additional Technical Committees in different areas when the need arises.

4.2.7 GAC has formal rules for the appointment, terms of reference and operation of committees that are involved in the accreditation process, and these are to be found in the Accreditation Procedures together with the list of members for each committee.

4.2.8 GAC’s structure is described in Appendix 1.

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4.3 Impartiality

4.3.1 GAC seeks to operate objectively and impartially at all times.

4.3.2 To ensure impartiality in developing and maintaining major policies and procedures of the operation of its accreditation system, GAC’s structure is designed to provide opportunity for effective involvement by interested parties ensuring a balanced representation of interested parties with no single party predominating. The details of these arrangements are contained in the Agreement and the Quality Management Procedures QM 8.0 and QM 16.0.

4.3.3 GAC seeks to ensure that its policies and procedures are non-discriminatory and administered in a non-discriminatory way. Accreditation is accessible to all applicants whose requests for accreditation fall within the scope of GAC activities (see clause 4.6.1) and the limitations as defined therein. Access is not conditional upon the size of the applicant CAB or membership of any association or group, nor is accreditation conditional upon the number of CABs already accredited in any particular geographical area or field of testing. The policies on the scope of GAC’s activities are contained in the Rules document and in the specific Field Application Documents.

4.3.4 It is GAC’s policy that all personnel and committees, whose position could influence the accreditation process, shall act objectively and be free from any undue commercial, financial and other pressures that could compromise impartiality.

4.3.5 Accreditation decisions within GAC are made by the Accreditation Decision Manager who is competent as specified in the relevant Job Description. The Accreditation Decision Manager is steered and advised by a formal recommendation of the Accreditation Decision Committee composed from experts having no role in the assessment of the CAB.

4.3.6 GAC does not offer or provide any service that affects its impartiality such as:

a) Those conformity assessment services that CABs perform; b) Consultancy.

GAC does not present any of its activities as linked with consultancy and nothing is said or implied that may suggest that accreditation would be simpler, easier, faster or less expensive if any specified person(s) or consultancy is used.

4.3.7 GAC does not have any other body directly related to it. It is governed by a Board of Directors reporting to the GCC council.

While the GAC is a part of the general GCC infrastructure it is independent and as its Board of Directors is a Council of Ministers.

Periodic meetings with Stakeholders Advisory Committee are the opportunity where GAC discusses its relationship with the related bodies. Any potential conflict of interest, any threat to impartiality and confidentiality can be addressed during these meetings by concertation with all parties and members including the related bodies themselves (such as GSO and Gulf MET). When a serious risk is identified, the chair of the Stakeholders Advisory Committee appoints an Ad-hoc team (GAC must be involved) who has the responsibility to analyse that risk and propose appropriate actions, within a limited timeframe. The procedure (QM 20.0) deals with the identification of potential related bodies, the risk of conflict of interest and suitable actions to be undertaken.

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4.4 Confidentiality

GAC requires all individuals having access information obtained in the process of its accreditation activities at all levels of the accreditation body, including technical committee members, and external bodies or individuals acting on its behalf to enter into confidentiality agreements. GAC does not disclose confidential information about a particular CAB outside its own structure without written consent of the CAB, except where the law requires such information to be disclosed without such consent.

4.5 Liability and financing

4.5.1 GAC is funded from fees for its accreditation services and such other funds as are made available from time to time by the GCC or Member States or through grants, donations and the like, in accordance with GAC Agreement.

4.5.2 GAC maintains an accrual accounting system that complies with international accounting standards and which is independently audited annually.

4.6 Accreditation activity

4.6.1 GAC provides accreditation activities with reference to the ISO/IEC 17000 suite of conformity assessment standards (ISO/IEC17020, 17021, 17025 etc. and such others as may be developed) and such other international standards and guides as may be required from time to time.

4.6.2 While GAC uses the relevant international standards for its accreditation activities, it recognises that where technology specific interpretations of those standards is necessary, it prepares or adopts from other sources, special purpose application and guidance documents, ensuring at all times that such documents have been formulated by committees or persons possessing the necessary competence, and where appropriate, with participation of interested parties. Where international application or guidance documents are available, these are used.

4.6.3 GAC is a developing organisation and it has developed procedures through which it may extend its activities in response to demands of interested parties or where it sees needs and opportunities for such developments. These procedures are provided in detail in the Accreditation Procedures and the elements included in the procedures are:

a) analysis of its present competence, suitability of extension, resources, etc. in the new field; b) accessing and employing expertise from other external sources; c) evaluating the need for application or guidance documents; d) initial selection and training of assessors; e) training GAC staff in the new field.

5 Management

5.1 General

5.1.1 GAC has established, implemented and continues to maintain a management system subject to it continuous improvement related to its effectiveness in accordance with the requirements of ISO/IEC 17011. The following sub-clauses define requirements for the management system that take into account the particular nature of accreditation bodies. Appendix 3 identifies the major business functions and process flows found within the GAC.

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5.1.2 Where ISO/IEC 17011 requires the accreditation body to have or to establish procedures, GAC has prepared appropriate documentation and implemented and maintained those procedures. Appendix 3 identifies the major business functions and process flows found within the GAC.

5.2 Management system

5.2.1 The Director General supervises the definition and documentation of policies and objectives, including a quality policy, for its activities, and personally provides a commitment to quality and to compliance with the requirements of ISO/IEC 17011.

The Director General and his most senior managers are responsible for the effective communication of the needs of interested parties and that management policies are understood, implemented and maintained at all levels of the accreditation body. Where practicable, GAC objectives will be defined in terms that are measurable.

It is the objective of the GAC to attain signatory status of the ILAC and IAF Mutual Recognition Arrangements. All obligations under those arrangements will become an integral element of the GAC quality system at the appropriate time.

5.2.2 The GAC quality management system is appropriate to the type, range and volume of work performed. All applicable requirements of ISO/IEC 17011 are addressed in this manual, its supplementary procedures and associated documents (See Appendix 4). These procedures and relevant associated documents are accessible to GAC personnel and the effective implementation of the system’s procedures is supervised by the Technical and Quality Manager.

5.2.3 The Technical and Quality Manager has responsibility and authority that includes:

a) ensuring that procedures needed for the management system are established; b) reporting to top management on the performance of the management system and any need for

improvement.

5.3 Document control

GAC has established procedures to control all documents (internal and external) that relate to its accreditation activities. The procedures are specified in the Quality Management Procedures (QM 1.0) and define the controls needed:

a) to approve documents for adequacy prior to issue; b) to review and update as necessary and re-approve documents; c) to ensure that changes and the current revision status of documents are identified; d) to ensure that relevant versions of applicable documents are available to personnel,

subcontractors, assessors and experts of the accreditation body and CABs at points of use; e) to ensure that documents remain legible and readily identifiable; f) to prevent the unintended use of obsolete documents, and to apply suitable identification to

them if they are retained for any purpose; g) to safeguard, where relevant, confidentiality of documents.

5.4 Records

5.4.1 GAC has established the procedure (QM 7.0) for identification, collection, indexing, accessing, filing, storage, maintenance and disposal of its records.

