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RINA

CERTIFICATION OF BEACH OPERATION ACCORDING TO STAND ARD ISO 13009

IS-QPT-13009-00 Rev. 2

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INDEX

1 SCOPE/OBJECTIVE ................................................................................................................................................................................................................. 3

2 FIELD OF APPLICATION .............................. .................................................................................................................................................................................. 3

3 DEFINITIONS AND/OR ABBREVIATIONS .................. ................................................................................................................................................................... 3

4 REFERENCES ................................................................................................................................................................................................................................. 5

5 CERTIFICATION PROCESS ........................................................................................................................................................................................................... 6

5.1 DESCRIPTION ...................................................................................................................................................................................................................................................... 6

5.2 APPLICATION REVIEW ........................................................................................................................................................................................................................................ 7

5.2.1 TABLE A. CERTIFICATION ................................................................................................................................................................................................................................ 8

5.2.2 TABLE B. RECERTIFICATION ........................................................................................................................................................................................................................... 9

5.2.3 TABLE C. EXTENSION/MODIFICATION OF CERTIFICATION FOLLOWING CLIENT REQUEST .................................................................................................................. 11

5.3 AUDIT PROGRAMME ......................................................................................................................................................................................................................................... 13

5.3.1. TABLE A: CERTIFICATION PROCESS............................................................................................................................................................................................................... 13

5.3.2. TABLE B: SURVEILLANCE (OR UNANNOUNCED OR EXTRA) PROCESS ...................................................................................................................................................... 18

5.3.3. TABLE C: RECERTIFICATION PROCESS ......................................................................................................................................................................................................... 20

5.3.4 TABLE D: EXTENSION OF CERTIFICATION SCOPE (NEW ACTIVITIES AND/OR SITES) ................................................................................................................................ 21

5.3.1 DATA TO BE INSERTED IN ASCESI ................................................................................................................................................................................................................ 23

5.4 CERTIFICATION DECISION, ISSUE OF THE CERTIFICATE AND RELATED MANAGEMENT ........................................ ................................................................................ 24

5.4.1 TABLE A: CERTIFICATION AND RECERTIFICATION PROCESS................................................................................................................................................................... 24

5.4.2 TABLE B1: EXTENSION MANAGED THROUGH EXTENSION OR RECERTIFICATION PROCESS IN CERTIFY PROCESS ........................................................................ 26

5.4.3 TABLE B2: EXTENSION MANAGED DURING EXTRA OR SURVEILLANCE PROCESS IN CERTIFY PROCESS .......................................................................................... 26

5.4.4 TABLE C: OTHER CHANGES TO THE CERTIFICATE ..................................................................................................................................................................................... 27

5.4.5 TABLE D: SUSPENSION .................................................................................................................................................................................................................................. 27

5.4.6 TABLE E: REINSTATEMENT ........................................................................................................................................................................................................................... 28

5.4.7 TABLE F: WITHDRAWAL ................................................................................................................................................................................................................................. 29

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5.4.8 TABLE G: RENOUNCEMENT .............................................................................................................................................................................................................................. 29

5.5 INVOICING .......................................................................................................................................................................................................................................................... 30

5.6 FRAMEWORK AGREEMENT ............................................................................................................................................................................................................................. 30

ANNEX ................................................................................................................................................................................................................................................. 31

AUDIT TIME .................................................................................................................................................................................................................................................................. 31

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1 SCOPE/OBJECTIVE

This instruction describes for organisations managing beaches:

� the certification process;

� the necessary activitie to perform the application review of the certification request, from the receipt of information from the applicant organisation phase to the job

opening;

� the necessary activities to define, confirm, change the audit programme, select the audit team members and manage communications with the client;

� the certification decision method as well as the issue, amendment, suspension, reinstatement and withdrawal methods of certificae;

� the invoicing.

2 FIELD OF APPLICATION

This instruction applies to all the personnel of the structure involved in the certification process of beach operation according to standard ISO 13009 who work in head office and in

the operational network (OPN), in Italy and abroad.

The reference scheme for the certification of beach operation is:

� ISO 13009:2015 Tourism and related services - Requi rements and recommendations for beach operation

This standard esatablishes the general requirements and reccomendations for beach operator who offer tourist and recreational services on beaches.

3 DEFINITIONS AND/OR ABBREVIATIONS

AD: Chief Exectuive Officer of Rina Services

CA: Corrective action

ANACLI : Software used to codify clients

APPLICATION REVIEWER (AR) : Person responsible for application review

ASCESI: Software used for the technical management of the certification of management system/product activity

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AUDIT (valutazione): (assessment): systematic, independent and documented process to obtain evidence of the audit and objectively evaluate, in order to establish to what extent

the audit criteria (set of policies, procedures or requirements) have been met

AUDITOR (AUD): Auditor (personnel who have the competency requirements established in instruction IS-QPT-BIOC-01) – person who, on the basis of his/her competency and

knowledge, is able to collaborate in performing audits on biofuel and bioliquid sustainability systems, operating autonomously under the guidance of a Lead Auditor

AUD/LA IN TRAINING : Person who follows the work of Aud/LA in order to acquire the necessary operational experience as foreseen for Auditor/Lead Auditor

COMPETENT NATIONAL AUTHORITIES: Ministry of the Environment and for Protection of the Land and Sea, Ministry for Economic Development and the Ministry for

Agricultural, Food and Forestry Policies

CAI-C: Software used for the economic management of the certification activity

CERTIFICATE OF CONFORMITY: document which states that an organisation’s biofuel and bioliquid sustainability system complies with the reference scheme

CM: Certification Manager (in charge of the operational office) CO CERTIFICATION OFFICES): RINA offices responsible for managing certification files

BEACH OPERATOR: Organisation responsible for managing and controlling the beach, including public management, as well as its area of influence. INDIPENDENT

TECHNICAL REVIEWER (ITR): one or more technicians with the aim of evaluating certification after the audit activity or DM Decision Maker for ASCESI LEAD AUDITOR (LA) : person who, on the basis of his/her competency and knowledge, is able to:

• prepare, organise and perform management system audits; • coordinate the work of the audit team members; • instruct the auditors on the method of execution and guide and control prepare and check audit reports; • maintain interface relations with the organisation during the audit

M/D: man/days NEWAGE: Software used to manage the competencies of the personnel involved in the certification process

NC: Non Conformity

MAJOR NON CONFORMITY OR TYPE A FINDINGS: • total absence of application of one or more requirements of the reference Standard; • situation that can lead to a remarkable deficiency; • non respect of one or more requirements of applicable Rules.

MINOR NON CONFORMITY OF TYPE B FINDINGS: situazioni, suche as those mentioned at the previous point, demmed non particularly relevant for conformity.

NUMBER OF EMPLOYEES: personnel involved in the activities related to ISO 13009 Standard (including personnel who performs outsourced activity). In case the Organisation

performs other activities or offers other servics not related to the requirements of the ISO 13009 Standard, only the beach operation personnel, performing activities mentioned in

the Standard, are to be considered.

