Nippon Asia Halal Association
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Prepared byGuidelines for Management of Extraordinary Events or Circumstances Affecting
Certified Organizations
Issue: 01
Revision: 00
Date: 10/01/2022
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Contents
Sr. No.

Descriptions

Page No.

1.

Introduction

2

2.

Scope

2

3.

Definitions

24.

Extraordinary event or circumstance affecting a certified organization

2

5.

Extraordinary Event or Circumstance Affecting NAHA

56.

Reference

6

This manual is the property of Nippon Asia Halal Association.. No corrections / amendments are to be madeexcept by the person authorized. The holder must have to return the manual when he leaves the organization orwhen he has no further use for it.

Nippon Asia Halal Association
Document Name
Doc ref: NSOI-05
Prepared by1.

Guidelines for Management of Extraordinary Events or Circumstances Affecting
Certified Organizations
Issue: 01
Revision: 00
Date: 10/01/2022
Page 2 of 5
Technical Manager
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Introduction
In a normal business environment, every organization is continuously exposed to opportunities, challenges,and risks. However, extraordinary events or circumstance beyond the control of the organization happen. In
such a circumstance, NAHA have a process for the proper maintenance of accreditation and certification inaccordance with the guidelines outlined as per IAF ID 3: 2011.
It is important for NAHA to be able:••

To demonstrate reasonable due diligence, mutual understanding and trust andTo establish an appropriate course of actions in response to extraordinary events.

The objective of the document is to provide to NAHA guidance on the appropriate course of action. This
document is not intended to override requirements in standards or schemes. Where a standard or scheme
provides no flexibility regardless of the crises that has occurred, guidance and an agreed way ahead will always
be sought from the relevant accreditation body or scheme owner.
Note: The Director / CM/TM and other appropriate resources, is responsible for periodic review and update ofthese guidelines.
2.

Scope
This informative document is primarily applicable for all types of product certifications & management
systems certifications.

3.

Definition
3.1 Extraordinary event or circumstanceA circumstance beyond the control of the organization, commonly referred to as “Force Majeure” or “Act ofGod”. Examples are war, strike, riot, political instability, geopolitical tension, terrorism, crime, pandemic,flooding, earthquake, malicious computer hacking, other natural or man-made disasters.

4.

Extraordinary Event or Circumstance Affecting a Certified Organization
An extraordinary event affecting a certified organization may temporarily prevent the NAHA from carryingout planned audits on-site. When such a situation occurs, NAHA operating under recognized standards orregulatory documents need to establish (in consultation with certified organizations) a reasonable planned
course of action.
NAHA will assess the risks of continuing certification and establish a documented policy and process,outlining the steps it will take in the event a certified organization is affected by an extraordinary event. The
established policy and process of the NAHA will define methods for evaluating the current and expected future
situation of the certified organization and define alternate potential short-term methods of assessing theorganization to verify continuing effectiveness of its management systems.
To enable NAHA to assess risk for continuing certification and understand the certified organization’s current
and expected future situation, NAHA will gather necessary information from the certified organization before
deciding on an appropriate course of action. The information collected by NAHA will include the following as
appropriate:This manual is the property of Nippon Asia Halal Association.. No corrections / amendments are to be madeexcept by the person authorized. The holder must have to return the manual when he leaves the organization orwhen he has no further use for it.

Nippon Asia Halal AssociationDocument Name
Doc ref: NSOI-05
Prepared by••
•
••••
••

Guidelines for Management of Extraordinary Events or Circumstances Affecting
Certified Organizations
Issue: 01
Revision: 00
Date: 10/01/2022
Page 3 of 5
Technical Manager
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When will the organization be able to function normally?
When will the organization be able to ship products or perform the service defined within the current
scope of certification?
Will the organization need to use alternative manufacturing and/or distribution or sites? If so, are thesecurrently covered under the current certification or will they need to be evaluated?
Does existing inventory still meet customer specifications or will the certified organization contact its
customers regarding possible concessions?
If the certified organization is certified to a management system standard that requires a disasterrecovery plan or emergency response plan, has the certified organization implemented the plan andwas it effective?
Will some of the processes and/or services performed or products shipped be subcontracted to otherorganizations? If so, how will the other organizations activities be controlled by the certifiedorganization?
To what extent has operation of the management system been affected?
Has the Certified organization conducted an impact assessment?
Identification of alternative sampling sites, as appropriate.

If the risk of continuing certification is low and based on the collected information the NAHAhas to consider
alternative short-term methods of assessment to verify continuing system effectiveness for the organization.
This may include requesting relevant documentation (for example, management review meeting minutes,
corrective action records, results of internal audits, test/inspection reports, etc.) to be reviewed off site by theNAHA to determine continuing suitability of the certification (on a short-term basis only). At a minimum, theprocess will address the following items:
•••
•
••
•

Proactive communication between the affected certified organization and the NAHA.
Steps the NAHA will take to assess the affected organization and how the plan to move forward will
be communicated.
Specifying the maximum time an alternative short-term assessment method could be used before
suspension or withdrawal of certification
Criteria for renewing normal oversight, including the method and timing of any reinstatement
activities and assessments.
Possible amendments to organization’s oversight plans on a case-by-case basis and in accordance with
CAB procedures.
Ensuring that any deviation from accreditation requirements and NAHA procedures is justified anddocumented, and agreement reached with the AB on plans to address temporary deviations fromrequirements.
Re-establishment of surveillance/recertification activities according to NAHA oversight plans whenaccess to the affected location is re-established.