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5.4.2 Records are retained for periods consistent with GAC’s contractual and legal obligations but in any case are retained for a minimum of six years. Access to these records is consistent with the confidentiality arrangements.

5.5 Nonconformities and corrective actions

GAC has established procedures for identification and management of nonconformities in its own operations. It also, where necessary, takes actions to eliminate the causes of nonconformities in order to prevent recurrence. Corrective actions are appropriate to the impact of the problems encountered. The procedure (QM 6.0) is defined in the Quality Management Procedures and covers:

a) identifying nonconformities (e.g. from complaints and internal audits); b) determining the causes of nonconformity; c) correcting nonconformities; d) evaluating the need for actions to ensure that nonconformities do not recur; e) determining and implementing in a timely manner, the actions needed; f) recording results of actions taken; g) reviewing effectiveness of corrective actions.

5.6 Preventive actions

GAC has established procedures to identify opportunities for improvement and to take preventive actions to eliminate the causes for potential nonconformities. Preventive actions taken are appropriate to the impact of the potential problems. The procedures for preventive actions are defined in the Quality Management Procedures (QM 6.0) and define requirements for:

a) identifying potential nonconformities and their causes; b) determining and implementing the preventive actions needed; c) recording results of actions taken; d) reviewing effectiveness of the preventive actions taken.

5.7 Internal audits

5.7.1 GAC has established procedures for internal audits to verify that it conforms to the requirements of ISO/IEC 17011 that the management system is implemented and maintained. The procedure for conducting such audits is defined in the Quality Management Procedures (QM 3.0).

5.7.2 Internal audits are performed at least once a year. The audit programme is planned, taking into consideration the importance of the processes and areas to be audited as well as the results of previous audits.

5.7.3 GAC, through the Technical and Quality Manager, ensures that:

a) internal audits are conducted by qualified personnel knowledgeable in accreditation, auditing and the requirements of ISO/IEC 17011;

b) internal audits are conducted by personnel different from those who perform the activity to be audited;

c) personnel responsible for the area audited are informed of the outcome of the audit; d) actions are taken in a timely and appropriate manner; e) any opportunities for improvement are identified.

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5.8 Management reviews

5.8.1 The Director General has established procedures to review the GAC management system at planned intervals to ensure its continuing adequacy and effectiveness in satisfying the relevant requirements, including ISO/IEC 17011 and its stated policies and objectives. These reviews are described in the Quality Management Procedures (QM 2.0) and conducted at least once a year.

5.8.2 Inputs to management reviews include, where available, current performance and improvement opportunities related to the following:

a) results of audits; b) results of peer evaluation (following application to APLAC, ILAC and IAF); c) participation in international activities, where relevant; d) feedback from interested parties; e) new areas of accreditation; f) trends in nonconformities; g) status of preventive and corrective actions; h) follow-up actions from earlier management reviews; i) fulfilment of objectives; j) changes that could affect the management system; k) appeals; l) analysis of complaints.

5.8.3 The outputs from the management review include actions related to:

a) improvement of the management system and its processes; b) improvement of services and accreditation process in conformity to the relevant standards and

expectations of interested parties; c) need for resources; d) defining or redefining of policies, goals and objectives.

5.9 Complaints

GAC has established procedures for dealing with complaints which are described in the Quality Management Procedures (QM 4.0). These procedures require that GAC:

a) decide on the validity of the complaint; b) where appropriate, ensure that a complaint concerning an accredited CAB is first addressed by

the CAB; c) take appropriate actions and assess their effectiveness; d) record all complaints and actions taken; e) respond to the complainant.

6 Human resources

6.1 Personnel associated with GAC

6.1.1 GAC seeks to employ, or have access to, a sufficient number of competent personnel (internal, external, temporary, or permanent, full time or part time) having the education, training, technical knowledge, skills and experience necessary for handling the type, range and volume of work performed.

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6.1.2 GAC seeks access to a sufficient number of assessors, including lead assessors, and experts to cover all of its activities.

6.1.3 GAC ensures that each person concerned is aware of the extent and the limits of their duties, responsibilities and authorities. These are defined in individual job descriptions and similar documents for external personnel.

Hereafter, an overview of the duties and tasks fulfilled by the key positions:

Director General:

The Director General is supported by a team of senior executives to manage the business of GAC. The Director General has the following specific primary duties and responsibilities:

conduct top-level liaison and negotiations with political, government and business leaders throughout the region;

liaise with key national, regional and international standards and conformance bodies and achieve, where possible, representation on governing or high level policy formulation committees etc. of those bodies;

conduct periodic meetings of GAC’s customers to update on the GAC’s performance and to seek customers’ inputs to GAC’s activities; and

Maintain a charter of service for GAC’s clients and periodically monitor achievement of the charter’s service levels.

achievement of specific targets and actions specified for the Director General by the Bylaw, the General Assembly or the Board of Directors;

ensure that the GAC is adequately financed and staffed to achieve all targets set in such Plans;

to provide leadership in development of strategic policies and activities.

oversee the achievement of the GAC’s accreditation goals and responsibilities;

supervise senior managers to ensure that GAC complies with its international obligations (as relevant);

Ensure annual budgets adequately cover operational needs.

liaise with the Technical and Quality Manager on all significant technical developments identified for possible adoption or amendment by the GAC;

Regularly review the efficacy of the GAC’s Rules and, where needed, make recommendations to the Board of Directors for appropriate amendments.

establish annually the key performance objectives of senior managers with direct reporting lines to the Director General;

identify any training or professional development needs of staff as established during performance reviews or identified through other means;

Formulate and maintain a succession planning strategy for key positions within the GAC.

supervising the preparation of annual budgets and gaining Board of Directors approval;

satisfying the Board of Directors’ expectations for annual corporate budgets;

Supervision of GAC’s financial management.

Accreditation Decision Manager:

The principal duty of this position is to manage the GAC accreditation decision-making process to ensure the essential corporate goals of impartiality, fairness and transparency.

Committed to meeting the expectations and requirements of both internal and external customers.

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Reviewing reports and recommendations prior to making decisions (under delegation) for accreditation services.

Providing advice to other staff members on the development of recommendations regarding new accreditations and changes to the status of accreditation. Recommending policy and operational changes to improve the performance of both the GAC and its accredited conformity assessment bodies.

Determining the eligibility for accreditation of specific tests, calibrations, inspections or programs.

Identifying areas that require deepening of awareness of accreditation within all sectors of the community – its benefits, strengths and limitations.

Service Delivery Manager:

The principal duty of this position is the management of all aspects of GAC’s accreditation operations the achievement of which will include:

Ensuring the delivery of contemporary accreditation practices; and

Maintaining necessary contact with major clients, customers, industry associations and government representatives to achieve the objectives of GAC.

Establishing and maintaining appropriate mechanisms to ensure best utilisation of resources;

developing and maintaining recruitment, retention and training policies and procedures that sustain operational activities;

participating in probation reviews of new staff;

introducing and integrating new operational systems and processes to meet the needs of the organisation;

leading, managing, directing and participating in various initiatives including cross functional teams, task forces and other committees as required;

monitoring to ensure compliance with relevant national Occupational Health & Safety legislation where appropriate; and

Presenting various documents/papers of executive nature to the Board of Directors and Director General when invited.

