TÜV SÜD South Asia

COVID’19 Policy update and

information on remote assessment
as per various guidelines published
by accreditations / scheme owners

Date: 25-06-20
By Rahul Kale
Head of Certification

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 Agenda
Overview

Policies by various accreditations under TÜV SÜD

Remote assessment process

Questions

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 Overview

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Management of extraordinary event – for Management System
Certification due to COVID’19
 TÜV SÜD has implemented policy based on various accreditation boards policy and IAF ID 03:2011 and IAF MD 04:2018 as based on
criteria of various TUV SUD legal entities.

 Postponement of audits and remote assessments are possible based on various conditions of accreditation board based on respective
TÜV SÜD Legal entities (e.g. TÜV SÜD South Asia for NABCB, TÜV SÜD GmBH for DAkkS / IATF, TÜV SÜD America for ANAB etc…)

 We have adopted risk based approach to conduct the audits during this situation, we need to confirm clearly on the situation including
acceptance of client on such conditions (e.g. possible remote audit / possible postponement)

 Below documents are required to submit to CB planning team for releasing such audits. (during remote audit planning stage)
i. Risk assessment form (duly approved by TÜV SÜD Branch managers)
ii. Remote audit check list (confirmed by Lead auditor & Client)
iii. Confirmation e-mail from client on agreement of remote audit.

 Incase of Postponement of audit (SA / RA)

i. Risk assessment form (duly approved by Branch managers)
ii. Confirmation mail from client with reasons for postponement.
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Overview of policy by different TÜV SÜD legal entities
Remote audit
TUV SUD Legal Entity Accreditation Postponement of audits
(Partial / Full)
TÜV SÜD South Asia NABCB Yes* Yes*

TÜV SÜD GmBH DAkkS Yes* Yes*

TÜV SÜD America ANAB Yes* Yes*

TÜV SÜD Korea JAS ANZ Yes* Yes*

TÜV SÜD GmBH IATF No Yes*

TÜV SÜD America Aerospace Yes* Yes*

TÜV SÜD South Asia FSSC No Yes*

* Note: subject to meeting the policy criteria of each LE

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Policies for different accreditations and standard by TÜV SÜD

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TÜV SÜD South Asia Policy - NABCB
Scheme Full Remote audit Partial remote % Max. remote & on-site Remarks in case Remote audit is not possible.
(100%) audit combination
ISO 9001 Yes* Yes 70% + 30%
ISO 14001 Yes* Yes 70% + 30%
ISO 45001 Yes* Yes 70% + 30%
ISO 50001 Yes* Yes 70% + 30%
ISO 27001 Yes* Yes 70% + 30% Extension of due / validity to six months subject to risk
assessment.
ISO 21001 Yes* Yes 70% + 30%
ISO 22000 No Yes 50% + 50% (Note: postponements of 90 days + 90 days under
suspension should be applied as clients cannot take even
FSSC 22000 No No NA remote audits)
ISO 13485 No Yes 50% + 50%
ISO 15378 No Yes 50% + 50%
ICMED 13485 No Yes 50% + 50%
ICMED 9000 No Yes 50% + 50%
RMC Capability No Yes 50% + 50% Extension by 3 months for SA & 6 months for RA

* Note: subject to meeting the policy criteria

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Conditions to policy (NABCB)
 Formal risk assessments are required from client and TÜV SÜD .

 Certification audits are not possible 100% remote audits, Stage1 audits can be done off-site / remotely, however Stage2
audits can be done partially remote (max up-to 70%), balance audit time shall be completed within six months of remote
audit date. Certificates for such clients before balance audits are issued as provisional certificate (six months validity) if all
outstanding findings are closed in remote audit.

 Full remote assessment is possible only for Surveillance / Recertification audits if:
– If there is no change in scope of certification AND no Major NCs from previous audit, audit can be conducted 100%
remote audit.
– If above condition is not met – Partial remote audit max up-to 70% can be conducted and balance audit time shall be
covered on-site within six months from remote audit date.

 All transfer as well as migration audits are also possible through remote audit based on type and above conditions.

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Conditions to policy (DAkkS)
 Formal risk assessments are required from client and TÜV SÜD .

 Certification audits are not possible through remote audits, only Stage1 audits can be done off-site / remotely, Stage2
audits shall be planned on-site audit only within six months of Stage1 audit dated.

 Full remote assessment is possible only for Surveillance / Recertification audits if:
– Audits of purely office locations
– Customers in risk category low
– Customers in risk category medium (subject to justification by lead auditor)

 Customer in risk category High shall be done with partial remote audit. and balance audit shall be done within four months.

 migration audits (e.g. OHSAS to ISO 45001) are not possible 100% remote. Partial remote audit can be possible.

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Conditions to policy (IATF)
 Remote audits for IATF are not possible.

 Postponement of audits for Surveillance audits as follows:

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Conditions to policy (IATF)
• Postponement of audits for Re-certification audits as follows:

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Conditions to policy (JAZ ANZ)
 Policy is similar to that of DAkkS, however additional risk assessment is required.

 Certification audits are not possible through remote audits, only Stage1 audits can be done off-site / remotely, Stage2
audits shall be planned on-site audit only within six months of Stage1 audit dated.

