National Certification Division NCD/FOM/03

Title: Internal Audit Findings Form Page 1 of 4

INTERNAL AUDIT FINDINGS FORM

UNIT: Product certification unit DATE: 28-30/12/2022

MANAGEMENT SYSTEM: RS ISO IEC 17065:2012

Name of Auditor Audit No.:05
JMV Ndayiragije (Audit Team Leader)
Location:

SN Findings Reference Name and

standard and signature of the
clause auditee
J.Bosco Mulindi
1. Certification services are operated under the National 4.1.1
Certification Division which is part of RSB, a legal entity
established by Rwanda law N°50/2013 OF 28/06/2013.
PCU undergoes peer assessment as per THE EAST
AFRICAN COMMUNITY STANDARDISATION,
QUALITY ASSURANCE, METROLOGY AND
TESTING(SQMT) ACT,2006

The last peer assessment in Rwanda was conducted in

2016 with recommendations, the next was supposed to
be done in November,2020(Not done because of
pandemic). It was shifted to February 2023.Truck and
trace system is in operation, online verification of
authenticity of certificate, harmonization of directory
within Easter Africans state members.
2. Upon S-Mark certification, a documented contract 4.1.2
NCD/LIC/02 is signed between RSB and licensee and it
covers all provisions of clause 4.1.2.2 from (a) to (f) of
RS ISO IEC 17065:2012

3. NCD has established a Policy on use of its Product 4.1.3

Certification Mark NCD/POL/04 defining controls over
ownership, use and display of S-Mark on certified
products. Moreover, article 12 of contract NCD/LIC/02
Stipulates the use of marks

4. The top management of NCD is commitment to 4.2

safeguard impartiality evidenced by the fact NCD has
documented a policy on impartiality NCD/POL/01 which
is publicly accessible through the RSB website
(www.rsb.gov.rw ) and is displayed at work place.

NCD staff involved in certification activities are required

Revision: 01 Date of Approval: 10/03/ 2017

 National Certification Division NCD/FOM/03

Title: Internal Audit Findings Form Page 2 of 4

to declare impartiality by filling the impartiality

declaration NCD/FOM/01 were deemed necessary.

NCD identified risks to impartiality, and their mitigation

measures are in place NCD/MAN/03.
5. RSB has signed a contract of insurance (SONARWA) 4.3
valid until January 2023 that covers liabilities arising
from certification operations.
6. When standards and testing capabilities are in place, 4.4
NCD offers product certification in a nondiscriminatory
manner to all applicants whose activities fall into its field
of operation and NCD can decline application or
maintain a contract for certification from a client
participating in illegal activities, having a history of
repeated non-compliances with certification/product
requirements, or similar client-related issues.
7. NCD through a Policy to Safeguard Confidentiality 4.5
NCD/POL/02 and signing of Confidentiality Agreement
NCD/CGA/01’’ NCD/CFA/01’’hyperlinked in PCU
manual is responsible of managing all information
obtained or created during the performance of
certification activities. Confidentiality declaration form
filled by Electrical and electronics certification officer
and machinery & mechanical tools certification
officer filled on 11th April 2022
8. Through the website, NCD avails to the public the 4.6
following information: Application Form, the process of
getting S-Mark Certification, Guide on S-Mark certification
Requirements, the S-Mark Certification fees, updated
Directory of certified products with S-Mark and the
procedure for handling Complaints and Appeals.
9. RSB Organizational Chart was gazetted in Official 5.1
Gazette number special 092/03/2020 of 28/08/2020. A
structure of the Division NCD structure that depicts the
lines of authority and the committees such as
Certification Decision Committee (CDC), Committee to
Safeguard Impartiality (CSI) involved in certification
activities has been established and the RSB Board of
Directors. Detailed responsibilities are assigned and
communicated to each employee in appointment letters
and copies are maintained in the HR office.
10. RSB has put in place an impartiality committee which 5.2
guides RSB Top Management in the development and
revision of policies and procedures to assure that
impartiality is upheld while conducting the certification
activities. Committee to safeguard impartiality is
appointed on 03/05/2021, the last meeting was
conducted on 18/03/202
11. NCD employ, or have access to, a sufficient number of 6.1
personnel to cover its operations related to the
certification schemes and to the applicable standards,