Developing and monitoring key performance indicators for direct reports and subordinate staff.

Monitoring field/program income and expenditure; and

Liaising with other senior executives, especially in the area of preparation of forecasts and budgets to meet overall operational objectives.

Technical & Quality Manager:

The Technical and Quality Manager provides a top-level contact point between GAC and its customers. In particular he will:

ensure that all complaints are investigated and resolved in a timely manner and where necessary, personally undertake the investigation of complaints;

participate in the conduct of appeals by applicant/accredited facilities;

develop and maintain client feedback initiatives, analyse results and report on outcomes;

draft articles for publications, website etc.;

provide advice to conformity assessment body staff and public/stakeholders; and

Liaise with relevant stakeholders as appropriate.

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managing the internal audits program to ensure compliance with ISO/IEC 17011. This includes audits of the quality management system, operational procedures and assessor monitoring;

identifying opportunities for improvement through activities such as client feedback, internal audits, staff initiatives, complaints etc and coordinate their implementation;

assisting with the development and review of policies, procedures and other corporate documents;

assisting with the review of existing and new accreditation documentation;

undertaking annual management review meetings;

maintaining the currency and suitability of corporate forms;

ensuring appropriate input from various groups in the development of policies and procedures for GAC staff, and technical requirements for accredited facilities;

liaising with and responding to matters raised through the internal audit and complaints investigation system;

ensuring consistent practice across fields as far as is possible;

authorising changes to documentation;

acting a resource on technical matters for staff and commenting on technical issues as these arise;

resolving queries regarding interpretation of our accreditation requirements;

approving creation of new field and program related documents e.g. Technical notes and Technical and Policy circulars;

acting as the secretariat to technical advisory committees;

making recommendation in relation to approving technical assessors; and

identifying training needs of staff and Technical Assessors in consultation with the relevant managers.

remain abreast of developments in technical accreditation and quality issues;

maintain relationships and networks with stakeholders;

mentor technical staff;

provide assistance in recruitment of technical staff;

assist with the training of staff at an induction level, including attending induction review meetings;

organise relevant assessor development programs;

develop and monitor key performance indicators for direct reports and subordinate staff.

maintain expenditure within budget;

use resources effectively and in accordance with corporate guidelines;

maintain records of expenditure in accordance with corporate guidelines; and

make recommendations regarding expenditure for technical meetings, conferences, courses, subscriptions and higher education and monitor such expenditure

Office Manager:

The principal duties of the Office Managers are to ensure that GAC operations, within their area of responsibility, are conducted efficiently and effectively and that GAC is presented professionally and effectively.

As the local representative of the Secretary-general, communicate effectively with external stakeholders, including clients, government, industry and the community.

Assist with the investigation and implementation of business development, marketing and relationship management.

Maintain a network of relationships and a high level of local knowledge of clients by attendance at relevant professional associations, courses and activities.

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Identify key stakeholders for accreditation activities in all sectors and establish and maintain relationships/networks with stakeholders.

Identify and report development opportunities for new accreditation services.

Develop and enhance stakeholders’ understanding of accreditation.

Act on client feedback survey results and complaints.

Participate in, and lead organisational teams, meetings and projects.

Promotes a safe and healthy workplace environment that complies with GAC Human Resource and Occupational Health and Safety policies.

Manage administrative and disciplinary matters for local staff.

Implement the internal audit schedule and undertake internal audits where requested.

Undertake specific projects as required.

Communicate effectively with the Managers, Secretary-General and staff on matters affecting the GAC.

Develop and implement accreditation and assessment activities in the location.

Maintain the surveillance and reassessment program.

Where qualified, perform the duties of a Lead Assessor to conduct an agreed number of on-site assessments as defined in individual Key Performance Objectives.

Ensure supervised technical staff achieve agreed assessment targets.

Develop and maintain a professional relationship with industry bodies to keep abreast of industry changes/standards.

Review work practices to ensure best use of resources.

Ensure work quality at personal and field/program level.

Ensure timeframes specified in GAC policies and procedures are met.

Where qualified, conduct lead assessor observation audits.

Participate in relevant technical meetings.

Monitor and manage work-in-progress to ensure corporate and field targets are achieved.

Promote and market GAC.

Advise on recruitment and development of assessors.

Participate in recruitment, supervision and training of staff.

Develop and maintain a continuous program of self-improvement for all staff in conjunction with the relevant supervisor.

Maintain a high standard of knowledge and expertise and/or attendance professional organisations at relevant courses, conferences and other activities.

Assist in the performance management and setting Key Performance Indicators for relevant staff.

Prepare annual office operating and capital budgets.

Ensure that GAC financial procedures are adhered to.

Monitor local financial performance. Assist in the recovery of outstanding debts from customers.

File Manager:

A File Manager is responsible for handling and management of CABs files that are assigned to him or her. To this end, the File Manager will be responsible for:

the management of the assigned files,

initiation of communication with the CAB,

ensure that the application is received with all the applicable information needed,

to ensure the GAC project number (e.g. AC0001-1) is assigned,

acquire all the related documentation from the CAB as per the accreditation criteria ,

Share CAB folder with the assessment team (including deliverables of previous assessment),

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ensure the completion of checklists from the CAB e.g. checklist for ISO/IEC 17025,

to arrange, with the LA, all the applicable accreditation steps; such as document review, advisory or onsite visit,

identify competent and suitable assessors/members including those for decision committees, ensure their approval through SDM,

where applicable be part of the assessment team as GAC representative,

Ensure that the effective communication takes place between the assessment team, CAB and GAC,

Ensures that the assessors contracts are signed prior to the assessment conducted,

Ensure to obtain written no objection or no conflict of interest statement from the CAB,

Ensure that the assessors used have signed GAC’s confidentiality agreement and that they are approved assessors through GAC assessor database,

Prepare all the applicable cost bills such as payment invoices for applications, onsite visits,

Review and approve the on-site assessment plan,

Ensure that the assessment deliverables have been completed and are received from the assessment team,

Ensure preparation of schedule of accreditation and accreditation certificate, once approved make arrangements with IT section to publish the accreditation docs in the GAC website,

Officially inform the office manager about updating the GAC assessment schedule for the CAB file once completed.

6.1.4 GAC requires all personnel to formally commit themselves by a signature to comply with the rules defined by the accreditation body. The commitment considers aspects relating to confidentiality and to independence from commercial and other interests, and any existing or prior association with CABs to be assessed.

6.2 Personnel involved in the accreditation process

6.2.1 GAC describes for each activity involved in the accreditation process:

a) qualifications, experience and competence required; b) initial and ongoing training required.

6.2.2 GAC has established procedures for selecting, training and formally approving assessors and experts used in the assessment process. These are defined the Quality Management Procedures (QM 9.0).

6.2.3 GAC identifies the specific scopes in which each assessor and expert has demonstrated competence to assess and maintains records of such scopes in the personnel records of each individual.