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OdC: Certification Body

OPN: Operational Network

OU: Operative Unit PROGRAMME REVIEWER (PR): Responsible for the audit programme and technical/managerial responsibility relevant to the certification files assigned to him/her and responsible for the implementation of the three-year audit programme for the file assigned

PVI: Audit Plan

PVP: Programme of periodical surveilance audits (general planning document of the audits to be performed during the period of validity of the certificate) QI: Informative questionnaire, filled in by the client and containing all the data needed to draw up an offer

QPT: Sustainability, Environment & Climate Change Sector

RVI: Audit report SEG: Secretariat of the OPN offices

BEACH OPERATION SERVICE: activities including the organisation and managament of recreational activities, coastguard and protection, sport activities, educational, social,

cultural, religious or sport events, nature preservation, fishing, military activities, health and safety. SL (Scheme Leader): Responsible for managing the specific sustainability scheme

SPIAGGIA : natural or artificial area, formed by sarea naturale o artificiale, formata da sabbia, ghiaia, rocce o altro materiale, che facilita l’accesso al mare o all’area balneare dove

si svolgono le attività ricreative e dove sono forniti anche gli altri servizi forniti dal gestore della spiaggia.

TL (Team leader): Responsabile del Gruppo di audit, personale che possiede tutti i requisiti di competenza previsti dal ruolo di Lead Auditor, al quale è stata assegnata la

responsabilità dell’audit

CONTROL AIM : reason for the control

CONTROL AND RESPONSIBILITY : activity necessary to obtain, with reasonable certainty, the achievement of an objective

4 REFERENCES

� ISO 13009:2015 Tourism and related services -- Requirements and recommendations for beach operation

� RULES FOR THE CERTIFICATION OF BEACH OPERATION ACCORDING TO ISO 13009

� IS-QPT-13009-01 “ Qualification of personnel involved in certification of beach operation according to ISO 13009”

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� IS-QPT-13009-02 “Audit activity for certofocation of beach operation acoording to ISO 13009”

5 CERTIFICATION PROCESS

5.1 DESCRIPTION

The main phases of the certification process are those closely connected with the provision of the service, aimed at achieving the final result. They take place sequentially or are

conditioned by the attainment of a specific result or by a client request. The certification process is schematically shown below:

The critical phases of the process are:

1. Application review

2. Audit programme

3. Audit activities

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4. Certification decision, issue and management of the certificate

The certification process is kept under control, from an technical, operational and economic point of view, by QPT.

The records of the certified organisations are kept by the pertinent CO for the current period of validity of the certificate and for the previous one.

5.2 APPLICATION REVIEW The following tables apply to the application review of sustainability systems (of biofuels, bioliquids, food and feed,technical/chemical and bioenergy applications), in the case of

requests for first certification, extension/modification of certification, recertification, in accordance with the pertinent rules and accreditation standards.

The personnel who are competent to undertake application reviews are indicated in NEWAGE and/or in specific lists and are identified by the letters AR (Application Reviewer).

AR is responsible for all the application review phases as well as for their correct management and execution.

Note 1 . In CAI-C and ASCESI the name of the certification service is ISO 13009.

Note 2 . With reference to offers, it is to be recalled that, unless specified, the offer does not include the time or cost of any supplementary audit which may be necessary to check

implementation of the resolution of NC identified during the audit. In the case of a supplementary audit, the need to prepare an ad hoc offer will be evaluated with PR.

.

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5.2.1 TABLE A. CERTIFICATION

N. PHASES DESCRIPTION OF ACTIVITY

1

RECEIPT OF REQUEST OF

OFFER AND

INFORMATION FROM THE

ORGANISATION

INPUT Request of offer from an organisation

On receipt of a request for an offer from an organisation, the pertinent office sends the IQ (form 13009_IQ) to the organisation. A representative authorised by the organisation returns the completed IQ (evidence of the person responsible for filling it in can either be the signature on the IQ or dispatch via e-mail or other), together with any other additional documentation. All mandatory fields in the IQ are to be filled in. The non applicable parts are to be indicated as “n.a.”, as evidence that the organisation has taken the field into account.. For the purpose of application review, also information semt by the organisation in another format can be accepted. If organisation is interesting to a framework agreement to effectiveness of management of certification process, please follow the dedicated paragraph.

OUTPUT IQ duly filled in

2 APPLICATION REVIEW

INPUT IQ duly filled in

AR performs the following: • checks the information given in the QI (or sent by mail) by the organisation is complete and adequate • checks the address/number of operational units for which certification is requested • checks the type of activity for which certification is requested • records in the application review form (13009_CRW) all non-documented information sent by the organisation (for example, over the

phone) or reference to available records (i.e. e-mail, fax, etc.) • defines the duration of the contract • if the sampling criterion applies, he/she defines the sample • establishes the risk category the organisation belongs to by filling in the section(s), in appropriate space in the 13009_CRW form, the

time to be given to surveillance audits on the basis of the time given in the table, as well as any reductions or increases • calculates the cost of certification and relative maintenance on the basis of the table of fees, also taking into account the actual time • needed for the service in man/days and justifying any price increases or reductions in the appropriate space in the BIOC_RISKCRW • checks that competent resources, necessary to carry out the audits in the time foreseen, are available • checks the need to use technical experts and/or translators • indicates a PR

To calculate the audit time, see the Annex “Audit time” in this instruction.

In order to avoid using external or autonomous personnel or personnel belonging to companies which act on behalf of RINA, who in the last three years have carried out one of the activities classified as at risk (for example, consultancy, internal audits, etc.), AR must identify, by examining the IQ filled in by the organisation, the consultancy company and the name of the person assigned to perform the consultancy work

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N. PHASES DESCRIPTION OF ACTIVITY

and record it in the specific space in the 13009_CRW form. Where the person who performed the consultancy work is also a nonexclusive RINA auditor, this person must not be appointed for the assessment. Note . At the request of the client, an estimate for a preliminary audit (readiness for assessment) may be given; this audit is not to be of a consultancy nature, is to last not more than 1 man/day and its outcome is not to be taken into account for the purpose of certification

OUTPUT 13009_CRW form filled in by AR

3 DRAWING UP THE OFFER

INPUT 13009_CRW form filled in by AR

SEG draws up the offer.

SM or CM (or delegated person) checks and signs the offer which is sent to the organisation together with the request form 13009_RCER. The offer has to be prepared using CAI-C for the main data, but drawn up on the 13009_OFFER word form. The definitive offer in word and pdf in all its revisions shall be filed in CAI-C.

OUTPUT Offer sent to the Organisation

4 RECEIPT OF

CERTIFICATION REQUEST

AND PRACTICE OPENING

INPUT Certification Request / Purchase order recived from the Organisation

The organisation has to formalize its purchase order by sending to the office the “Request” form, or another oreder subscribed by the a Head Officer or other legal representative.

AR examines the request/order received from the client to verify it is complete and consistent with the offer sent and with what is defined in the 13009_CRW form and confirms assignment of the audit programme management to a PR. SEG records acceptance of the offer in CAI-C, inserting the name of the PR, fills in the “Contract confirmation” (13009_COA form) and sends it via mail to the client and the registration form to the member area. At the same time, the process for the technical management of the file is started in ASCESI.

