Certification Procedures
1. Audit process
Certification process:
- Pre-certification Activities: Involves the application process where Zertia collects necessary information from the applicant, including the scope of certification, organizational details, outsourced processes, and any consultancy provided.
- Application Review: Zertia reviews the application to ensure all required information is complete and prepares for the audit program.
- Audit Planning: This includes determining audit objectives, scope, criteria, selecting the audit team, and creating an audit plan.
- Initial Certification Audit: Zertia’s experienced audit team conducts a stage 1 audit to review the client’s management system documentation, site conditions, and preparedness for stage 2. The audit client will receive an audit report with any findings that need to be addressed during subsequent stages. During stage 2 aud audit team will assess conformity of the management system with applicable requirements, including evaluation of the management system’s implementation and effectiveness.
Any nonconformities must be addressed through corrective action before a certificate can be issued. - Surveillance and Recertification: The certification is valid for three years, with surveillance audits occurring every six to twelve months to monitor compliance and address nonconformities. Recertification will take place three months before the certificate’s expiration, initiating a new certification cycle.
2. Processes for granting, refusing, maintaining, renewing, suspending, restoring or withdrawing certification or expanding or reducing the scope of certification.
Granting certification:
To be recommended for certification, all nonconformities must be addressed through appropriate corrective action within the allotted time frame. For major nonconformities Zertia will verify that corrective actions have been implemented. If implementation of corrections and corrective actions for major nonconformities cannot be verified within 6 months after the last day of stage 2, another stage 2 audit must take place prior to recommending certification.
For minor nonconformities Zertia reviews if a corrective action plan has been established. Effectiveness of corrective actions will be verified during subsequent audits.
A certificate is issued after a complete review of the audit file to ensure that there is sufficient evidence to support a certification decision. Client must be in good financial standing with Zertia before a certificate can be issued.
Certification can be refused if there is insufficient evidence that of the management system meeting the audit criteria, if the client is not in good financial standing with Zertia, or if any contractual arrangements are not honored.
Maintaining certification:
The certification is valid for three years, with surveillance audits occurring every six to twelve months to monitor compliance and address nonconformities. Recertification will take place three months before the certificate’s expiration, initiating a new certification cycle.
Suspending certification:
Reason | Action |
---|---|
7.1.2.1 The client’s certified management system has persistently or seriously failed to meet certification requirements which has become apparent by one of the following: | |
ot effectively addressing a major nonconformity, | Immediate suspension after the term for addressing the major nonconformity at its second occurrence has ended. |
A complete system break-down, | Discuss with client the option for voluntary suspension until they have bridged the gap within their management system. Immediate suspension after detection of the complete system break-down. |
Not responding with corrective actions to nonconformities within the allotted timeframe, | For a major NC: Immediate suspension after the term for addressing the corrective action has passed. For a minor NC: Certification Manager and Lead Auditor review the case and decide on a possible extension of the time frame to address the NC; send a warning letter to the client indicating the extension and subsequent suspension if they fail to respond. |
Violations of the rules for the use of Zertia’s or the accreditation body’s marks and logos, | After the fact has been known, Certification Coordinator sends letter to client indicating the finding and requesting immediate correction within a reasonable time frame depending on the type of violation. |
Not responding to complaints or not addressing valid complaints. | Immediate suspension after the term for addressing complaints as per P5-7 Complaints procedure has passed. |
7.1.2.2 The client does not allow surveillance or recertification audits to be conducted at the required frequencies including: | |
Not responding to communication from Zertia regarding audit scheduling and planning, | Certification is suspended at the next anniversary of certification decision. For example: if initial certification decision was on 15-June-2024 and client fails to respond to communication regarding audit scheduling and planning, certification will be suspended effective 15-June-2025. |
Not cooperating in the scheduling or planning of audits. | Certification is suspended at the next anniversary of certification decision. For example: if initial certification decision was on 15-June-2024 and client fails to respond to communication regarding audit scheduling and planning, certification will be suspended effective 15-June-2025. |
7.1.2.3 The client requests suspension. | As agreed between Zertia and the client. |
7.1.2.4 The client does not pay Zertia’s bills within the established payment terms. | Send warning letter to client. As long as certification schedule and activities have been according to audit/certification program and the failure is administrative, an extension may be granted by the Certification Manager. |
Re-instating certification:
Certification will be re-instated after the issue that triggered the suspension has been resolved. In any case the rest of the audit program with an audit cycle including the dates re-certification is due will not change. For example: if an audit takes place five months after it was due (leading to suspension), the established dates for subsequent audits and the due date for recertification remain unchanged.