6.2.4 GAC has policies and procedures (QM 9.0) to ensure that assessors and, where relevant, experts:

a) are familiar with accreditation procedures, accreditation criteria and other relevant requirements;

b) have undergone a relevant accreditation assessor training; c) have a thorough knowledge of the relevant assessment methods; d) are able to communicate effectively, both in writing and orally, in the required languages; e) have appropriate personal attributes.

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6.3 Monitoring

6.3.1 GAC ensures the satisfactory performance of the assessment and the accreditation decision making process by means of procedures for monitoring the performance and competence of the personnel involved (QM 9.0). In particular, it reviews the performance and competence of its personnel in order to identify training needs.

6.3.2 GAC conducts monitoring e.g. by on-site observations and other techniques such as review of assessment reports, feedback from CABs and peer monitoring of assessors to evaluate an assessor’s performance and to recommend appropriate follow-up actions to improve performance. Each assessor is observed on-site regularly, at least once every three years.

6.4 Personnel records

6.4.1 GAC maintains up-to-date records of relevant qualifications, training, experience and competence of each person involved in the accreditation process.

6.4.2 GAC maintains up-to-date records on assessors and experts consisting of:

a) name and address; b) position held and for external assessors and experts, the position held in their own organization; c) educational qualifications and professional status; d) work experience; e) training in management systems, assessment and conformity assessment activities; f) competence for specific assessment tasks; g) Experience in assessment and results of their regular monitoring.

7 Accreditation process

All matters in this section are further elaborated in the Accreditation Procedures and its supplementary field specific application and advisory documents. Appendix 3 provides a diagram of main business function and process flows in the GAC.

7.1 Accreditation criteria and information

7.1.1 The general criteria for accreditation of CABs are those set out in the relevant normative documents such as ISO/IEC Standards and Guides for the operation of CABs.

7.1.2 GAC maintains the following accreditation documents, which are publicly available and updated as they are amended:

a) detailed information about its assessment and accreditation processes including arrangements for granting, maintaining, extending, reducing, suspending and withdrawing accreditation;

b) reference documents containing the requirements for accreditation including technical requirements specific to each field of accreditation where applicable;

c) general information about the fees relating to the accreditation; d) a description of the rights and obligations of CABs; e) information on the accredited CABs as described in clause 8.2.1; f) information on procedures for lodging and handling complaints and appeals; g) information about the authority under which the GAC operates; h) a description of GAC’s rights and duties; i) general information about the means by which GAC obtains financial support;

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j) information about GAC’s activities and stated limitations under which it operates; k) information about GAC’s relationship with GSO during its initial period of operation.

7.2 Application for accreditation

7.2.1 GAC requires a duly authorized representative of the applicant CAB to make a formal application that includes:

a) general features of the CAB, including corporate entity, name, addresses, legal status and human and technical resources;

b) general information concerning the CAB such as its activities, its relationship in a larger corporate entity if any, and addresses of all its physical location(s) to be covered by the scope of accreditation;

c) a clearly defined, requested, scope of accreditation; d) an agreement to fulfil the requirements for accreditation and the other obligations of the CAB as

described in clause 8.1.

7.2.2 GAC requires the applicant CAB to provide at least the following information relevant to the accreditation prior to commencement of the assessment:

a) a description of the conformity assessment services, which the CAB undertakes, and a list of standards, methods or procedures, for which the CAB seeks accreditation, including limits of capability where applicable;

b) a copy (on paper or in electronic form) of the CAB’s quality manual, and relevant associated documents and records, such as information on participation in proficiency testing as described in clause 7.15, where applicable.

7.2.3 GAC reviews the information supplied by the CAB for adequacy (See procedure AC 2.0).

7.3 Resource review

7.3.1 Following receipt of an application, GAC reviews its ability to carry out the assessment of the applicant CAB, in terms of its own policy, its competence and the availability of suitable assessors and experts (See procedure AC 4.0).

7.3.2 The review also includes the ability of GAC to carry out the initial assessment in a timely manner.

7.4 Subcontracting the assessment

7.4.1 GAC normally undertakes the assessment on which accreditation is based but in certain circumstances may subcontract the assessment to another agency. However, GAC does not subcontract the decision-making. When GAC subcontracts assessments, its policy describing the conditions under which subcontracting may take place is described in the Accreditation Procedure (AC 16.0) and a requirement for a properly documented agreement covering the arrangements, including confidentiality and conflict of interest, is included.

It is noted that contracting of external individual assessors and experts is not to be considered as subcontracting under the provisions of ISO/IEC 17011.

7.4.2 GAC (as the accreditation body):

a) takes full responsibility for all subcontracted assessments, which will only be conducted if GAC

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has itself the competence in the decision-making; b) maintains its responsibility for granting, maintaining, extending, reducing, suspending or

withdrawing accreditation; c) ensures that the body and its personnel involved in the assessment process, to which

assessment has been subcontracted, are competent and comply with the applicable requirements of ISO/IEC and any provisions and guidelines given by the subcontracting accreditation body;

d) obtains the written consent of the CAB to use a particular subcontractor.

7.4.3 GAC maintains a list the subcontractors it uses for assessments and has the ability to assess and monitor their competence.

7.5 Preparation for assessment

7.5.1 Before the initial assessment a preliminary (advisory) visit is normally conducted with the agreement of the CAB. This visit may result in identification of deficiencies in the applicant CAB’s management system or its competencies (See procedure QM 3.0). GAC has clear guidelines and exercises due care to avoid consultancy during such activities.

7.5.2 GAC formally appoints an assessment team consisting of a lead assessor and where required a suitable number of assessors and/or experts for each specific scope. When selecting the assessment team, GAC ensures that the expertise brought to each assignment is appropriate. In particular, the team as a whole:

a) has the appropriate knowledge of the specific scope for which accreditation is sought;

b) has understanding sufficient to make a reliable assessment of the competence of the CAB to operate within its scope of accreditation.

7.5.3 GAC ensures that team members act in an impartial and non-discriminatory manner. In particular:

a) assessment team members shall not have provided consultancy to the CAB which might compromise the accreditation process and decision;

b) in accordance with the provisions of clause 6.1.4 the assessment team members shall inform the GAC, prior to the assessment, about any existing, former or envisaged link or competitive position between themselves or their organization and the CAB to be assessed.

7.5.4 GAC informs the CAB of the names of the members of the assessment team and the organisation they belong to, sufficiently in advance to allow the CAB to object to the appointment of any particular assessor or expert. GAC’s policy for dealing with such objections is contained in the Accreditation Procedure (AC 5.0).

7.5.5 GAC defines the assignment given to the assessment team. The task of the assessment team is to review the documents collected from the CAB and to conduct the on-site assessment.

7.5.6 GAC has established procedures for sampling (if applicable) where the CAB's scope covers a variety of specific conformity assessment services. The procedures ensure that the assessment team witnesses a representative number of examples to ensure proper evaluation of the CAB’s competence.

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7.5.7 For initial assessments, in addition to visiting the main or head office, visits are made to all other premises of the CAB from which one or more key activities are performed and which are covered by the scope of accreditation.