OUTPUT “Contract confirmation” sent to the client Certification process started in ASCESI

5

ARCHIVIAZIONE /

CONSERVAZIONE DELLA

DOCUMENTAZIONE

CONTRATTUALE

INPUT Contractual documentation complete

SEG checks the contractual documentation is complete (QI, 13009_CRW form) and files it in CAI-C

OUTPUT Contractual documentation filed

5.2.2 TABLE B. RECERTIFICATION

No PHASE DESCRIPTION OF ACTIVITY

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1

RECEIPT OF

INFORMATION

FROM

APPLICANT

ORGANISATIO

N

INPUT PVP – Recertification audit programming

At least 3 months prior to the deadline for the recertification audit, the pertinent office sends the QI to the client. Same rules from table A – phase 1 – par. 5.2 apply.

OUTPUT Informative Questionnaire (QI) duly filled in

2 APPLICATION

REVIEW

INPUT Informative Questionnaire (QI) duly filled in

AR carries, on receipt of the QI, checks whether there are any changes which could necessitate modifying the contract and: • if the conditions are such that the contract needs to be amended and a new offer prepared, AR performs a complete, new application review • otherwise, the contract in force remains valid and AR records his/her decision in the “BIOC_RISKCRW” form and confirms it in ASCESI, by ticking

the specific step “CONFIRM VERIFICATION OF DATA COMMUNICATED BY THE CLIENT” If it is necessary to perform application review, AR carries out the activities specified in Table A Phase 2, possibly confirming the data already acquired during first certification and calculating time and cost for the upcoming recertification and subsequent maintenance (surveillance and recertification). OUTPUT 13009_CRW form approved/confirmed by AR

Step in ASCESI “CONFIRM VERIFICATION OF DATA COMMUNICATED BY THE CLIENT”

3 DRAWING UP

THE OFFER

INPUT 13009_CRW form approved/confirmed by AR Step in ASCESI “CONFIRM VERIFICATION OF DATA COMMUNICATED BY THE CLIENT”

SEG carries out the following activities in relation to the type of case shown below: if the conditions are such that the contract needs to be amended, SEG prepares a new offer; otherwise, if the contract in force remains valid, SEG starts the recertification process in ASCESI and sends the client the communication available in ASCESI, adding the step “Generic document – Generic fax – Validity offer/contract confirmed”. The new offer contains the cost and time needed for the upcoming recertification and all subsequent surveillance and recertification audits. Same rules from Table A – phase 3 – par. 5.2 apply OUTPUT Offer sent to the client

Communication of offer/ contract validity confirmation sent to the client

4

RECEIPT OF

CERTIFICATION

REQUEST AND

JOB OPENING

INPUT Certification request /Purchase order received from the client

Same rules from Table A – phase 4 – par. 5.2 apply

OUTPUT “Contract confirmation” sent to the client Process started in ASCESI

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5

FILING

/KEEPING THE

CONTRACTUAL

DOCUMENTATI

ON



OUTPUT Contractual documentation filed 5.2.3 TABLE C. EXTENSION/MODIFICATION OF CERTIFICAT ION FOLLOWING CLIENT REQUEST


1

RECEIPT OF

INFORMATION

FROM THE

CLIENT

INPUT Client request to modify certification

During the validity of certification, the client may ask for certification to be modified, such as: 1) Change of company name 2) Change of registered address if it is not an office subject to certification 3) Change of address of sites subject to certification 4) Extension of certification to new sites 5) Extension of the certification scope 6) Reduction in the field of application of certification (i.e. reduction of sites /activities) If the client asks for a modification which does not entail an on-site audit (i.e.: cases 1, 2 and 6), it is sufficient to receive a written communication from the client with evidence of the modification (i.e. chamber of commerce or similar document, etc.). This type of request is normally managed by the PR (see paragraph 5.3) and it is not necessary to perform a new application review. In cases where changes to certification lead to the need for an on-site audit (cases 3, 4 and 5 mentioned above), the pertinent office sends the QI to the client. Same rules from Table A – phase 1 – par. 5.2 apply

OUTPUT Informative Questionnaire (QI) duly filled in / Communication from the client and pertinent enclosures

2 APPLICATION

REVIEW

INPUT Informative Questionnaire (QI) duly filled in / Communication from the client and pertinent enclosures

On receipt of the QI, AR must: • calculate the time needed to carry out the extension • assess any changes to be made to the PVP for subsequent surveillance (for SNC) and recertification audits.

As a result of the above assessment, the following two cases may occur: CASE A If duration and number of future surveillance audits or the duration of recertification need to be modified, the request is to be managed through a new

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offer. AR is to perform a new review, filling in the 13009_CRW form. Same rules from Table A – phase 2 – par. 5.2 apply. CASE B If the, duration and number of future surveillance audits or the duration of recertification do not need to be modified, the extension can be performed during an audit extra or at the time of the surveillance/recertification audit. In this case, as well as the points foreseen in the PVP, the organisation’s activities concerned by the changes, due to amendments to the System, are to be examined. In this case, AR records in the last BIOC_RISKCRW performed the reasons for choosing case B and the man/days with relative cost of the extension audit. To calculate the audit time, see the Annex “Audit time” in this instruction.

OUTPUT 13009_CRW form approved/confirmed by AR

3 PREPARATION

OF THE OFFER

INPUT 13009_CRW form approved/confirmed by AR

SEG carries out the following activities in relation to the type of case shown below:

• if the client requests an amendment to certification which does not involve an on-site audit, SEG records the amendment in the IT system, informs PR and sends a message to SL specifying the reason for the request of a new signature; the reason is also to be indicated in the notes field in ASCESI with the date of the request for a new signature. In the case of ISCC, SL informs ISCC of the amendment made

• if the client requests an amendment to certification which involves an on-site audit, then: CASE A SEG prepares the offer in CAI-C and draws it up on an appropriate form of the BIOC_Offerta series CASE B SEG modifies the existing contract in CAI-C and sends a fax concerning contractual revision if an extra audit is to be performed or additional costs are to be inserted in the contract compared to the existing contract or a confirmation fax in the case of an extension to be carried out during a surveillance/recertification audit at no additional cost.

SM or CM (or delegated person) checks and signs the offer which is sent to the client. The offer and faxes related to contractual revision are filed in CAI-C.

OUTPUT Offer sent to client Communication of contractual revision sent to the client Communication of confirmation of extension sent to the client

4

RECEIPT OF

CERTIFICATION

REQUEST AND

PREPARATION

OF FILE

INPUT Extension request / Purchase order received from the client Contractual revision accepted by the client BIOC_RISKCRW form confirmed by AR


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OUTPUT “Contract confirmed” sent to the client Extra/surv/recert or extension process started in ASCESI

5

FILING

/KEEPING THE

CONTRACTUAL

DOCUMENTATI

ON



OUTPUT Contractual documentation filed

5.3 AUDIT PROGRAMME

The following tables apply to the programming activities of all types of audit for the certification of beach opeartion; in particular, the programming includes an initial certification

audit, a certain number of surveillance audits and a recertification audit to be performed prior to the expiry date of the certificate. At the request of the client, a pre-audit may be

carried out whose duration is not to exceed 1 m/d and whose outcome is not to be taken into account for certification purposes.

The personnel who are competent to undertake audit programming activities are indicated in NEWAGE and/or in specific lists and are identified by the letters PR (Programme

Reviewer).

