Do fully complete and up to date (< three years old) 9104-002 “Other Party (OP) Assessor Industry Controlled Other Party (ICOP) Declaration Forms” (see Form A) exist for each OP assessor utilized for oversight activity? NOTE: Record samples of evidence reviewed. Check a sample of assessments to ensure no conflict of interest exists between the OP assessor and the assessed organization. 9104-002: 5.1.1; 9104-002: 6.1.3; 9104-002: 6.3.1; 9104-002: 6.6.3; 9104-002: Form A Do any of the completed OP Assessor ICOP Declaration Forms (see 9104-002 Form A) contain conflicts that would prevent participation as an OP assessor? 9104-002: 5.3.6; 9104-002: Form A Where oversight nonconformities are raised, does the CBMC ensure acceptable corrective actions for all identified nonconformities and is the nonconformity verified and closed in accordance with established requirements? NOTE: Defined requirements include the following: Containment and corrective action plan within 30 days. For “major” NCRs, evidence of effective implementation within 60 days. For “minor” NCRs, evidence of effective implementation within 90 days. 9104-002: 7.15 Where NCRs exceed permitted closure timescales, does the CBMC ensure that appropriate escalation action including suspension is initiated? 9104-002: 7.15.2 What controls has the CBMC established when an oversight activity is subcontracted cross frontier to another CBMC or sector? 9104-001: 16 What evidence exists to demonstrate conformance to requirements for the control of the subcontracted assessment? Oversight - Other Party (OP) Assessors How is it demonstrated that OP assessors have been trained, qualified, and re-qualified in accordance with established requirements? 9104-002: 5.2
Are all of the CBs accredited by the AB and recognized by the CBMC correctly identified in the OASIS database? 9104-001: 4.6 Has the AB made at least an annual report covering all of the required reporting elements? 9104-002: 8.3 Auditor Authentication Bodies (AABs) NOTE: Use 9104-002 Form G for the oversight of the AAB. What is the documented method for the review and approval, suspension, or withdrawal of an AAB? 9104-001: 4.7; 9104-001: 4.9 What is the documented method for the recognition of the authentications of AQMS auditors conducted by the approved AAB? 9104-001: 4.11 Are records available that demonstrate the results of the review and approval, suspension, or withdrawal of an AAB? 9104-001: 4.9 How is the independence established and confirmed for those that participated in each decision to approve, suspend, or withdraw an AAB? 9104-001: 4.7 Is the AAB approved by the CBMC correctly identified in the OASIS database? 9104-001: 4.9 Has an independent oversight assessment of each AAB been conducted effectively, during the previous calendar year, to established requirements? NOTE: If CBMC does not operate an AAB, answer ‘NA’ and record objective evidence. 9104-002: 7.8 Training Provider Approval Bodies (TPABs) NOTE: Use 9104-002 Form H for the oversight of the TPAB. What is the documented method for the review and approval, suspension, or withdrawal of a TPAB? 9104-001: 4.7; 9104-001: 4.10 What is the documented method for the recognition of the training courses approved by the TPAB? 9104-001: 4.10 Are records available that demonstrate the results of the review and approval, suspension, or withdrawal of a TPAB? 9104-001: 4.7 How is the independence established and confirmed for those that participated in 9104-001: 4.7
each decision to approve, suspend, or withdraw a TPAB? Is the TPAB approved by the CBMC correctly identified in the OASIS database? 9104-001: 4.10 Has an independent oversight assessment of each TPAB been conducted effectively, during the previous calendar year, to established requirements? NOTE: If CBMC does not operate a TPAB, answer ‘NA’ and record objective evidence. 9104-002: 7.9 Training Classes Where applicable, has the oversight of approved training classes been conducted in accordance with established requirements? NOTE: 9104-002 clause 7.10.5, oversight of a training class must include the TPAB. 9104-002: 7.10 Suspension and Withdrawal How does the CBMC establish the right to withdraw or suspend approval/recognition of ABs, CBs, AABs, AQMS auditors, TPABs, or TPs? 9104-001: 4.13 Item Question Reference(s) (Standard and Clause Number) Assessment Results (C, NC, NA, or NE) Assessment Evidence / Comments How are suspensions and withdrawals of participants by the CBMC identified to the SMS, IAQG, and OASIS database administrator? 9104-001: 4.4 Complaints and Appeals What evidence demonstrates the CBMC has established and maintains a complaint process that also addresses appeals against decisions and unresolved complaints escalated from participants? 9104-001: 4.8; 9104-002: 9 How are any complaints that cannot be resolved elevated to the SMS? 9104-002: 9.4; 9104-002: 9.5 What evidence exists that any unresolved complaints escalated from participants are summarized and reviewed on an annual basis and reported to the SMS? 9104-002: 9.6
Records What procedure(s) or process(es) is used to establish requirements for record retention, including timescales and a list of required records? 9104-001: 4.14; 9104-001: 17.1; 9104-001: 17.2; 9104-002: 10 How does the CBMC ensure the ‘right of access’ to AB, AAB, TPAB, and CB records, including OASIS database records in relation to the ICOP scheme requirements for the SMS and IAQG OPMT? 9104-001: 17.4 What are the defined arrangements for the entry into the OASIS database of AB accreditation decisions for participating CBs? 9104-001: 5.3.g; 9104-001: 5.3.7.b What are the defined arrangements for entry of CB audits of organizations into the OASIS database? 9104-001: 8.5.c Miscellaneous