NOTE: Key activities include: policy formulations, process/procedure development and, as appropriate, contract review, planning conformity assessments, review/approval/decision making on the results of conformity assessments.

7.5.8 For surveillance and reassessment, GAC has established procedures for sampling, where the CAB works from various premises, to ensure proper assessment. All premises, from which one or more key activities are performed, are reassessed within a timeframe defined in the Accreditation Procedures.

7.5.9 GAC negotiates agreement between the CAB and the assigned assessment team to the date and schedule for the assessment taking into account its responsibility pursue a date that is in accordance with the surveillance and reassessment plan. For postponement requests, GAC tolerates a margin of one month for the renewal assessments and two months for the surveillance.

7.5.10 GAC ensures that the assessment team is provided with the appropriate criteria documents, previous assessment records and the CAB’s relevant documents and records.

7.6 Document and record review

7.6.1 The assessment team reviews all relevant documents and records supplied by the CAB (as described in AC 4.0) to evaluate its system, as documented, for conformity with the relevant standard(s) and other requirements for accreditation. The results of the documentation review and the recommendation to go ahead for an on-site visit are recorded in appropriate checklists, depending on the requested accreditation field.

7.6.2 GAC may decide not to proceed with an on-site assessment based on the nonconformities found during document and record review. In such case the nonconformities shall be reported in writing to the CAB.

7.7 On-site assessment

7.7.1 The assessment team commences the on-site assessment with an opening meeting at which the purpose of the assessment and the accreditation criteria are clearly defined (See procedure AC 6.0). The scope and schedule for the assessment is also confirmed.

7.7.2 The assessment team conducts the assessment of the CAB’s conformity assessment services at the premises of the CAB, from which one or more key activities are performed, and, where relevant, shall perform witnessing at other selected locations where the CAB is operating, to gather objective evidence that for the applicable scope the CAB is competent and conforms to the relevant standard(s) and other requirements for accreditation.

7.7.3 The assessment team witnesses the performance of a representative number of staff of the CAB to provide assurance of the competence of the CAB across the scope of accreditation.

7.8 Analysis of findings and assessment report

7.8.1 The assessment team analyses all relevant information and evidence gathered during document and record review and the on-site assessment. This analysis is sufficient to allow the team to determine the extent of competence and conformity of the CAB with requirements for accreditation. The team’s

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observations on areas for possible improvement may also be presented to the CAB; however, consultancy is not provided.

7.8.2 Where the assessment team cannot reach a conclusion about a finding, the team refers back to GAC for clarification.

7.8.3 GAC’s reporting procedures ensure that:

a) a meeting takes place, between the assessment team and the CAB prior to leaving the site. At this meeting, the assessment team provides a written and/or oral report on its findings obtained from the analysis of 7.8.1. An opportunity is provided for the CAB to ask questions about the findings, including nonconformities, if any, and their basis;

b) a written report on the outcome of the assessment is promptly brought to the attention of the CAB. This assessment report contains comments on competence and conformity and identify nonconformities, if any, to be resolved in order to conform with all of the requirements for accreditation;

c) the CAB is invited to respond to the assessment report and to describe the specific actions taken or planned to be taken, within a defined time, to resolve any identified nonconformities.

7.8.4 The accreditation body shall remain responsible for the content of the assessment report including nonconformities, even if the lead assessor is not a permanent staff member of the accreditation body.

7.8.5 GAC ensures that the CAB’s responses to resolve nonconformities are reviewed to see if the actions appear to be sufficient and effective. If the CAB responses are found not to be sufficient, further information is requested. Additionally evidence of effective implementation of actions taken may be requested or a follow-up assessment may be carried out to verify effective implementation of corrective actions.

7.8.6 The information provided to the accreditation Decision Committee includes, as a minimum:

a) unique identification of the CAB; b) date(s) of the on-site assessment; c) name(s) of the assessor(s) and/or experts involved in the assessment; d) unique identification of all premises assessed; e) proposed scope of accreditation that was assessed; f) the assessment report; g) a statement on the adequacy of the internal organization and procedures adopted by the CAB to

give confidence in its competence as determined through its fulfilment of the requirements for accreditation;

h) information on the resolution of all nonconformities; i) any further information that may assist in determining fulfilment of requirements and the

competence of the CAB; j) where applicable, a summary of the results of proficiency testing or other comparisons

conducted by the CAB and any actions taken as a consequence of the results; k) where appropriate, a recommendation as to granting, reducing or extending accreditation for

the proposed scope.

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7.9 Decision-making and granting accreditation

7.9.1 GAC, prior to making a decision, must be satisfied that the information (see clause 7.8.6) is adequate to decide that the requirements for accreditation have been fulfilled (See procedure AC 10.0).

7.9.2 GAC, without undue delay, makes the decision on whether to grant or extend accreditation on the basis of an evaluation of all information received (see clause 7.8.6) and any other relevant information.

7.9.3 Where GAC uses the results of an assessment already performed by another accreditation body it must have assurance that the other accreditation body was operating in accordance with the requirements of ISO/IEC 17011. The competence of these accreditation bodies is recognized, by GAC, only if they are ILAC/APLAC MRA signatories.

7.9.4 GAC provides an accreditation certificate to the accredited CAB. This accreditation certificate identifies:

a) Itself as the accreditation body and displays its accreditation logo; b) the unique identity of the accredited CAB; c) all premises from which one or more key activities are performed, that are covered by the

accreditation; d) the accredited CAB’s unique accreditation number; e) the effective date of granting of accreditation and, as applicable, the expiry date; f) a brief indication of, or reference to, the scope of accreditation; g) a statement of conformity and a reference to the standard(s) or other normative document(s)

including issue/revision used for assessment of the CAB.

7.9.5 The accreditation certificate also identifies:

a) for certification bodies:

1) the type of certification; 2) the standards or normative documents or regulatory requirements or types thereof which

products, personnel, services or management systems are certified, as applicable; 3) industry sectors, where relevant; 4) product categories, where relevant; 5) personnel categories, where relevant.

b) for inspection bodies:

1) the type of inspection body, e.g. as defined in ISO/IEC 17020; 2) the field and range of inspection for which accreditation has been granted; 3) the regulations, standards or specifications or types thereof containing the requirements against

which the inspection is to be performed, as applicable.

c) for calibration laboratories:

The calibrations, including the types of measurements performed (measurand), the measurement ranges and the Calibration and Measurement Capabilities (CMC) or equivalent;

d) for testing laboratories:

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The tests or types of tests performed and materials or products tested, and, where appropriate the methods used.

7.10 Appeals

7.10.1 GAC has established procedures to address appeals by CABs. These are described in Accreditation Procedure (AC 14.0).

7.10.2 GAC:

a) appoints a person or group of persons to investigate the appeal who are competent and independent of the subject of appeal;

b) decides on the validity of the appeal; c) advises the CAB of its final decision(s); d) takes follow-up action where required; e) keeps records of all appeals, of final decisions and of follow-up actions taken.