PR is responsible for establishing, confirming and modifying the audit programme, programming the audits, selecting the members of the audit team, managing communications

with the client in accordance with the requirements of this instruction.

5.3.1. TABLE A: CERTIFICATION PROCESS


1 VERIFICATION

OF CLIENT

INFORMATION

INPUT Process in ASCESI started Audit Programme defined in 13009_CRW

On the basis of the available documentation: - Q.I. - contract review - offer accepted by the client

PR checks: � correct input of data in ASCESI (see paragraph 5.3.5) � type of process to be managed

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� the method foreseen for carrying out the audit OUTPUT Data identified (and in case, integrated) in ASCESI

2

AUDIT TEAM

SELECTION

AND

APPOINTMENT

INPUT Data identified (and in case, integrated) in ASCESI

Before carrying out the audit, PR defines the composition of the Audit Team on the basis of the competency required and assigns the role of Team Leader. The competencies of the auditors to be assigned are available in the SW NEWAGE. To safeguard the independence of the audit, every member of the team, LEAD AUDITOR/AUDITOR/EXPERT, is to inform PR of any relationship which exists or has existed in the last two years with the organisation subject to audit, prior to accepting the assignment regarding that organisation.

The audit team may also be accompanied by a Aud/ LA in training whose participation is purely for training purposes and therefore takes no active part in

the audit. When deciding the size and composition of the audit team, it is necessary to consider the following: � the members of the audit team must be Auditor, Lead Auditor or Expert and, if non exclusive, they must have a valid contract with RINA � the Team Leader must be a Lead Auditor � the Team Leader and Cotemer must be qualified for the scheme ISO 13009 � the members of the audit team must not have been involved in the provision of the consultancy service to the organisation; evidence of verification is

recorded in the specific field in ASCESI � an audit day consists of at least 8 hours, excluding travelling time � the objectives, field of application, criteria, certification requirements (including the applicable legislative requirements) and estimated audit time � whether the audit is of the integrated type � language � whether the audit team members have previously audited the client’s system. OUTPUT Audit team inserted in ASCESI

3

COMMUNICATI

ONS TO BE

SENT TO THE

ORGANISATIO

N BEFORE THE

AUDIT

INPUT Audit team defined The names and roles of the audit team members are to be communicated to the client in sufficient time to allow the latter to object to the appointment of individual members and to re-form the audit team should PR consider the objection valid. For this purpose, it is necessary to complete in ASCESI and send the following documents:

• “Dispatch audit plan” and “Audit plan” The “Dispatch audit plan” document can by substiuted by an e-mail. For the preparation of the audit plan, which is TL’s responsibility, see IS-QPT-13009-02. These communications can be filled in outside ASCESI and uploaded subsequently. Any subsequent amendments to the audit plan already sent (change in audit team, audit dates, etc.) are to be promptly communicated to the organisation.

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OUTPUT Communications sent to the organisation

4 CERTIFICATION

AUDIT

INPUT Audit planned

The certification audit is performed by the audit team and the audit report is drawn up by the audit team using ASCESI; in the case ASCESI was not available it is possible to use the 13009_VR form. The analysis of causes, corrections and corrective action proposed by the organisation are approved by the TL or other competent Lead Auditor. For details of the activities performed by the audit team, see IS-QPT-13009-02. OUTPUT Audit documents received from the Team Leader (if the beach operation is compliant, go to phase 6)

5

FOLLOW-UP

AND ANY

SUPPLEMENTA

RY AUDIT

INPUT Audit outcome: beach operation not compliant

Presence of major NC (type A) � the NC are to be resolved – with pertinent evidence -within 90 days from the end of the audit;RINA can carry out a supplementary audit, aimed at

verifying the correct application of corrective actions proposed. Certification may be reinstated following the positive outcome of a supplementary audit. When the 90 days period ends, a new audit has to be performed within 6 months from the date of the finding. Aftare the end of the overmentioned 6 months period, RINA will be able to consider the certification practice closed, and will charge to the organistion all the costs and expenses undertaken until the closure. If the organisation wished to go on with RINA cretification, it will have to submit a new request and repeat the certification iter.

Presence of minor NC (type B): � coorective actions have to presented within an acceptable date – decided by the Audit team – and their implementaion is going to be verified during

the subsequent surveillance audit. For both types of NC, the client is to propose, by the deadline established by the team, the analysis of causes, corrections and corrective action and the time frame to resolve the NC. The TL is responsible for the analysis of causes, corrections and corrective action and the time frame proposed (see IS-QPT-13009-02). In order to verify that the CA have been implemented, a supplementary audit may be carried out whose duration and method are defined by PR in conjunction with the TL on the basis of the number and type of NC which have emerged: a) supplementary audit on a documental basis, if corrective action/corrections can be checked by simply analysing documents

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b) supplementary audit on-site to verify only implementation of the corrective action c) supplementary audit on-site of all requirements of the scheme to verify not only implementation of the corrective action but also to verify the system as a whole as the audit team considers it deficient (number of NC even if only type B). The Audit team must include at least one member who performed the previous audit, chosen in relation to the type of findings which has made the supplementary audit necessary. A “Supplementary audit” step in the initial audit process and a step relevant to “Communication of need for supplementary audit” to be sent to the client are to be added in ASCESI. OUTPUT Supplementary audit documentation received from the Team Leader

6 POST-AUDIT

ACTIVITIES

INPUT Audit documents complete

Same rules from table A – phase 5 – par. 5.3.1 apply.

After the audit has been carried out, PR : � in conjunction with TL, prepares the surveillance audit programme (PVP) in compliance with the following:

the date of the first surveillance audit after the initial audit corresponds to the date proposed by the audit team on the last page of the certification RVI which is to be not more than 12 months from the last day of the initial audit.

the recertification date is to be within 60 days of the expiry date of the certificate to enable the recertification process to be completed by the expiry date of the certificate, bearing in mind the 60 days allowed for the implementation of any AC

the audit number and time indicated for the surveillance, unannounced and recertification audits are to be aligned with what is established in the application review.

OUTPUT Definition of the surveillance audit programme (PVP)

7 CERTIFICATION

PROPOSAL

INPUT Positive outcome of on-site audit and definition of PVP PR carries out the following activities: � fills in the document “Iter” in ASCESI (certification process and certification proposal, ensuring that company name and addresses of the operational

sites are consistent with those in the Chamber of Commerce registration or equivalent document) � prepares the documents to be sent to the DM(s) for the certification decision: Chamber of Commerce registration (or equivalent), QI and 13009_CRW, audit report signed by the organisation, checklists and/or observation sheets (for SNC), ITER (certification proposal Remark : audit plan and PVP (again for SNC, when applicable for ISCC) shall be available in ASCESI associated to pertinent step. � files all the documents in the specific section “Attachment” created in ASCESI (see paragraph 5.3.5) � uploads the process in “Certify process” so that, following the positive outcome of the independent review of the file, the pertinent certificate may be

issued

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� identifies in NewAge or in specific lists, the competent ITR or ITRs within own organisational structure in the specific scheme and independent (with respect to the Audit team)

