General Conditions and Procedural
Guidelines for TRNA Audits
1 GENERALTUV Rheinland of North America, Inc. (hereinafter referred to as TRNA)
offers interested companies its services for management system
certification.
TRNA assesses and certifies the management systems of productmanufacturers and service companies. The independence,
confidentiality and impartiality of the auditors is required by TRNA. The
TRNA structural and procedural organization ensures that the criteriastated in ISO 17021:2015 are fulfilled. The certification organization andprocess are documented.
For the certification process to occur, a signed contract and/or purchaseorder is required. The following documents are considered as part ofthe contract and are binding on both parties:
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Service Agreement/Quotation/Executed Purchase Order;
TUV Rheinland of North America, Inc., General Terms andConditions, (MS‐0002298);
General Conditions and Procedural Guidelines for TRNA Audits,(MS‐0043256);
General Conditions and Procedural Guidelines for AS91xx
Certifications, (MS‐0005710);
General Terms and Conditions of Certification of TÜV Rheinland
Cert GmbH / LGA InterCert GmbH, (MS‐0043514);
Promoting Certification and Using the TRNA and ANAB Marks, (MS‐0005743).

Purchasing Terms and Conditions, Sales Terms and Conditions,Certification Regulations and other legal documents in use for TRNA
legal entity is available on TUV website. Link for legal documents/
Systems: https://www.tuv.com/usa/en/imprint.html

2 SCOPE
These “General Conditions and Procedural Guidelines…” apply to thetotal certification process, specified in section 3.

3 CERTIFICATION PROCESSThis section describes the general process for a company seeking
management system certification.

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Effective date:MS‐0043256
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is determined by TRNA procedure MS‐0005685 and IAF Mandatory
Documents. Quoted audit time may vary at Auditors’ discretion basedon organizational size, changes, complexity, risk, etc.
The associated costs are also summarized over the validity of thecertification. TRNA reserves the right to apply annual increases inalignment with the Consumer Price Index. If travel is required, travel
expenses are charged to the client at the actual cost plus a 10% service
fee. Travel time will be invoiced at a minimum of a half man day rate
but could be charged up to one man day rate, based on distance/time
the auditor must travel.
Audits occurring outside of the United States may incur an annual
processing fee.

3.1.3 Preliminary assessments
Agreement can also be made concerning more comprehensive
preliminary assessments to be carried out by TRNA. These can cover, forexample:

Assessment of the management system by means of a document
review, either on or off‐site;
Performance of an on‐site pre‐audit.

The goal of the preliminary assessments is to identify weak points in the
management system and to decide upon the next steps in thecertification process. The client receives a written report on the resultsof the preliminary assessments. These services can be ordered at any
time before the certification audit but are not a prerequisite or
requirement for certification.

3.1.4 Audit team selection
At a time prior to the audit the client will be informed about the audit
team members.
It will be ensured that the auditors were not involved in consulting
activities with regard to setting up a management system for the clientin the two years preceding the planned audit and are not in the year
following certificate issue.
All auditors for TRNA have signed an agreement not to disclose t o
t h i r d parties any information obtained during the audit process andrelated activities.

In the first phase, TRNA determines the qualifications needed toprovide the requested services. The scope and applicable standard
are determined via an application questionnaire.

The client has the right, with reason, to request any change in audit
team members. If requested, a d e t e r m i n a t i o n w i l l b e m a d e
a s t o w h e t h e r alternate auditors a r e a v a i l a b l e . The client will
be informed, on request, about the certifications in which the audit
team members have previously participated.

If requested, TRNA will provide preliminary assessments to assist theclient in determining their level of preparation for the certification
audit.

If specific technical issues must be addressed in order to assess the
management system, an appropriate technical expert will be included
on the audit team.

3.1.1 Information meeting

3.2 Phase 2: Stage 1/Readiness Review Audit

TRNA will, if requested, hold an informational meeting with theinterested company concerning TRNA’s certification services prior to
the signing of a contract. This meeting may cover, the following
points:3.2.1 Audit plan

3.1 Phase 1: Certification preparation

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the aim and benefits of certification;
the basic requirements for certification;
performance of the certification procedure;
standard or standards applied;verification level, scope of application;
estimated costs;
proposed schedules.