7.11 Reassessment and surveillance

7.11.1 Reassessment is similar to an initial assessment as described in clauses 7.5 to 7.9, except that experience gained during previous assessments shall be taken into account. Surveillance on-site assessments are less comprehensive than reassessments.

7.11.2 GAC has established procedures and plans for carrying out periodic surveillance on-site assessments, other surveillance activities and reassessments at sufficiently close intervals to monitor the accredited CAB's continued fulfilment of requirements for accreditation (See procedure AC 11.0).

7.11.3 GAC designs its plans for reassessment and surveillance of each accredited CAB so that representative samples of the scope of accreditation are assessed on a regular basis.

The interval between on-site assessments, whether reassessment or surveillance, depends on the proven stability that the CAB's services have reached but the goal is that all CABs will be reassessed within a two year period. A more detailed statement of policy on this matter is provided in the Accreditation Procedures.

In the first accreditation cycle, a first surveillance on-site assessment visit will be carried out within 12 months from the date of initial accreditation.

7.11.4 Surveillance on-site assessments are planned taking into account other surveillance activities.

7.11.5 When, during surveillance or reassessments, nonconformities are identified, GAC defines strict time limits for corrective actions to be implemented.

7.11.6 Following a surveillance or reassessment visit, GAC will confirm continuation of accreditation or decide on the renewal of accreditation based on the results of those surveillance and reassessments activities described above.

7.11.7 GAC may conduct extraordinary assessments as a result of complaints, changes relating to the CAB (as defined in Clause 8.1.2), or from surveillance activities as described in Procedure AC 11.0 of the Accreditation Procedures.

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7.12 Extending accreditation

The accreditation body shall, in response to an application for extension of scope of an accreditation already granted, undertake the necessary activities to determine whether or not the extension may be granted. Where appropriate, assessment and granting procedures shall be as in the procedure AC 15.0.

7.13 Suspending, withdrawing or reducing accreditation

7.13.1 GAC has established procedures for suspension, withdrawal and reduction of scope of accreditation. These are specified in detail in the Accreditation Procedures (AC 12.0 and AC 13.0).

7.13.2 GAC will make decisions to suspend and/or withdraw accreditation when an accredited CAB has persistently failed to meet the requirements of accreditation or to abide by the rules for accreditation (e.g: continuous unsatisfactory results of PTP). The CAB itself may ask for suspension or withdrawal of accreditation.

7.13.3 GAC will make decisions to reduce the CAB’s scope of accreditation to exclude those parts where the CAB has persistently failed to meet the requirements for accreditation including competence. The CAB itself may ask for reduction of its scope of accreditation.

7.14 Records on CABs

7.14.1 GAC maintains the records on CABs to demonstrate that requirements for accreditation including competence have been effectively fulfilled.

7.14.2 GAC keeps the records on CABs secure to ensure confidentiality. The records on CABs are managed appropriately in a manner as described in clause 5.4.

7.14.3 Records on CABs shall include:

a) relevant correspondence; b) assessment records and reports; c) records of committee deliberations if applicable and accreditation decisions; d) copies of accreditation certificates.

7.15 Proficiency testing and other comparisons for laboratories

7.15.1 GAC has established procedures to take into account during the assessment and the decision-making process the laboratory's participation and performance in proficiency testing (See procedure AC 7.0 and technical note 4).

7.15.2 GAC may organise proficiency testing or other comparisons itself or may involve another body, judged to be competent. GAC maintains a list of appropriate proficiency testing and other comparison programmes. Proficiency testing is conducted in compliance with ISO/IEC 17043 and external proficiency testing providers are also required to comply with the requirements of that standard.

7.15.3 GAC requires that its accredited laboratories and, where appropriate its accredited inspection bodies, participate in proficiency testing or other comparison programmes where available and appropriate and that corrective actions are carried out when necessary. The minimum amount of proficiency testing and the frequency of participation are specified in the GAC technical note 4.

It is recognised that there are particular areas where proficiency testing is impractical and this is taken into account in the planning of reassessment programs.

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8 Responsibilities of GAC and the CAB

8.1 Obligations of the CAB

8.1.1 GAC requires the CAB:

a) to commit to continually fulfil the requirements for accreditation set by GAC for the areas where accreditation is sought or granted. This includes agreement to adapt to changes in the requirements for accreditation, as set out in clause 8.2.4;

b) to afford when requested such accommodation and cooperation as is necessary to enable GAC to verify fulfilment of requirements for accreditation. This applies to all premises from where the conformity assessment services are taking place;

c) to provide access to information, documents and records as necessary for the assessment and maintenance of the accreditation;

d) to provide access to those documents that provide insight into the level of independence and impartiality of the CAB from its related bodies, where applicable;

e) to arrange the witnessing of CAB services when requested by GAC; f) to claim accreditation only with respect to the scope for which it has been granted accreditation; g) to not use its accreditation in such a manner as to bring GAC into disrepute; h) to pay fees as shall be determined by GAC.

8.1.2 GAC requires that it is informed without delay by the accredited CAB of significant changes, relevant to its accreditation, in any aspect of its status or operation relating to its:

a) legal, commercial, ownership or organizational status; b) organization, top management and key personnel; c) main policies; d) resources and premises; e) scope of accreditation; f) other such matters that may affect the CAB’s ability to fulfil requirements for accreditation.

8.2 Obligations of GAC

8.2.1 GAC will make publicly available information about the current status of the accreditations that it has granted to CABs. This information is updated regularly. The information disclosed includes the following:

a) name and address of each accredited CAB; b) dates of granting accreditation and expiry dates, as applicable; c) scopes of accreditation, either condensed and/or in full. If only condensed scopes are provided

information shall be given on how to obtain full scopes.

8.2.2 GAC will provide the CAB with information about suitable ways to obtain traceability of measurement results in relation to the scope for which accreditation is provided.

8.2.3 GAC will, where applicable, provide information about international arrangements in which it is involved.

8.2.4 GAC will give due notice of any changes to its requirements for accreditation. It will take account of views expressed by interested parties before deciding on the precise form and effective date of the changes. Following a decision on, and publication of, the changed requirements, it will verify that each accredited body carries out any necessary adjustments.

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8.3 Reference to accreditation and use of symbols and marks

8.3.1 GAC, as proprietor of the accreditation symbol that is intended for use by its accredited CABs, has a policy governing its protection and use. The accreditation symbol is designed to give a clear indication as to which activity (as indicated in the GAC technical note 6) the accreditation is related. An accredited CAB is allowed to use this symbol on its reports or certificates issued within the scope of its accreditation.

8.3.2 GAC maintains surveillance procedures (AC 11.0) to ensure that the accredited CAB:

a) fully conforms with the requirements of the accreditation body for claiming accreditation status, when making reference to its accreditation in communication media such as Internet, documents, brochures, or advertising;

b) only uses the accreditation symbols for premises of the CAB that are specifically included in the accreditation;

c) does not make any statement regarding its accreditation that the accreditation body may consider misleading or unauthorized;

d) takes due care that no report or certificate nor any part thereof is used in a misleading manner; e) forthwith discontinues its use of all advertising matter that contains any reference to an

accredited status, upon suspension or withdrawal of its accreditation (however determined); f) does not allow the fact of its accreditation to be used to imply that a product, process, system or

person is approved by the accreditation body.