Certification can be restored within 6 months after expiration date provided that outstanding recertification activities are completed. If that does not occur, certification may be withdrawn, and a full initial certification audit may be necessary.
Withdrawing certification:
Certification will be withdrawn if the client fails to address the established actions within the allotted timeframe. Suspension must not exceed six months. After six months of suspension the certification is withdrawn.
Certification Manager decides on withdrawal of certification and notified client. Client may request withdrawal.
Withdrawn certifications may not be re-instated. If the client wishes to continue with their certification they will have to re-apply and a new audit program will be established.
Reducing the scope of certification:
If certain parts of the management system, persistently or seriously fail to meet the certification requirements the scope may be reduced to exclude those parts. For example, if the management system requirements are not met for some of the products that were originally within the scope of certification, the scope may be reduced to exclude those products or sites. In this case agreement should be reached with the client to determine subsequent actions and time frames.
A new certificate must be issued with the new scope, and clients must return or provide a written declaration that the original certificate has been destroyed.
Expanding scope of certification:
Client may require a scope extension to include, for example, other products, services, processes or sites. Scope extensions are usually dealt with during annual surveillance or recertification audits, unless the client requires an immediate extension.
3. Types of management system certifications
ISO/IEC 42001:2023 Information technology – Artificial intelligence – Management System
4. Conditions for the use of Zertia’s name and certification mark
Pending.
5. Processes for handling requests for information, complaints and appeals
In case of any diverging opinions regarding audit findings or conclusions, the first step is to discuss and resolve them between the audit team and the client. However, if not resolved, the client has the right to complain or appeal.
Complaints:
Complaints may be received from clients or other interested parties and typically relate to the conduct of Zertia personnel or subcontractors who perform work for or on behalf of Zertia, or they may relate to the way certain activities are performed. Clients or users of the services of an organization that has been certified by Zertia may also complain about the certified organization.
Complaints can be submitted by the following means:
- By email to hello@zertia.ai
- Verbally by telephone to a Zertia associate.
All complaints will be investigated, and appropriate action will be taken.
Complainant will receive a resolution or progress report within one month after lodging the complaint, and every month thereafter, until the complaint has been resolved.
Appeals:
A certification client may not agree with a certification decision or a decision to suspend, withdraw or reduce the scope of certification.
Zertia is responsible for all decisions at all levels of the appeals-handling process.
To ensure impartiality, all personnel engaged in the appeals-handing process are different from those who carried out the audits and made the certification decision.
Submission, investigation and decision on appeals will not result in any discriminatory actions against the appellant.
Appeals must be submitted in writing by any of the following:
- through a link on Zertia’s webpage
- by email to hello@zertia.ai
and include the following information: - Audit client, audit scope, audit date(s), audit reference number
- Point of contact name, email and phone number
- Reason and justification for the appeal
- Any supporting information
Appeals are reviewed by an appeals committee who will make a decision on the appeal.
Appellant will receive a progress report one month after the appeal has been received by Zertia, and every month thereafter, until resolution has been reached.
Zertia’s certification manager will communicate resolution to client. All resolutions are final.
6. Policy on impartiality
Attachment: Impartiality Policy