3.1.2 Quotation

The stage 1 audit is performed to evaluate the client’s readiness for thestage 2, certification audit. The stage 1 audit is typically conducted onsite except in cases whereby justification is provided to allow offsite/remotereview.
The client receives an audit plan detailing the activities that will beoccurring during the audit. The schedule of activities may be modified
with the concurrence of the Lead Auditor.

3.2.2 Audit conduct
During the audit, the audit team evaluates how much the management
system of the client is ready for a stage 2 certification audit. It includes:

TRNA provides each prospective client a quotation detailing theservices that will be provided and the associated costs. Audit durationa)Page 1 of 5

review the client’s management system documented information;

General Conditions and Procedural
Guidelines for TRNA Auditsb)evaluate the client’s site‐specific conditions and to undertake
discussions with the client’s personnel to determine thepreparedness for stage 2;
review the client’s status and understanding regarding
requirements of the standard, in particular with respect to theidentification of key performance or significant aspects, processes,
objectives and operation of the management system;
obtain necessary information regarding the scope of the
management system, including: the client’s site(s); physical and organizational boundaries;
 processes and equipment used; levels of controls established (particularly in case ofmultisite clients);
 applicable statutory and regulatory requirements;
 information security & privacy SOP (for ISO 27001/ 27701)
review the allocation of resources for stage 2 and agree the detailsof stage 2 with the client;provide a focus for planning stage 2 by gaining a sufficientunderstanding of the client’s management system and site
operations in the context of the management system standard orother normative document;
evaluate if the internal audits and management reviews are being
planned and performed, and that thelevel of implementation of the management system substantiatesthat the client is ready for stage 2.

c)

d)

e)
f)

g)
h)
i)

3.2.3 Audit conclusion, Stage 1 audit report
A detailed audit report that describes the audit results and includes any
concerns will be sent promptly to the client. The audit might result in arecommendation for:
stage 2 certification audit within 6 months;
stage 2 certification audit under the c ondition of
implementation of corrective actions;
repeating the stage 1 audit or continuing the audit on‐sitein the event that an off‐site audit was conducted.

3.3 Phase 3: Stage 2/Certification Audit
3.3.1 Management review and internal audits
Prior to conduct of the stage 2 certification audit, the client shallconduct one complete internal audit and management review cycle. All
clauses of the applicable standard are to be audited and the resultspresented to management for discussion during their management
review.
If it is determined during the certification audit that this requirement
has not been fulfilled, then a successful re‐audit of the deficient area
may be required prior to issuing the certification.

d)
e)
f)

a)

b)

c)

information and evidence about conformity to all requirements of
the applicable management system standard or other normative
documents;
performance monitoring, measuring, reporting and reviewing
against key performance objectives and targets (consistent with the
expectations in the applicable management system standard orother normative document);
the client’s management system ability and its performance
regarding meeting of applicable statutory, regulatory andcontractual requirements;

operational control of the client’s processes;
internal auditing and management review;
management responsibility for the client’s policies.

Through interviews, observation and review of documents and records,
the audit team assesses the level of conformance the client has
achieved with respect to the requirements of the management systemstandard.
The company's role during the audit is to demonstrate the practicalapplication of the establish processes/practices.

3.3.4 Audit conclusion
Upon completion of the audit, the client will be notified of the outcomeof the audit in a closing meeting.
Any nonconformity will be documented and explained by means of the
Audit Report.
A certification audit ending in no nonconformities will receive a
recommendation for certification by the Lead Auditor.
A certification audit ending with only minor nonconformities will
receive a recommendation for certification by the audit team upon
acceptable review of proposed corrections and corrective action plans,
except where the specific standard requires closure of allnonconformities before a recommendation for certification.
If the certification audit resulted in one or more major
nonconformities, then the audit team may recommend that a re‐audit
be done before a recommendation for certification.