8.3.3 GAC will take suitable action to deal with incorrect references to accreditation status, or misleading use of accreditation symbols found in advertisements, catalogues, etc. Suitable actions include request for corrective action, withdrawal of accreditation, publication of the transgression and, if necessary, other legal action.

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APPENDIX 1 – ORGANISATIONAL STRUCTURE

Board of

Directors

Director

General

Technical Advisory Committee(s)

Service

Delivery

Manager

Technical Assessors

Administration

and Finance

Manager

Technical and

Quality

Manager

Accreditation

Decision

Manager

Development

and Marketing

Manager

Testing lab

department

Medical lab

department

Inspection bodies

department

Certification bodies

department

Calibration lab

department

Review

committees

Stakeholders

committees

Offices

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APPENDIX 2– DELEGATIONS REGISTER

A3.1 Purpose

The GAC Rules provide for the delegation of the powers of the Board. Delegation of the functions of the Board is provided for in Section 10. This Delegation Register is prepared in accordance with the requirement of Section 15 of the GAC Rules.

A3.2 Scope

This register describes only those parts of a Clause that can be delegated and therefore does not include those functions that are not delegated. The ‘Activities’ described may therefore not represent an entire Clause.

The delegations described below have been approved by the Board subject to appropriate policies and procedures.

It is recognised that the activities listed will not be delegated on all occasions.

A3.2 Responsibilities

In accordance with Section 15 of the GAC Rules, the Director General is responsible for maintaining a current list of Board members.

The abbreviations used are as follows:

Group 1 Management

DG - Director General

Group 2 Management

AFM - Administration and Finance Manager

SDM - Service Delivery Manager

ADM - Accreditation Decision Manager

TQM - Technical & Quality Manager

DMM - Development and Marketing Manager

Group 3 Management

LA Lead Assessor

OFM - Office Managers

It should be noted that delegation may be further delegated to senior staff within the organization in the case of delegations marked *.

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A3.4 Governance delegations

Rule Activity Responsibility Delegation

8 Maintain list of Board of Directors approved delegations GD -

9.5 Minutes to be kept GD -

11.2 Cause proper accounts to be kept GD -

11.2 Cause financial reports to be prepared and presented at a general meeting

GD -

11.2 Resolution of dispute regarding use or misuse of GAC emblem GD -

11.2 Determination of publications deemed not to be privileged GD -

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Accreditation-related Delegations


12.1 Consideration of applications in two or more accreditation programs or in two or more fields within an accreditation program as a single application

SDM OFM

12.2 Determination of conditions for accreditation and continuance of accreditation

ADM

12.5 Payment of penalty fees GD ADM

12.3 Accreditation of an applicant GD ADM

12.3 Deferral of accreditation of an applicant GD ADM

12.3 Refusal of accreditation of an applicant GD ADM

12.8 Conduct re-examinations and enquiries to ascertain compliance with conditions for continuance of accreditation

GD ADM

12.2 Consider applications for variations to signatories or scope of accreditation

SDM

12.2 Vary scope of accreditation GD ADM

12.7 Decision to cancel accreditation – for non-payment of fees ADM

12.5 Set response period to Correction Notice. Determine action required or other conditions

SDM

12.6 Issue Notice to Show Cause ADM

12.7 Notification of cancellation of accreditation GD ADM

12.3 To be satisfied that an applicant complies with the conditions for accreditation

ADM

12.3 For continuance of accreditation, to be satisfied that conditions for continuance of accreditation are met

ADM

12.3 Assessment of compliance of applicants with conditions for accreditation

SDM

12.3 Assessment of compliance of accredited facilities with conditions for continued accreditation

ADM

12.9 Selection of assessors for the examination of applicants and re-examination of accredited facilities

SDM OFM

12.3 Receipt of advice from the Technical Committee on compliance of applicants with conditions for accreditation

ADM

12.2 Publication of other procedures for processing applications and re-examining accredited facilities

TQM

12.3 On approval of accreditation:

- enter accredited person/facility’s name in Register ADM

- notify applicant of decision ADM

- issue accreditation certificate ADM

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12.3 Advice re deferral of accreditation ADM

12.3 Advice re refusal of accreditation ADM

12.5 Prescribe retention period for reports and records ADM

12.7 Advice re discontinuation of accreditation following advice from authorised representative re changes

ADM

12.5 Decisions re appropriate use of GAC emblem and statements re accreditation on letterhead, in advertising etc

GD ADM

12.5 Decisions re continuation of accreditations suspended for over 1 year

GD ADM

12.8 Referral of re-examination of accredited facility ADM

Receipt of referral SDM

12.2 Receipt of advice from Technical Committees on compliance of accredited facilities with conditions for continued accreditation

ADM

12.3 Advise accredited facility of decision regarding the re-examination

ADM

12.3 Decision re continuance of accreditation ADM

12.3 Advise accredited facility regarding the re-examination ADM

12.2 Referral of application for variation to scope of accreditation or signatories

SDM

Receipt of referred application SDM

12.2 Conduct examination of facility SDM LA

12.3 Advise accredited facility of decision re variation(s) ADM

12.3 Constitute Review Committee TQM

12.3 Advice to claimant re nominations for Review Committee membership

TQM

Finalise Review Committee membership, select Chair TQM

12.3 Determine suitable dates to conduct review TQM

Advise claimant of Review Committee membership, dates review to be conducted

TQM

12.3 Advise claimant if Review Committee upholds decision TQM

12.3 Action if Review Committee overturns decision TQM

12.3 Advise complainant of decision TQM

12.2 Appointment of assessors SDM OFM

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Staffing Delegations

Subject to availability of funds within an approved budget.

# Activity Responsibility Delegation

1 Determine conditions of and approve positions GD All direct reports

2 Approve all variations in employment conditions (including but not limited to increments, promotions, re-classifications, award variations, salary loadings, salary and non-salary related fringe benefits)

GD AFM

3 Consider recommendations of selection committees, where appropriate, approve appointments and issue letters of appointment on behalf of the organisation

GD TQM

4 Approve discipline of staff GD All direct reports

5 Dismiss staff GD

6 Approve granting of annual, sick, long service and leave without pay (not exceeding 12 months) within employment conditions where accrued entitlement exists

GD All direct reports

7 Approve granting of all leave absences, including approval of leave “in advance of entitlement in special cases”


8 Confirmation of appointment at end of probationary period All direct reports to the GD

OFM

9 Accept or determine resignations or retirements GD All direct reports

10 Approve staff members travelling overseas All direct reports to the GD

OFM

11 Approve staff members travelling within the Gulf region All direct reports to the GD

OFM

12 Approve carry-over of recreation leave for general staff in excess of 20 days and approve deferral of annual leave for staff where exceptional circumstances preventing leave absence are demonstrated

All direct reports to the GD

OFM

13 Approve working of overtime All direct reports to the GD

OFM

14 Approve teleworking All direct reports to the GD

OFM

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Management Delegations



1 Sign legal documents, agreements for leases of equipment and property, capital expenditure and contracts on any acquisitions authorised by the Board through the annual budget or by separate resolution


Financial Delegations



1 Incur expenditure or approve payment

(Managers cannot approve their own expenses)

GD and all direct reports

OFM

2 Accept tenders and quotes and authorise contracts or orders for operating expenses and equipment procurement, within their area of responsibility.