� assigns the competent and independent verification of the certification proposal to one or more ITR in “Certify process” using the "Assign Decision Maker" button; an e-mail is automatically sent to the identified ITR(s). If the assignment cannot be made through ASCESI, PR is to send an e-mail to the DM asking him/her to perform an independent review of the file

� deals with any comments from the ITR in the file review checklist, involving the TL, if necessary. ITR IDENTIFICATION CRITERION � In the absence of adequate competency/independence in the office, PR is to assign the certification proposal to one or more competent and

independent ITR(s) within own organisational structure or Country or Area or within the whole OPN network. � If the ITR(s) selected do/does not understand the local language, the documents which make up the proposal are to be translated into English. The certification proposal is to be submitted for verification within 7 working days from the date of the end of the last audit carried out (certification or supplementary). OUTPUT Filing in ASCESI of all the documents for the certification proposal

Process in “Certify process”

8 CERTIFICATION

DECISION

INPUT Process in “Certify process” with filed proposal

The certification decision is made by the ITR(s). PR deals with any comments from the ITR(s) in the file review checklist (13009_CHK_ITR form) involving, if necessary, the TL. The activities related to the certification decision are indicated in paragraph 5.5. OUTPUT Certificate issued

9

ACTIVITIES FOLLOWING ISSUE OF THE CERTIFICATE

INPUT Certificate issued

PR is responsible for the following activities: � sends the client the “Communication of certification” following issue of the certificate � checks the signed certificate is available for the client, if the payment conditions have been met.

ASCESI automatically makes the certificate available in the client’s “member area“, as well as a copy on the RINA internet site for the public; in the case � sends the “Communication of publication of certificate and documents in the member area” and, if necessary, prints and sends the certificates to the client � checks all the documentation is complete, that it has been filed in the specific folder “Attachment” in ASCESI and that all the steps in ASCESI have been completed (see paragraph 5.3.6) � closes the process

In the case of the ISCC EU and ISCC Plus schemes, SL is responsible for sending to ISCC, via e-mail, the certificate issued and procedures completed

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during the audit by the audit team. OUTPUT Process closed

5.3.2. TABLE B: SURVEILLANCE (OR UNANNOUNCED OR EXT RA) PROCESS


1

INITIATE

PROCESS AND

CONFIRM

CLIENT

INFORMATION

INPUT Surveillance audit programme (PVP)

The methods for carrying out the audits are to be based on what was defined during the application review and on the PVP.

PR is responsible for: � starting the process in ASCESI and confirming the organisation’s data � in the case it is not possible to confirm the organisation’s data, a new revision of the contract review is needed. � checking the correct inclusion of the data in ASCESI.

Surveillance audits are to be carried out by the date given in the PVP; it is possible to grant, for justified reasons and following a written request from the organisation (lack of orders and/or issue of statements of conformity/sustainability certificates; organisational changes, other..), a postponement not exceeding three months; a postponement of more than three months will only be granted in special cases and following a discussion with SL. In the case of a postponement, it’s necessary to fill in the field “Extended to” on the Details page. When planning a surveillance audit, it is necessary to check whether the PVP needs updating on the basis of the problems which occurred during previous audits; in such a case, a note is to be added related to the revision in ASCESI (process notes field). The postponement of a surveillance audit does not change the expiry dates of subsequent audits. OUTPUT Audit programme confirmed or modified

Start process in ASCESI

2

AUDIT TEAM

SELECTION

AND

APPOINTMENT

INPUT Process started in ASCESI

The same rules from Table A – phase 2 – par. 5.3.1 apply OUTPUT Audit team inserted in ASCESI

3

COMMUNICATIONS TO BE SENT TO THE ORGANISATION BEFORE THE AUDIT

INPUT Audit team defined The same rules from Table A – phase 3 – par. 5.3.1 apply OUTPUT Communications sent to the client

4 AUDIT AND INPUT Audit planned

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FOLLOW-UP The same rules from Table A – phase 4 – par. 5.3.1 apply OUTPUT Audit documents received from the Team Leader (for audit without NC, go to phase 6)

5 POSSIBLE

SUPPLEMENTA

RY AUDIT

INPUT Audit outcome: sustainability system not compliant

The same rules from Table A – phase 4 – par. 5.3.1 apply In the case Major NCs were not solved brfore the 90 days term, RINA start the certificate withdrawal procedure (see phase 7) OUTPUT Supplementary audit documentation received from the Team Leader

6 POST-AUDIT

ACTIVITIES


After the audit has been carried out, PR: � checks that the analysis of causes, corrections and corrective action proposed by the organisation have been approved (if applicable) � checks whether it’s necessary to update the PVP on the basis of the problems which emerged during the audit

OUTPUT PVP confirmed or amended

7

START

SUSPENSION/

WITHDRAWAL

PROCEDURE

INPUT Supplementary audit negative

If the outcome of the supplementary audit is negative, PR is to start the suspension procedure and subsequently either the reinstatement or withdrawal procedure. The suspension, withdrawal and reinstatement proposals are to be approved by a DM competent as regards the scheme and are described in paragraphs 5.4.5, 5.4.6, 5.4.7. OUTPUT Certificate suspended, renounced, withdrawn or reinstated

8 CERTIFICATE

UPDATING

INPUT Positive outcome of surveillance audit E-mail requesting certificate updating

PR is responsible for the following activities: - sends client the “Communication certificate has been updated” - if the payment conditions have been met, checks the signed certificate is available (ASCESI automatically makes the certificate available in the client’s “member area “) - checks all the documentation is complete, that it has been filed in the specific folder “Attachment” in ASCESI and that all the steps in ASCESI have been completed (see par. 5.3.5). - closes the process OUTPUT Process closed

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5.3.3. TABLE C: RECERTIFICATION PROCESS


1

INITIATE

PROCESS AND

CONFIRM

CLIENT

INFORMATION

INPUT Client request/order (fixed-term contracts) Upcoming recertification (indefinite contracts)

The methods for carrying out the audits are to be based on what was established during application review and in the PVP. Application review is performed by AR as indicated in PARAGRAPH 5.2. In the case of recertification with a fixed-term contract, the client’s data are acquired through dispatch of the QI dated and signed by a representative of the client and the pertinent processes are automatically started in ASCESI. In the case of recertification with an indefinite contract, it’s necessary to start the process in ASCESI manually and confirm the organisation’s data by ticking the relevant field in ASCESI; if it isn’t possible to confirm the organisation’s data, a new revision of the contract review is to be made.

Following the above activities, PR checks: - correct input of data in ASCESI (see par. 5.3.5) - in the case of organisations with several operational sites, recording of each site in ASCESI in the field related to the operational units together with the reference standard, so that it is visible both in the audit report and on the relative certificate. The whole recertification process, including any su pplementary audits and the certification decision, is to be completed prior to the expiry date on the certificate ; otherwise, a new certification process is to be undertaken. OUTPUT Audit programme defined in the Contract Review confirmed

Process started

2

AUDIT TEAM

SELECTION

AND

APPOINTMENT

INPUT Audit programme defined in BIOC_RISKCRW

The same rules from Table A – phase 2 – par 5.3.1 apply OUTPUT Audit team inserted in ASCESI

3

COMMUNICATIONS TO BE SENT TO THE ORGANISATION BEFORE THE AUDIT

INPUT Audit team defined

The same rules from Table A – phase 3 – par 5.3.1 apply OUTPUT Communications sent to the client

4 AUDIT AND

FOLLOW-UP

INPUT Audit planned

The same rules from Table A – phase 4 – par 5.3.1 apply OUTPUT Audit documents received from the Team Leader (for audit without NC, go to phase 6)

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5 POSSIBLE

SUPPLEMENTA

RY AUDIT


The same rules from Table A – phase 5 – par 5.3.1 apply

The whole recertification process, including any supplementary audit, is to be completed prior to the expiry date on the certificate.