3.3.5 Nonconformity Report
A general definition for a minor nonconformity is an individual
occurrence that does not affect the capability of the management
system to achieve the intended results.
Minor nonconformities can be resolved with completed containmentand corrective action plan(s). Corrective actions can be implemented
thereafter with additional time added to the subsequent audit to verify
evidences of implementation and effectiveness.
A general definition for a major nonconformity is the absence of, or
failure to that affects the capability of the management system toachieve the intended results. Nonconformities could be classified as
major in the following circumstances:

Prior to the certification audit the client receives an audit plan detailingthe activities that will be occurring during the audit. The schedule ofactivities may be modified with the concurrence of the Lead Auditor.

The purpose of stage 2 is to evaluate the implementation, including
effectiveness, of the client’s management system. The stage 2 shall takeplace at the site(s) of the client, virtually or onsite. It shall include theauditing of at least the following:

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The audit team will conduct an opening meeting to discuss how theaudit will be conducted and provide any requirements to the client.

3.3.2 Audit plan

3.3.3 Audit conduct

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if there is a significant doubt that effective process control is inplace, or that products or services will meet specified requirements
a number of minor nonconformities associated with the samerequirement or issue could demonstrate a systemic failure and thus
constitute a major nonconformity.
In general all major nonconformities must be closed within 90
calendar days from the last day of the audit or less depending on
expiry date of certificate (for RA‘s and TA‘s).

Following issuance of nonconformity, TRNA will plan additional time, atthe expense of the client, for the Auditor to review and approve NC
containment, if applicable, correction(s), root cause analysis, andcorrective action(s). An estimate of one hour to review/approve a minor
and two hours to review/approve a major nonconformity.
Nonconformities may be written associated not only with deviations
from the Client system, the respective standard but also with thecontractual documents as they are considered binding for both parties.
For instance, improper use of the Promoting Certification and Using theRegistrar Trademark and the Accreditation Marks will result in anonconformity.

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General Conditions and Procedural
Guidelines for TRNA Audits
The requirements for nonconformities stated here and elsewhere inthis document are general in nature. Specific requirements for eachstandard are provided with the nonconformity reports at the time of
the audit.

3.3.6 Audit Report
A detailed audit report that describes the audit results and includes any
nonconformity that may have been written will be provided promptly
to the client.

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During the surveillance audit, any nonconformity from the last audit
that has not been previously verified and closed will be reviewed for
implementation.

3.4.3 Re‐audit
If the surveillance audit resulted in one or more major
nonconformities, then the audit team may recommend that a re‐audit
be done prior to continuing the certification.

3.3.7 Re‐audit

The client must propose and implement corrective action to themajor nonconformities before the re‐audit can be conducted.

When the audit results in one or more major nonconformities, a re‐audit may be required. The client must propose and implement
corrective action to the major nonconformities before the re‐audit canbe conducted.

The client has up to 90 days from the date of the closing meeting to
implement the necessary correction and corrective action and havethe re‐audit conducted. If the re‐audit does not occur within the 3months the client’s certification is put on suspension.

The client has up to 90 days from the date of the closing meeting or
less as specified in the Nonconformity Report to implement thenecessary correction and corrective action and have the re‐audit
conducted. If the re‐audit does not occur within specified timeframe,
at TRNA’s option a new complete certification audit may be required
instead of the re‐audit.

The client then has an additional 90 days to implement the necessary
correction and corrective action and have the re‐audit conducted.

3.4 Phase 4: Certificate Issuance, Surveillance andRecertification Audits

If a successful re‐audit does not occur within this second 90‐day
period, the certification will be withdrawn.

3.4.1 Certificate issuance
The TRNA Certification Office is the final step in the certification
process. Based on the recommendation of the audit team, theCertification Office decides whether the certification will be granted,
and the certificate issued or whether a re‐audit is required.
Once issued, the certification and certificate are valid for three
years. The certification’s continued validity is dependent on thesurveillance audits having a positive outcome.

3.4.2 Surveillance Audits

During the suspension the client’s certification is temporarily invalid.
The client cannot promote its certification, and TRNA is obligated tomake the suspension publicly accessible.

3.4.4 Renewal Process
TRNA will not provide each client a renewal quotation for the next
three‐year cycle unless the client notifies TRNA of a change warranting
an updated service agreement/contract/PO.