If contact with the organization cannot be made, NAHA will follow normal processes and procedures for
suspension and withdrawal of certification.
When developing alternate short-term methods of assessment, NAHA will take into consideration thefollowing limitations:a) First Surveillance Audit
Normally, the first surveillance audit after initial certification is to be within 12 months of the last day ofThis manual is the property of Nippon Asia Halal Association.. No corrections / amendments are to be madeexcept by the person authorized. The holder must have to return the manual when he leaves the organization orwhen he has no further use for it.

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Certified Organizations
Issue: 01
Revision: 00
Date: 10/01/2022
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the initial stage 2 audit (ISO/IEC 17021:2011, 9.3.2.2). However, providing that sufficient evidence has beencollected as above, to provide confidence that the certified management system is effective consideration
may be given to postpone the first surveillance for a period not normally exceeding 6 months (18 months
from date of initial certification). Otherwise the certificate has to be suspended or the scope reduced.
b) Subsequent Surveillance Audits
There may be specific circumstances by which NAHA can justify adjusting the timing of a subsequent
surveillance audit. If an organization has to shut down completely for a limited period of time (less than 6months), it would be reasonable for a NAHA to postpone an audit that had been scheduled to occur during
the shutdown until the organization resumes operations. The organization will inform the NAHA when
operations resume so that the NAHA can conduct the audit promptly.
c) Recertification AuditsNormally the recertification audit must be completed, and the recertification decision made prior toexpiration to avoid loss of certification (ISO/IEC 17021:2011, 9.1.1.2). However, providing that sufficientevidence has been collected as above, to provide confidence that the certified management system iseffective consideration may be given to extend the certification for a period not normally exceeding 6
months beyond the original expiry date.
The re-certification will be carried out within this permissible extended period. Otherwise, a new initialaudit will be performed. The expiration of the renewed certification will be based on the originalrecertification cycle.
d) Information to the AB
All deviations from the established certification program will be justified, documented and made available
to ABs upon request.
5.

Extraordinary Event or Circumstance Affecting NAHA
An extraordinary event affecting NAHA may temporarily prevent the Accreditation body (ABs) from carryingout planned assessments on-site. When these situations occur, ABs and NAHA operating within theiraccreditation need to establish a reasonable planned course of action.
The Accreditation body will assess the risks of continuing accreditation and establish a documented policy andprocess, outlining the steps it will take in the event when accredited CABs (e.g. NAHA) are affected by an
extraordinary event or circumstances. The established policy and process of the AB will define methods toevaluate the current and expected future situation of NAHA and define alternate potential short term methodsof assessment to verify continuing system effectiveness. The AB will also define in the procedures the required
reporting and communication activities with theNAHA
The NAHA’s communication with its AB will contain, at least, an evaluation of the NAHA’s current andexpected future situation. The following information will be provided by the NAHA to the AB as appropriate:••••

Scope and extent of the affected services and business areas and sites.
Number of affected clients.
When will the NAHA be able to function normally within the current scope of accreditation?
Does NAHA have plan to outsource some of its activities or operate in alternatives sites to ensurebusiness continuity? If so, are these currently covered under the current accreditation or will they needThis manual is the property of Nippon Asia Halal Association.. No corrections / amendments are to be madeexcept by the person authorized. The holder must have to return the manual when he leaves the organization orwhen he has no further use for it.

Nippon Asia Halal Association
Document Name
Doc ref: NSOI-05
Prepared by••••••

Guidelines for Management of Extraordinary Events or Circumstances Affecting
Certified Organizations
Issue: 01
Revision: 00
Date: 10/01/2022
Page 5 of 5
Technical Manager
Approved by Certification Managerto be evaluated by the AB?
Proactive communication between affected certified organizations and NAHA
Is IAF MD 4 “IAF Mandatory Document for the use of Computer Assisted Auditing Techniques(“CAAT”) for Accredited Certification of Management Systems” applied?
Steps NAHA will take to assess those affected organizations and how the plan to move forward will be
communicated to the certified organizations.
Possible amendments to each certified organization’s oversight plans on a case by case basis and inaccordance with NAHA procedures.
Ensuring that any deviation from accreditation requirements and NAHA procedures is justified anddocumented, and written agreement reached with AB (if deviation from an accreditation requirement
is requested) on plans to address temporary deviations from requirements.
Re-establishment of surveillance/recertification activities according to NAHA oversight plans whenaccess to the area is re-established.

5.1 Breakdown of NAHA
This may occur when NAHA has not been able to recuperate from the extraordinary event or circumstancesthat affected NAHA’s business, and therefore, is no longer able or authorized to offer its accredited service,
either completely or in part (breakdown of NAHA). The same applies to liquidation or bankruptcy. In thesecases NAHA is obliged to inform its AB immediately. Under these circumstances, NAHA and the ABs(NABCB & AB) will cooperate in facilitating the transition to other CAB(s) for the currently certified
organizations in accordance with IAF MD2 IAF Mandatory Document for the Transfer of Accredited
Certification of Management Systems.
6.

Reference•IAF Informative Document for Management of Extraordinary Events or Circumstances Affecting ABs,
CABs and Certified Organizations, Issue 1 - (IAF ID 3: 2011).

This manual is the property of Nippon Asia Halal Association.. No corrections / amendments are to be madeexcept by the person authorized. The holder must have to return the manual when he leaves the organization orwhen he has no further use for it.