OUTPUT Supplementary audit documentation received from the Team Leader

6 POST-AUDIT

ACTIVITIES


The same rules from Table A – phase 6 – par 5.3.1 apply OUTPUT Definition of the surveillance audit programme (PVP)

7 CERTIFICATION

PROPOSAL

INPUT Positive outcome of on-site audit and definition of PVP

The same rules from Table A – phase 7 – par 5.3.1 apply OUTPUT Filing in ASCESI of all the documents for the certification proposal


8 CERTIFICATION

DECISION

INPUT Process in “Certify process” with filed proposal

The same rules from Table A – phase 8 – par 5.3.1 apply OUTPUT Certificate issued

9



The same rules from Table A – phase 9 – par 5.3.1 apply

PR sends to the organisation the “Communication certificate has been renewed” following issue of the certificate. OUTPUT Process closed

E-mail to ISCC (in the case of ISCC EU and ISCC Plus) 5.3.4 TABLE D: EXTENSION OF CERTIFICATION SCOPE (NE W ACTIVITIES AND/OR SITES)


1 EXTENSION

REQUEST

INPUT Extension request from the organisation (through dispatch of the IQ)

Following a request from a client to extend certification, through dispatch of the dated and signed IQ by the client, PR asks AR to perform the application

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review to check whether any contractual amendments are necessary according to paragraph 5.2. In any case, from a technical point view, extension of the certification scope is to be managed according to the flow of the present table. OUTPUT Process in ASCESI started following application review

2 VERIFICATION

OF CLIENT

INFORMATION

INPUT Process in ASCESI started

On the basis of the available documentation: - IQ sent by the client - 13009_CRW - any new offer accepted by the client PR checks: � type of process to be managed in ASCESI: � extension process in the case of an extension which involves a change in the number of man/days for the audit and consequent need to issue a new

PVP; � surveillance or recertification process in the case of an extension that does not require a change in the number of man/days for the audit and the

extension is assessed at the same time as an audit already foreseen in the PVP; � audit extra process in the case of an extension that does not require a change in the number of man/days for the audit if it is decided to plan an audit

specifically to check the extension, without modifying the existing PVP; � the correct input of the amended data in ASCESI derived from the extension request (i.e. certificate scope modified, new operational sites added, etc.)

(see par. 5.3) Moreover, PR checks, in the case of organisations with several operational sites: � the recording of each additional site in ASCESI in the field related to the operational units together with the reference standard, so that it is visible both

in the audit report and on the relative certificate In any case, in order to keep track of the amendments made to the field of application, PR records them in the “Notes” field in ASCESI. OUTPUT Audit programme defined in the Contract Review confirmed or modified

3

AUDIT TEAM

SELECTION

AND

APPOINTMENT

INPUT Audit programme confirmed or modified

The same rules from Table A – phase 2 – par. 5.3.1 apply OUTPUT Audit team inserted in ASCESI

4

COMMUNICATIONS TO BE SENT TO THE ORGANISATION BEFORE

INPUT Audit team defined

The same rules from Table A – phase 3 – par. 5.3.1 apply

OUTPUT Communications sent to the client

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THE AUDIT

5 AUDIT AND

FOLLOW-UP

INPUT Audit planned

The same rules from Table A – phase 4 – par. 5.3.1 apply OUTPUT Audit documents received from the Team Leader (for audit without NC, go to phase 6)

6 POSSIBLE

SUPPLEMENTA

RY AUDIT


The same rules from Table A – phase 5 – par. 5.3.1 apply OUTPUT Supplementary audit documentation received from the Team Leader

7 POST-AUDIT

ACTIVITIES


The same rules from Table A – phase 6 – par. 5.3.1 apply OUTPUT Definition of the surveillance audit programme (PVP)

8

PROPOSAL TO

EXTEND

CERTIFICATIO

N

INPUT Positive audit outcome and definition of PVP

The same rules from Table A – phase 7 – par. 5.3.1 apply OUTPUT Filing in ASCESI of all the documents for the certification extension proposal


9 CERTIFICATIO

N DECISION

INPUT Process in “Certify process” with filed proposal The same rules from Table A – phase 8 – par. 5.3.1 apply OUTPUT Certificate issued

10



The same rules from Table A – phase 9 – par. 5.3.1 apply OUTPUT Process closed

5.3.1 DATA TO BE INSERTED IN ASCESI Before every audit, it’s necessary to check in ASCESI/Process List that the following information in particular has been correctly inserted: � In “Details ”: Client Data, Head Office and Site Information (i.e. company name and addresses, number of personnel, etc.)

company name and addresses of registered office and operational site(s) are to be inserted as indicated in the Chamber of Commerce registration or equivalent document

� In “Notes ”: any amendments made, for example to the company’s name, list of operational sites, certificate scope and technical area company comes under, addresses of the main office and/or operational sites, etc.

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� In “Operative Units ”: list of all operational sites subject to assessment and which will have to appear in the audit report and on the certificate � In “Contacts ”: contact details of the organisation’s representative to whom the communications generated by ASCESI are to be sent � In “Requests ”:

Details (i.e. n° of personnel) Scope (field of application which will appear on the certificate). The scope will be confirmed and/or modified during certification assessment on the basis of the

information collected by the team and consistency with the activity indicated in the Chamber of Commerce registration (or equivalent document). Operative units (the previously inserted operational sites are to be associated with the reference scheme so that they appear in the audit reports and on the certificate) EA code (the EA codes related to the activities included in the scope of the sustainability system are to be inserted)

� In “Step ”: In surveillance and recertification, insert confirmation date “Verification confirmed of data communicated by the client” In surveillance, insert data Dispatch amended certificates For all processes, insert the start and end dates of the audit in question and related use, in terms of man/days, of each auditor in the audit team

� In “Team”: associate each member of the audit team with the process, assigning to each one the relative role (i.e. Team Leader, Co-teamer, auditor, observer, etc.) and the time dedicated to the audit.

5.4 CERTIFICATION DECISION, ISSUE OF THE CERTIFICATE AND RELATED MANAGEMENT

This paragraph describes the activities related to: � initial certification � recertification � extension � amendment � suspension � reinstatement � withdrawal � renouncement � contract termination

of certification of beach operation performed by RINA.

The personnel who are competent to make certification decisions, issue, amend, suspend, reinstate and withdraw sustainability system certificates is available in NEWAGE and identified as ITR, SL, PR, TL. Their competences are described in instruction IS-QPT-13009-01.