3.4.5 Recertification audits
The purpose of the recertification audit is to confirm the continued
conformity and effectiveness of the management system as a whole,and its continued relevance and applicability for the scope of
certification. A successful recertification audit shall extend thecertification validity for another three years.

The certification requires periodic surveillance audits to determine
whether the implemented management system remains inconformance with the standard identified in the certification.
Surveillance audits can be semi‐annual or annual, based on client
preference, but there must be an audit in each calendar year.

The recertification audit shall be conducted at least three months inadvance of the certificate expiry date. During a recertification audit, allelements of the entire management system are audited.

The first surveillance audit after a certification audit shall be conductedwithin 9 months after the initial certification date.

3.4.6 Short Notice Audits

Annual surveillance audits shall be conducted at least three months
prior to the anniversary date of the certificate expiry date. If semi‐
annual is preferred, the second surveillance audit in the year shall be
conducted at least three months prior to the anniversary date of thecertificate expiry date.
During the surveillance audits, an evaluation is made of:
a)
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e)
f)
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internal audits and management review;a review of actions taken on nonconformities identified during theprevious audit;
complaints handling;effectiveness of the management system with regard to achieving
the certified client’s objectives and the intended results of therespective management system(s);progress of planned activities aimed at continual improvement;
continuing operational control;
review of any changes;
use of marks and/or any other reference to certification.

The basic process of conducting the surveillance audit is similar to thecertification audit including audit team selection, audit plan, opening
and closing meeting, and a written report with the audit results.

The audit process is as described in Sections 3.3 and 3.4.

It may be necessary for TRNA to conduct audits at short notice toinvestigate complaints, or in response to changes, or as follow‐up on
suspended clients. These will be done at the cost of the client.

3.4.7 Remote Audits
In some cases, an audit may be conducted using various methods ofInformation and Communication Technology (ICT). The percentage ofthese remote audits may be anywhere between 1% and 100%.
The determination of remote auditing time is based on a review of risk
which occurs between the client and Project Manager.
A remote audit will incur additional preparation and audit time. The
addition of time is based on the total audit duration and will cover:
a)
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ICT Setup and testing
ICT logistics and documentation review
Recovering for remote audit delays

If the audit was not quoted as a remote audit, a revised PO is required
prior to scheduling.
If the Lead Auditor deems the remote audit is not effective, they canrequest a special audit be conducted prior to recommendation ofcertification.

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General Conditions and Procedural
Guidelines for TRNA Audits

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4 GENERAL CONDITIONS

4.2 Client Duties and Responsibilities

4.1 Duties and responsibilities of TRNA

4.2.1 General

4.1.1 Confidentiality
TRNA will treat in confidence the entire client's data that is madeavailable and will use it only for the agreed purpose and per the termsof the General Terms referenced above. Documents made available will
not be provided to third parties. Exceptions to this are:

Access to client’s file by the Accreditation Bodies shown on thecertificate(s) issued to the client;
When the client releases TRNA from its confidentiality
agreement for specific reasons.

4.1.2 Audit Termination
TRNA reserves the right to terminate an audit in cases of:

obvious and demonstrated lack of interest or opposition by thesenior management regarding the audit;
members of the audit team are threatened, blackmailed or bribed.

4.1.3 Complaints
If a client or certificate holder is not satisfied with the service or otherdeliverables provided, other than an appeal, the client has the optionof filing a complaint with TRNA. TRNA shall work with the Client toresolve the complaint, keep the client apprised of the complaint’s
progress, and provide the Client with detailed reasons for its final
decision. All complaints should be sent to wecare@us.tuv.com.

Prior to conduct of the Stage 2 audit, the client shall conduct one
complete internal audit and management review cycle. All elements of
the applicable standard are to be audited and the resultspresented to management for discussion during management review.
The client will identify to TRNA an audit representative who will act as
the main point of contact for all audit‐related activities.
All documented information relating to the management system shallbe made available to TRNA. If the documented information is not madeavailable and TRNA determines the system cannot be adequately
audited in the absence of such information, the audit cannot take place
until appropriate access arrangements are granted.
The client will permit the auditors access to the relevant
departments in the company.
The client agrees to permit T R N A , Accreditation Body, and whererequired by specific standards, OEM representatives to participate
in any audit to monitor TRNA’s personnel during on‐site/remote
audits. TRNA will inform the client prior to the audit upon receiving sucha request.
Once certification has been granted, the client shall notify TRNA of allchanges related to:a)b)