 Based on the result of risk assessment form – Partial & Full remote audit is allowed.
– This has reference to complexity & severity
– Justification from Lead auditor is required for conducting 100% remote audit.

 Customer in risk category High shall be done with partial remote audit. and balance audit shall be done within four months

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Conditions to policy (ANAB)
Standard Certificate Transfer Surveillance Stage 1/Stage 2 Recert
ISO 9001, ISO Can be extended 6 Offsite Possible approaches Possible approaches Possible approaches
14001, ISO months  100% remote  Stage1: 100% remote  100% remote
13485  Combination remote/onsite  Stage 2: 100% remote  Combination remote/onsite-before cert
(component), (later date in 2020)  Stage 2: expires
ISO 45001, ISO  Postpone-must be Combination remote/onsite  Postpone up to 6 months request cert
17100 completed in 2020 (later date) extension
 Postpone
TL9000 Request 6-month Offsite Possible approaches Possible approaches Possible approaches
extension for certificates  100% remote  Stage 1 remote  100% remote if feasible;
expiring prior to July 1,  Combination remote/onsite  Stage 2 remote  Postpone up to 6 months
2020 (later date in 2020)  Postpone
Require special request  Postpone-must be
to quest for extension of completed in 2020
certs expiring after July
1, 2020
AS 9100/AS9120 No extension allowed 12 Normal Possible approaches  Stage 1 Onsite only Possible approaches
  months to reinstate process  100% remote (postpone)  100% remote
required  Combination remote/onsite  Stage 2 onsite for AS9100,  Combination remote/onsite before cert
(later date in 2020) Max 30% remote for AS9120 expires
 Postpone-must be  Postpone Postpone- reschedule ASAP before end of
completed in 2020 year

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Conditions to policy (FSSC)
 Formal risk assessments are required from client and TÜV SÜD.

 At present, remote audits (Partial / full) are NOT possible for FSSC audits, only extension by six months based on risk
assessment is possible.

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Min. audit time for remote and onsite audit
• In all cases, Min. 4 hrs. shall be planned for remote audit and Min. 4 hrs. as on-site audit.

70% & 30% Split of audit time 50% Split of audit time
Scheduled time Remote audit On-site audit Scheduled time Remote audit On-site audit
(remaining time) (remaining time)
4 hrs. 4 hrs. 4 hrs. (+) 4 hrs. 4 hrs. 4 hrs.
8 hrs. 4 hrs. 4 hrs. 8 hrs. 4 hrs. 4 hrs.
16 hrs. 8 hrs. 8 hrs. 16 hrs. 8 hrs. 8 hrs.
24 hrs. 18 hrs. 6 hrs. 24 hrs. 12 hrs. 12 hrs.
32 hrs. 24 hrs. 8 hrs. 32 hrs. 16 hrs. 16 hrs.
40 hrs. 28 hrs. 12 hrs. 40 hrs. 20 hrs. 20 hrs.
48 hrs. 34 hrs. 14 hrs. 48 hrs. 24 hrs. 24 hrs.
56 hrs. 40 hrs. 16 hrs. 56 hrs. 28 hrs. 28 hrs.
So on… So on….

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 Process - Remote audits

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IT Tools used for remote auditing (auditor / clients both)
ICT tools mentioned below can be used in combination for remote audits:

 Good Internet connectivity at client and auditor’s place.

 Laptop / PC equipped with audio/video functionality.
 MS Outlook / mail application (email access for sharing documents on email)
 Microsoft Teams*
 Skype for business*
 Any other meeting app (Cisco, Zoom, GoTo meeting etc..) based on client agreed medium.
 Mobiles / Telephones (used only for calls & verbal communication and not for data sharing)
 WhatsApp / Skype Video chat for physical location overview remotely.

*) – Official platforms for TUV SUD for remote audits.

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Establishing connection
 Lead auditor must ensure link(s) of Meeting (as per audit plan – dates & time) shall be generated well in advance by using
Microsoft Team OR Skype for Business

 Participants must include all audit team members, client representatives (auditee) including worker representatives (where
possible)

 When Team of auditor is performing remote audit, use of two or more meetings is recommended so as to ensure split of
audit time.

 Refer. Guidelines for remote audit (TSSA_CCU_218b) for details of process.

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Mandatory verification of below requirements of each scheme / standard in
remote audit (as per ISO 17021-1)
 Internal audits and management review records;
 a review of actions taken on nonconformities identified during the previous audit;
 complaints handling;
 effectiveness of the management system with regard to achieving the certified client’s objectives and the intended results
of the respective management system (s);
 progress of planned activities aimed at continual improvement;
 continuing operational control only through documented information);
 review of any changes;
 use of marks and/or any other reference to certification.

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Remote assessment verification evidences:
 Document information can be reviewed
– Digital documents
– Scan copies
– Photos
– Recorded videos

 Interviews of employees
 Audio and Use of chat room / chat box for communication during meeting

 Physical process verification – view of physical processes (e.g . Virtual Site tour, Virtual Production tour, Stores etc.)
through video technology

Note: remote audits can never take position of physical on-site audits are these are applicable with limitations of verification of audit
evidences through information technology. Hence these are applied only in extra-ordinary situation and with appropriate risk
assessment.

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 Questions ?
Please write to rahul.kale@tuv-sud.in for any further questions.

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 Thank you
Certification body - Mumbai

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