5.4.1 TABLE A: CERTIFICATION AND RECERTIFICATION PR OCESS


1

APPOINTMENT FOR THE VERIFICATION OF THE

INPUT E-mail “ASCESI: DECISION MAKER assignation” or E-mail “Certification proposal verification request”

The appointed ITR receives an e-mail request or notification via e-mail informing him/her of a certification proposal in ASCESI (in Certify process) to

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No PHASE DESCRIPTION OF ACTIVITY CERTIFICATION PROPOSAL

be verified. If ASCESI is not available the PR must send a request to SL. The purpose of the technical review of the certification proposal is to check whether the organisation in question can be certified, by analysing the documentation indicated in the previous tables and it is to be performed within 10 working days from the date the request fo r certification proposal verification is submitted. More than one ITR may be appointed so as to ensure competency in the specific scheme and where requested, in the specific geographical area. The ITR is to be independent of the audit team. OUTPUT Confirmation to PR of acceptance of the assignment

2 PROPOSAL VERIFICATION

INPUT

The ITR checks the proposal on the basis of the information in the checklist BIOC_CHK_ITR and documents which govern assessment activities, referred to in the checklist. If the appointed ITR doesn’t understand the local language, the documents which make up the proposal are to be translated into English. For each element of the checklist, the result is to be recorded: A – if the outcome of the review (which is to be recorded in the NOTES field) leads to the need for additional information before issuing the certificate (file NOT CERTIFIABLE) B - if the outcome of the review (which is to be recorded in the NOTES field) is a marginal observation which does not involve blocking the certification possibility of the file C – if there are no remarks The NOTES field is only to be used to record the above cases and not to record own comments or positive findings. In any case, what is recorded is NEVER to be modified following resolution (a remark classified as A or B is to remain such in the RESULT column). Every checklist filled in is saved in pdf format with the indication in the name of the file of the last date of modification. OUTPUT Checklist filled in by ITR

3 MANAGEMENT OF REMARKS

INPUT Checklist filled in by ITR

PR deals with any remarks made by the ITR and, if necessary, involves the TL and is responsible for: filling in the ACTION part communicating to the ITR that all requested action has been taken.

ITR examines the proposed action. If accepted, the checklist is closed otherwise, it is sent back to PR for proposed further action. OUTPUT Checklist with remarks managed by PR and approved by ITR

4 PRODUCTION OF THE CERTIFICATE

INPUT Checklist with remarks managed by PR and approved by ITR

The ITR through “Certify” in certify process, creates the certificate and checks its content; any amendments to be made to the certificate are communicated to PR via e-mail

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The “certify” operation is to be performed within three months of the certification decision. PR deals with any remarks. Note: Certificate of conformity has an expiry date iof 3 years less one day from the date of issue OUTPUT Certificate of conformity

5 SIGNING THE CERTIFICATE

INPUT Certificate of conformity

Following the positive outcome of the check of the certificate’s content, it is signed electronically by authorised personnel. If ASCESI is not available the SL prepares the certificate using a dedicated form and sending it to the organisation. In the case the payment conditions have been met, ASCESI automatically makes the certificate and PVP available in the organisation’s “member area”, if already activated by the organisation and the data relevant to certification on the RINA internet site for the public. If it is impossible to access internet, the pertinent RINA Office sends a paper copy of the certificate to the organisation. OUTPUT Certificate and PVP available in the organisation’s “member area“. Data relevant to certification available on the “www.rina.org”

site for the public

5.4.2 TABLE B1: EXTENSION MANAGED THROUGH EXTENSION OR RECERTIFICATION PROCESS IN CERTIFY PROCESS


1

EXTENSION OF

CERTIFICATION

to new activities

and/or sites

INPUT E-mail “ASCESI: DECISION MAKER assignation” or E-mail “Certification proposal verification request”

In the case of an extension requiring a change in the number of man/days for future audits (start Extension process) or extension at the same time as recertification, the appointed DM is to proceed as indicated in table A - phases 1 – par 5.4.1. OUTPUT

Amended certificate and PVP available in the organisation’s “member area” Data relevant to certification updated on the “www.rina.org” site for the public

5.4.3 TABLE B2: EXTENSION MANAGED DURING EXTRA OR S URVEILLANCE PROCESS IN CERTIFY PROCESS


1

EXTENSION OF

CERTIFICATION

to new activities

and/or sites

INPUT Process in certify process E-mail “ASCESI: DECISION MAKER assignation” or E-mail “Certification proposal verification request”

In the case of an extension requiring a change in the number of man/days for future audits (start Extension process) or extension at the same time as recertification, the appointed DM is to proceed as indicated in table A - phases 1 – par 5.4.1. OUTPUT

Amended certificate and PVP available in the organisation’s “member area” Data relevant to certification updated on the “www.rina.org” site for the public

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5.4.4 TABLE C: OTHER CHANGES TO THE CERTIFICATE


1 OTHER

CHANGES

INPUT E-mail from PR to ITR

The appointed ITR, competent in the scheme, checks that the changes made to the certificate are appropriate and records the positive outcome of the verification in the NOTES field in ASCESI. OTHER CHANGES means, for example, change in company name, change of address of production sites (subject to audit of new site), updating of data of last audit made (only in the case of SNC). ITR is not expected to check editorial changes to the certificate, such as spelling mistakes, translation, … OUTPUT

Communication of positive outcome of verification to PR

2 RE-ISSUE OF

THE

CERTIFICATE

INPUT Type of changes and positive outcome of verification recorded in the NOTES field in ASCESI

Following the positive outcome of the check, PR informs the personnel authorised to sign the certificate electronically. If the payment conditions have been met, ASCESI automatically makes the certificate available in the client’s “member area”, if already activated by the organisation and the data relevant to certification on the RINA internet site for the public. If it is impossible to access internet, the pertinent RINA Office sends a paper copy of the certificate to the organisation. OUTPUT Amended certificate available in the organisation’s “member area”

Data relevant to certification updated on the “www.rina.org” site for the public 5.4.5 TABLE D: SUSPENSION


1

SUSPENSION

PROCESS

(proposed by

RINA)

INPUT Cases as per the pertinent RINA Rules

If the conditions are right for certification suspension, as established in the “General contract conditions governing system, product and personnel certification” and in the Rules for the scheme, PR will immediately inform the organisation involved, by fax/e-mail, that the procedure for suspension of the certificate has been started and the reason(s) why. After 10 working days, PR prepares the suspension proposal in ASCESI to which supporting documentation may be attached. PR draws up the proposal to suspend the certificate, which is to be checked and approved by CM or by a ITR, indicating the period established for suspension in the “Decision” field. The reasons for suspension and relative maximum period of suspension are:

� If the organisation does not allow to programme and perform the programmed, periodic surveillance audits; � If non-solved minor NCs are found after the times established by RINA

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� If the organisation has not respected the times required for the communications of corrective actions following NCs indicated on the verification report;

� If the organisation has made big internal changes to th site(s), or has moved to another site, without giving prior communication to RINA about these changes;