4.1.4 Appeals
If a client or certificate holder is not satisfied with decisions made, theclient has the option of filing an appeal with TRNA. TRNA shall workwith the Appellant to resolve the appeal; keep the Appellant apprisedof the appeal’s progress and provide the Appellant with detailed
reasons for its final decision. Appeals should be submitted to
wecare@us.tuv.com.
At any time, the Appellant may formally present its case.
Where allowed, the Appellant may approach the Accrediting Body of
the Certification Body for final resolution. Appellant shall have no otherremedies and no right to pursue the matter in any way whether outside
nor within any judicial procedure including but not limited to a court or
arbitration procedure. Client herewith already irrevocably waives any
right to any judicial procedure regarding any decision by TRNA, theCertification Body, or its Affiliates.

4.1.5 Quality records
TRNA maintains records of its activities with its clients. This is done
so that performance of these activities can be demonstrated. The
records maintained include but are not limited to Quotations;Contracts; Correspondence; Audit documentation.
These documents will be kept for at least the duration of the current
cycle plus one full certification three‐year cycle.

4.1.6 Notification of changes in the certification process and/orStandards Revisions
TRNA will inform its clients of changes to the certification process andstandards stating at what date the modified requirements will become
effective and advising the client of any need to take action. The
transition periods for the implementation of changes in thecertification process is between three months and three years and willbe identified to the client.

4.1.7 List of Certified Companies
TRNA will maintain a list of certified companies, stating the respective
scope of application. The list will be available upon request.

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c)
d)
e)
f)

the legal, commercial, organizational status or ownership;organization and management (e.g. key managerial, decision‐
making or technical staff);
contact address and sites (e.g. additional buildings added);scope of operations under the certified management system;
major changes to the management system and processes; including
headcount, shift schedules, ITAR status, etc.
occurrence of an environmental, security, privacy, health or safetyincident/breach/violation of regulation.

When requested for cause, the client will provide TRNA with thecurrent management system documents.
The client agrees to allow short notice audits when provided withadvance notice by TRNA.
The client agrees to regularly scheduled surveillance and recertification
audits as required to maintain their certification. Such audits may bere‐scheduled or canceled by the client up to six weeks before a set
audit date. The cancellation and modification policy is as follows:
Between 4‐6 weeks prior to the scheduled audit dates (25%) charge applies.
Between 2‐4 weeks prior to the scheduled audit dates (50%) charge applies.
Less than 2 weeks prior to the scheduled audit dates (100%) charge applies

The certificate holder can use the TRNA Certificate for commercial
purposes (e.g. as evidence submitted to clients and authorities), foradvertising purposes, or for demonstrating the duty of care in productliability cases.
The client may use the TRNA trade mark and the accreditation marks
for advertising and marketing purposes. The requirements for use of
these marks are specified in “Conditions for using the Registrar Markand the Accreditation Marks” MS‐0005743.
The certificate holder shall keep record of complaints and remedialactions relative to the management system. These records shall bemade available to TRNA upon request and during audits.

4.2.2 Changes in the certification process and/or Standards Revisions
Clients should comment on changes notified by TRNA (see 4.1.6) withina specified period – normally 30 days ‐ after receiving the notification.
If the client gives confirmation within the specified period of
acceptance of the modification, its participation in TRNA’s
management system certification program will be continued.
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General Conditions and Procedural
Guidelines for TRNA AuditsIf the client does not give confirmation within the specified period of
acceptance of the modification the certification shall be terminatedon the date on which the modified requirements became effective
unless otherwise decided by TRNA.
If the client does not perform the transition to the new standard
revision within the transition period, the certification will expire or bewithdrawn.

4.3 Amendments to scope
4.3.1 Reduction to scope
TRNA reserves the right to reduce the scope of certification:upon request from the client,
as the result of an audit outcome, oror as a result of other activities.

