Certification Body Key Processes

FM 5302 Authority: Vice President Effective: 2016/07/15

CB name:
Name and title of CB representative completing form:
Date form was completed or updated:

This form outlines key processes of the CB’s management system. ANAB applicant and accredited CBs
are required to complete and maintain this form. The CB is required to review and revise the form (if
appropriate) periodically (e.g., quarterly) so that ANAB has current information.
The completed form should be uploaded into EQM under the “Pdf records” extension tab found on the CB
detail page. When saving the form, please include the document number at the start of the document
name for ease of future use.
ANAB will use the information for planning its office assessments and writing its office assessment reports
(thoroughly completed forms assist in shortened assessment days). In using this form, ANAB has revised
its office assessment report significantly to focus on the effectiveness of each process and the overall
effectiveness of the CB’s management system instead of recording the detail of a process.
ANAB may issue a nonconformance record to the CB if the information provided to ANAB is not current.
Note 1: This form is part of an information package that also includes the Certification Body Profile form
and the CB Identification of Critical Locations form.
Note 2: Attachments are not acceptable; the summaries requested must be provided on this form. The
detailed processes will be reviewed during document reviews and/or office assessments.

1. Committee for Safeguarding Impartiality

Provide a brief narrative about how the CB’s committee operates, including:
 Responsibilities with a primary responsibly being managing the CB’s impartiality
 Make up of the membership (including all stakeholders represented)
 Training
 Frequency of meetings

2. Internal Audit Process

Provide a brief narrative about the CB’s internal audit process including:
 Persons responsible
 Internal auditors’ competencies
 Process for determining frequency including the frequency
 Conclusion of effectiveness of the CB’s management system

3. Management Review Process

Provide a brief narrative about the CB’s management review process including:
 Persons responsible and included in meetings
 Frequency
 Items covered during meetings
 Conclusion of overall performance and effectiveness of the CB’s management system

4. Corrective Action Process

Page 1 of 3
Provide a brief narrative about the CB’s corrective action process for both internal and external
nonconformities (e.g., ANAB NCRs) including:
 Methodology
 Root cause analysis tools
 Systems used

5. Complaints Process
Provide a brief narrative about the CB’s complaint process including:
 Receiving, investigating, and resolving complaints about certified clients and about the CB itself.
 How the CB ensures that a certified client responds effectively to complaints about nonconforming
products or services
 Type of feedback included in the complaint process (e.g., customer complaints, OASIS feedback
requests)
 CB’s process for tracking and reporting complaints

6. Marketing
Provide a brief narrative about the CB’s marketing including:
 CB’s use of ANAB mark
 CB’s control of the use of CB and ANAB marks by their customers
 Web site(s) use

7. Control of Other Office Locations Process

Provide a brief narrative about how the CB manages and controls other offices (critical and non-critical)
including:
 Control of key processes
 Commercial threats (e.g., audit duration)

8. Confidentiality Process
Provide a brief narrative about how the CB manages confidentiality with all parties: auditors, personnel,
and councils/boards.

9. Personnel Competency Process (not including auditors)

Provide a summary narrative of the various processes and systems by which the CB is able to have
assurance that the personnel have the necessary competence, including consideration of the following:
 Analysis of competence needed for each position
 Process for determining initial competence of each person
 Process for monitoring continued competence
 Records maintained
Personnel include staff, decision-making persons, and boards and/or councils.

10. Auditor Competency Process

Page 2 of 3
Provide a summary narrative of the various processes and systems by which the CB is able to have
assurance that the audit team assigned to a specific client for a specific audit has the necessary
competence, including consideration of the following:
 Analysis of competence needed for each technical area
 Process for determining initial competence of each auditor
 Process for determining technical areas each auditor is competent for (based on their competencies)
 Process for monitoring continued competence including on-site monitoring
 Training process (including training on office staff tasks/interfaces)
 Process for reviewing the application or client information to determine the competence needed by
the audit team for the client
 Records maintained
o If using a data system for management of audit team competence there should be a good
description of the system for classifying needed competence in terms of the client, auditors and
experts.

11. Audit Process

Provide a narrative about the CB’s audit process including:
 Application and contract review process including process for reviewing the application or client
information to determine the competence needed by the audit team for the client
 Process for selecting audit team members to provide the competence needed for the client
 Audits (initial, surveillance, re-certifications)
o Audit days
o Audit plan
o Audit conduct (including tools, checklists used)
o Audit report
o Corrective action process

12. Certification Decision Process

Provide a narrative about the CB’s certification decision process including:
 Who makes the certification decision (e.g., staff, committee, etc.)
 What is reviewed
 Issuance of certificate
 Directory updates (including making certifications public)

Page 3 of 3