GD and all direct reports

OFM

3 Approve write-offs in respect of: bad debts; cash losses, thefts or shortages; furniture, plant or equipment losses, provided satisfied that all reasonable recovery action has been taken

AFM

4 Authorise trade-in or sale of motor vehicles AFM

5 Approve transfer of employee payroll deductions to authorised entities

AFM

6 Establish and approve fees AFM

7 Approve refund of fees and charges AFM

8 Approve trade-in, sale or other disposal of obsolete or surplus assets or inventories (excluding motor vehicles)

AFM

9 Approve credit card expenses GD and all direct reports

OFM

10 Approval of removal expenses AFM

11 Approval of mobile telephones and monthly plan maintenance

AFM

12 Approve staff expense reimbursement GD and all direct reports

OFM

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Facilities Management Delegations



1 Accept tenders and quotes and authorise contracts or orders in respect of capital works within an approved project budget

AFM OFM

2 Approve progress payments on any approved and accepted capital works project

AFM OFM

3 Distribute keys to office personnel and ensure accurate and up to date records are kept as to whom keys have been distributed

AFM OFM

4 Provide nominated car parking for company cars and GAC staff as appropriate

AFM OFM

5 Ensure optimum building, office and external security is maintained through an outside security firm, where appropriate

AFM OFM

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APPENDIX 3 – GAC BUSINESS FUNCTIONS AND PROCESS FLOWCHART

GAC business functions and process flow (Approved 27/01/2009)

Ser

vice

del

iver

yA

dmin

/Fin

ance

Gov

erna

nce

Application

received and

processed

Advisory visit Document review

Assessment

team formation

and confirmation

On site

assessment

Review and

decision

Surveillance and

extensions/

reductions of

scope

Product

management

Assessor

selection and

training

Communications

and marketing

Hum

an re

sour

ces

Qua

lity

& T

echn

ical

Dec

isio

n m

akin

gD

ev &

Mkt

g

Governance

Key

appointments

Human resource

recruitment and

management

Facilities

management

Financial and

information

management

Needs analysis

and cost/benefit

Budget and fee

schedule

Suspension/

Withdrawal

Complaints and

appeals

Technical

committees

Budget

approval

Reassessment

Advice

Quality system

and internal audit

Advice

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APPENDIX 4 – LIST OF ASSOCIATED PROCEDURES

RL 1.0 GAC Rules

QM 1.0 Document Control

QM 2.0 Management System Review

QM 3.0 Internal Audits

QM 4.0 Complaints

QM 5.0 Customer Feedback

QM 6.0 Corrective Action Or Preventative Action

QM 7.0 Records Management

QM 8.0 Technical Advisory Committees

QM 9.0 Assessors Selection, Qualification and Monitoring

QM 10.0 Due Diligence

QM 11.0 Privacy Policy

QM 12.0 Confidentiality

QM 13.0 Conflict Of Interest

QM 14.0 Duty Of Care

QM 15.0 Undue Influence

QM 16.0 Stakeholders Advisory Committee

QM 17.0 New Program Development

QM 18.0 Stakeholders High Committee

QM 19.0 Cross Frontier

QM 20.0 Related bodies Analysis

QM 21.0 IT Management

AC 1.0 Introduction And Flowchart

AC 2.0 Applications For Accreditation

AC 3.0 Advisory Visits

AC 4.0 Document Review

AC 5.0 Assessment Team Selection

AC 6.0 On-site Assessment

AC 7.0 Proficiency Testing Participation

AC 8.0 Corrective Actions

AC 9.0 Assessment Report

AC 10.0 Accreditation Decision

AC 11.0 Surveillance Activities

AC 12.0 Suspension Of Accreditation

AC 13.0 Withdrawal Of Accreditation

AC 14.0 Appeals

AC 15.0 Extensions, Variations And Special Assessments

TN 1.0 Uncertainty of measurement as requirement by ISO/IEC 17025

TN 2.0 Traceability Of Measurements

TN 3.0 Selection And Use Of Reference Materials

TN 4.0 Proficiency Testing Policy

TN 5.0 Requirements For In-house Calibrations

TN 6.0 Policy on the use of GAC Logo, Endorsement and References

FAD 1.0 ISO/IEC 17025 GAC Application Document

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FAD 4.0 ISO/IEC 17065 : GAC Application Document

FAD 12.0 Supplementary accreditation requirements for Halal certification Bodies

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BIBLIOGRAPHY

[1] ISO 14065:2013, Greenhouse gases -- Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition

[2] ISO 19011:2011 , Guidelines for auditing management systems.

[3] ISO 9000:2005, Quality management systems -- Fundamentals and vocabulary

[4] ISO 9001:2008, Quality management systems – Requirements

[5] ISO/TS22003:2013, Food safety management systems -- Requirements for bodies providing audit and certification of food safety management systems

[6] ISO/IEC 17000:2004, Conformity assessment -- Vocabulary and general principles

[7] ISO/IEC 17011:2004, Conformity assessment -- General requirements for accreditation bodies accrediting conformity assessment bodies

[8] ISO/IEC 17020:2012, General criteria for the operation of various types of bodies performing inspection

[9] ISO/IEC 17021:20111, Conformity assessment -- Requirements for bodies providing audit and certification of management systems

[10] ISO/IEC 17024:2012, Conformity assessment -- General requirements for bodies operating certification of persons

[11] ISO/IEC 17025:2005, General requirements for the competence of testing and calibration laboratories.

[12] ISO/IEC 17030:2003, Conformity assessment -- General requirements for third-party marks of conformity

[13] ISO/IEC 17007:2009, Conformity assessment -- Guidelines for drafting normative documents suitable for use for conformity assessment

[14] ISO/IEC Guide 2:2004, Standardization and related activities -- General vocabulary

[15] ISO/IEC Guide 23: 1982, Methods of indicating conformity with standards for third-party certification systems

[16] ISO/IEC Guide 27:1983, Guidelines for corrective action to be taken by a certification body in the event of misuse of its mark of conformity

[17] ISO/IEC Guide 28:2004,Conformity assessment -- Guidance on a third-party certification system for products

[18] ISO/IEC 17043:2010: Conformity assessment -- General requirements for proficiency testing.

[19] ISO/IEC Guide 53:2005, Conformity assessment -- Guidance on the use of an organization's quality management system in product certification

[20] ISO/IEC 17065:2012,Conformity assessment – Requirements for bodies certifying products, processes and services

[21] ISO/IEC 17067:2013: Conformity assessment -- Fundamentals of product certification and guidelines for product certification schemes.

[22] ISO/IEC Guide 99:2007, International vocabulary of metrology -- Basic and general concepts and associated terms (VIM)