� When significant modifications to the scope of certification take place without prior communication and acceptance by RINA � In any other circumstance that RINA deems, at his juddgement, to have a negative influence on compliance of the organisation and/or the scope

of certification The maximum period of suspension is six months, calculated starting from the planned audit date. Following validation of suspension by ITR, PR updates the status of the certificate in ASCESI and communicates the suspension to the organisation concerned by registered letter with return receipt; advance notice of this communication is sent by fax/e-mail or PEC. PR files all the documents in the specific folder “Attachment” in ASCESI. OUTPUT Steps related to the suspension action contained in ASCESI completed – Certificate suspended

2

SUSPENSION

PROCEDURE

(requested by

the client)

INPUT Suspension requested by the client

PR, after verifying the validity of the reasons for requesting suspension communicated in writing by the client, in compliance with what is stated in the “General contract conditions governing system, product and personnel certification” and in the rules related to the various certification schemes, prepares the proposal to suspend the certificate and sends it to CM who, if in agreement, may grant a period of suspension generally of six months, calculated starting from the moment of the request and which may be extended, in exceptional cases, for up to twelve months. Following validation of suspension by CM, PR updates the status of the certificate in ASCESI and communicates the suspension to the organisation concerned by registered letter with return receipt; advance notice of this communication is sent by fax/e-mail or PEC. PR files all the documents in the specific folder “Attachment” in ASCESI. OUTPUT Steps related to the suspension action contained in ASCESI completed – Pertinent communications sent to the client -

Certificate suspended 5.4.6 TABLE E: REINSTATEMENT


1

REINSTATEME

NT

PROCEDURE

FOLLOWING

SUSPENSION

INPUT Reason(s) for suspension resolved

In case the suspension has been motivated after negative outcome of the audit , the certificate may be reinstated following verification that the conditions which led to suspension have been remedied, through a supplementary audit, with positive outcome within a maximum of 30 days from that suspension.

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In case the conditions which lead to the suspensione have not ben remedied after the overmentioned term, the certificate is suspended. PR sends the proposal to reinstate the certificate, together with documentation supporting the proposal, (i.e. verification report, etc.) for approval. Following approval by CM/ITR of the proposal to reinstate the certificate, PR updates the status of the certificate in ASCESI and communicates the reinstatement to the organisation concerned by registered letter with return receipt; advance notice of this communication is sent by fax/e-mail or PEC. PR files all the documents in the specific folder “Attachment” in ASCESI. OUTPUT Steps related to the reinstatement action contained in ASCESI completed – Pertinent communications sent to the client -

Certificate valid

5.4.7 TABLE F: WITHDRAWAL


1

WITHDRAWAL

PROCEDURE

REQUESTED

BY RINA

INPUT Suspension period expired – Cases as per the pertinent RINA Rules

Certification can be withdrawn, as established in the “GENERAL CONTRACT CONDITIONS GOVERNING SYSTEM, PRODUCT AND PERSONNEL CERTIFICATION” and in the following cases:

� In case of conditions, such as those mentioned at par. 5.4.5 for the suspension, deemd particularly serious; � If Major NCs are found during the the period and surveillance audits; � In the case the organisation improperly use and publicize the obtained certification � In the case the supplementary audit for reinstatement of suspension has had negeative outcome and the NCs have not been removed

PR will immediately inform the organisation involved, by fax/e-mail, that the procedure for withdrawal of the certificate has been started and the reason(s) why. After 10 working days, PR prepares the withdrawal proposal in ASCESI to which supporting documentation may be attached, which is to be approved. Following approval by CM/ITR of the proposal to withdraw the certificate, PR updates the status of the certificate in ASCESI and communicates the withdrawal to the organisation concerned by registered letter with return receipt; advance notice of this communication is sent by fax/e-mail or PEC. PR files all the documents in the specific folder “Attachment” in ASCESI. OUTPUT Steps related to the withdrawal action contained in ASCESI completed – Pertinent communications sent to the client –

Certificate withdrawn 5.4.8 TABLE G: RENOUNCEMENT


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1

RENOUNCEME

NT

PROCEDURE

REQUESTED

BY THE CLIENT

INPUT Renouncement requested by the client

If a certified organisation communicates its intention to renounce certification, PR will immediately inform the organisation by fax/e-mail that the certification renouncement procedure has been started, that the certificate will no longer be valid from the date of the communication and that the status of invalid certificate will be recorded in the list of certified organisations. Subsequently, PR updates the status of the certificate in ASCESI and confirms renouncement of certification to the organisation by registered letter with return receipt; advance notice of this communication is sent by fax/e-mail or PEC. PR files all the documents in the specific folder “Attachment” in ASCESI. OUTPUT Steps related to the renouncement action contained in ASCESI completed – Pertinent communications sent to the client -

Certificate renounced

5.5 INVOICING

Invoicing is carried out in relation to the type of contract, at various stages of the certification process, by the offices (CO) of the operational network (OPN), using the CAI-C

software programme.

5.6 FRAMEWORK AGREEMENT

Rina foresees the possibility of framework agreements in the case where the certification involves, in addition to the organization of reference, also organisations

contractually linked to the organization of reference and / or managed with a common system or having the same characteristics.

In such cases, in order to ensure an adequate exchange of information, the subject signer of the framework contract, other than the beneficiary of certification, is

committed to providing all the information of interest related to each organization for which certification is to be issued. In addition, the application for certification

must be signed by both parties.

From an operational point of view because many checks are made on a global level, the same REVIEW can be traced to the review done for the subject holder of

the framework contract.

RINA IL PROCESSO DI CERTIFICAZIONE DELLA GESTIONE DELLE SPIAGGE PER CONFORMITÀ ALLO

STANDARD ISO 13009

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ANNEX

AUDIT TIME

The total time , in man/days, to audit an organisation, includes the time spent on planning the audit, document review, on-site visit, reporting and file management in general,

inclusind the time for independent technical review.

During the application review, AR has to properly calculate the time to be spent for each visit, based on the complexity of the organisation. The following table 1 shows a reference

view that has to be used to determine the correct audit duration but these time can be increased or decresed considering other criteria as those reported as follow.

The duration of surveillance and recertification audits follows the criterion of 1/3 and ½ of the initial audit, but can be adjusted basing on the complexity of the annual situation to be

verified.

Tabella 1. Audit time related to the number of employees

Effective number of

employees

First audit total audit time (man/days)

from 1 to 10 1,0

from 11 to 25 1,5

from 26 to 45 2,0

from 46 to 65 2,5

from 66 to 85 3

from 86 to 125 3,5

from 126 to 175 4

from 176 to 300 5

>300 Follow previous progression

Audit time must ne motivated by AR.

The time spent by the technical expert has to be considered in the application review for the economic value of the audit, and can be counted in the time to spent for the audit.

RINA IL PROCESSO DI CERTIFICAZIONE DELLA GESTIONE DELLE SPIAGGE PER CONFORMITÀ ALLO

STANDARD ISO 13009

IS-QPT-13009-00 Rev. 2

Pagina 32 di 32

Table 2 . Reaons for increase or reduction of the audit time

INCREASE OF REDUCTION OF AUDIT TIME: CRITERIA

Surface

Framework Agreement

Requested field of application

Opening weeks per year

Beach carrying capacity

Joint verification with other management system /certification (e.g. ECOBLU)

Complex activity

Personnel speaking different languages (if this conditions makes the use of one or more interpret necessary, or does not allow single auditors to work independently)

Other motivated criteria

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