4.3.2 Extension to scope
TRNA will review applications for extensions to the scope of
certification already granted and determine any audit activities thatare necessary to decide whether or not to grant such an extension. An
extension to scope audit may be done at any time.

4.4 Suspension and revocation of the certification
4.4.1 Suspension of certification
If the certification is placed on suspension, the certificate holder cannot
actively promote the certification until such time as the certification isre‐instated.
TRNA has the right to place a certification on immediate suspension
due to the following:
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major nonconformity(s) not closed with the stated time period;
the certificate or certification is improperly used;
the identification of one or more major nonconformities during asurveillance audit;
the client’s certified management system has persistently or
seriously failed to meet certification requirements, including
requirements for the effectiveness of the management system;
the certified client does not allow surveillance or recertification
audits to be conducted at the required frequencies;
the certified client has voluntarily requested a suspension.
failure to meet financial obligations to TRNA;
conditions where environmental, safety and/or health is at risk;
any other reasons which result specifically from these conditions orthat are agreed formally between TRNA and the client.

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the certificate holder fails to meet financial obligations to TRNA;
the certificate holder requests the cancellation.
the client does not have the periodic audits carried out according
to the General Conditions and Procedural Guidelines for the
Certification of Management Systems.

In the event that the registrar’s accreditation and/or QMS/EMS/OHSMS/ISMS/PIMS/CMS qualifications are revoked TRNA will makeevery effort to rectify the reasons leading to the revocation. If this is
not performed within a time frame agreed upon by the accreditation
body, then TRNA will transition all certified companies to anotherregistrar that offers the same services and holds the sameaccreditation.

5 VOLUNTARY WITHDRAWAL OF
ACCREDITATION
If TRNA chooses to voluntarily terminate its accreditation, it will do soby means of a written notification sent to the Accreditation Body within
thirty (30) days.
It is the responsibility of TRNA to provide any remedies to any
certified client affected by this withdrawal, appropriate to the natureof the problem that is acceptable to the Accreditation Body and inaccordance with program requirements.
These remedies could include the notification of the withdrawal to thecertified client and any plans to transition the certified clients toanother accredited registrar that offers the same services and holds thesame accreditation.
Additionally, TRNA will cease to use any advertising materials
containing reference to the accreditation and will return any
accreditation documents to the Accreditation Body. All unpaid fees
will be paid upon the withdrawal.

6 CNCA SPECIFIC REQUIREMENTS
Certified Companies with sites in China must follow the guidelines set
forth by the CNCA.
The client commits to:Run their management system continually and effectively.
Comply with the certification and accreditation laws andregulations, assist supervision and inspection by certification
supervision unit, and provide truthful relevant materials andinformation for any relevant inquiry or investigation.
Use certificate, certification logo and relevant information correctly
after certified; do not unauthorized use of the certificate andrelevant words, symbol to mislead the public to think of theirproducts or service are certified.

Notify CB promptly when the following situations occurred:

TRNA has the right to revoke a certificate for the following:

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4.4.3 Revocation of Registrar’s accreditation and/or management
system qualifications

4.4.2 Revocation of certification
If the certification is revoked, the certificate holder loses the right touse the trademark. In such a case the certificate holder may continue
to use existing documents, media etc., which are printed with thetrademark, for no more than one month from definitive cancellation of
the certification.

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the certificate or certification is improperly used;
the identification of one or more major nonconformities during asurveillance audit;
failure to allow for the conduct of an audit within the required
timeframe defined by TRNA;
failure to allow for the conduct of a scheduled audit;
conditions where environmental, safety and/or health is at risk,
including violations to such;there are any other reasons which result specifically from these
conditions or are agreed formally between TRNA and the client;
the certificate holder ceases to supply a product, process or service
for an extended period of time;
the system rules are changed and the certificate holder will not orcannot ensure conformance to the new requirements;

major complaints from the clients and interest party.
products or services are identified by law enforcement supervision
unit do not comply with the statutory requirements.
product or service quality or safety incidents occurred.
relevant situation changes include: legal status, production
operation, organization status or ownership; administration
permit, mandatory certification or other qualification certificate;legal representative, top management, main contact person;
production operation and service sites ; activities covered in thescope of certification; and important processes, etc.

Other important situation influence the certification.

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