Revision: 00 Date: 10/03/2017

 National Certification Division NCD/FOM/03

Title: Internal Audit Findings Form Page 3 of 4

currently PCU organization structure is occupied with 14

employees. However, there is gap in position of textile
&leather products certification officer. NCD has
established competence management procedure
NCD/PRO/09. The competence criteria have been
determined for each technical area, and for each
function in the certification activity. This procedure
details the process of demonstration and evaluation of
competence.
12. The certification documents issued for product 7.7
certification (certificate of conformity, licenses, contracts)
do not specify the scope to which the certification apply.
Only product name is mentioned

13. 7.12
Some records of certification clients are coded to ease
records Retrievability
14. Procedure on handling complaints and appeals 7.13
NCD/PRO/06 is documented

15. Procedure on Management Review NCD/PRO/03 is in 8.5

place The last management review was conducted in
3rd August/2022.Inputs and outputs of MR were
considered
16. NCD has documented a procedure NCD/PRO/04 for 8.6
conducting internal audits, and it is implemented to verify
that it fulfills the requirements of ISO/IEC 17065 and that
the management system is effectively implemented and
maintained.

17. General Mgt system Documentation (policies and 8.2

objectives for fulfilment of RS ISO IEC 17065:2012

Areas of Improvement
1. PCU to fast truck the recommendation from SQMT Act, 2006
2. Risks and mitigations compromising impartiality were not exhausted such as provision of
technical assistance by new appointed ZU staff, upcoming regulations up on some
schemes eg. Liquor, banana and plant based alcoholic beverage sector such Premise
and product registration by Rwanda Food Drugs Authority (RFDA).
3. The customer satisfaction survey did not consider all recommendation of CSI meeting
held on 18th March,2022 whereby CSI recommended PCU to consider roles of other
supporting institutions(regulators) to the certification services and consideration of
certification and consideration of certification vis a vis regulation.
4. NCD staff involved in certification activities are required to declare impartiality by filling
the impartiality declaration NCD/FOM/01 were deemed necessary however, some of
them (Serge) declare impartiality verbally.
5. PCU did not document policies, procedures for the qualification, assessing and
monitoring of all bodies (e.g. by the east african community peer assessment,

Revision: 00 Date: 10/03/2017

 National Certification Division NCD/FOM/03

Title: Internal Audit Findings Form Page 4 of 4

accreditation bodies or governmental authorities) that provide outsourced services

(External resources) used for certification activities as per 6.2.2.4 of ISO/IEC
17065:2012.
6. Operational controls through MIS from reception of application up to certification
documents delivery/Certification granting is not respected. Eg: time required for
application review and quotes generation of GISHWATI Farms ltd with application
number CEP001251 took 2weeks,5days and 57minutes while only one (1) day was
allowed. Gasabo Grain Milling company Ltd with application number CEP000764 took
3months,3days,21hours and 31minutes while only one (1) day was allowed. King lion
Ltd with application number CEP001651 took 1month,2weeks,6days and 19hours while
only one (1) day was allowed.
7. Monthly Schedule NCD/SED/02 not updated e.g proposed by Jean Pierre BAJENEZA,
Director Products Certification Unit and approved by Jean Pierre BAJENEZA, NCD
Manager with declaimer’ In compliance with RSB policy and manual on impartiality,
anyone with potential or perceived source of conflict of interest is supposed to
declare it by filling form NCD/FOM/01 to be submitted to NCD Manager for
consideration’’. Currently, NCD weekly plan does not show this disclaimer.
8. Guide on requirements for product certification NCD/GID/07 is not updated e.g
authorized by Mbabazi Antoinette, NCD Manager
9. The Auditing Log PCU/FOM/04 is not in use

Revision: 00 Date: 10/03/2017