List of Required Documents for Submission for the
Accreditation as a Certification Body for ManagementSystems according to DIN EN ISO/IEC 17021
72 FB 004.7_17021_e
Revision:
1.5
Date:
23.01.2017
Page:
1/3
Documentation for assessments of the office
Initial and re-accreditation:
Extension / Change of accreditation:
Surveillance of accreditation:
Column 1
Column 2
Column 3
File number:1
Case number
Phase
The required documents shall preferably be submitted electronically, in a way that the numbering can directly be
assigned to the relevant documents. For submission the Deutsche Akkreditierungsstelle GmbH (DAkkS) provides
a structured zip Folder where the required documents should be stored electronically. Please return the filled zip
Folder to your customer manager. In individual cases, documents may be submitted in hard copy, the customer
manager will inform you if necessary.
All documents/records shall be submitted in a timely manner2 for each assessment.
If necessary, further documents may be requested by the customer manager or by assessors.
No.
Document
1
2
3
1.
Quality Manual QM-including all documents relating to the requirements of
DIN EN ISO/IEC 17021 and certification areas (eg. QMS, EMS, SCC, EN 9100 Aerospace,
ISO 27001 IT security management, etc.)
X
X
2.
Master list (s) of all quality documents (including version and/or expiration date)
X
X
X
3.
Organization Chart
X
X
X
4.
Rules of procedure, members of the Committee for safeguarding impartiality
X
X
5.
Statement of the management to the independence and impartiality
X
X
6.
Analysis of conflicts of interests, including relations with affiliated bodies
X
X
7.
List of certified organizations - split by areas of certification (ISO 9001, ISO 14001, etc.)
and countries (only in cross-border certification))
X
X
8.
Sample - Certificate / copy original - certificate for each certification area
X
X
9.
Use of logo
X
X
10.
A method for monitoring of auditors
X
X
1
Will be entered by Deutschen Akkreditierungsstelle GmbH.
2
The assessment for initial accreditation will be scheduled not before the required documents are submitted
completely. In case of surveillance, extension of accreditation or reaccreditation updated documents shall be
submitted at least 6 weeks before the scheduled assessment.
X
List of Required Documents for Submission for the
Accreditation as a Certification Body for ManagementSystems according to DIN EN ISO/IEC 17021
No.
Document
72 FB 004.7_17021_e
Revision:
1.5
Date:
23.01.2017
Page:
2/3
1
2
3
11.
Tariff or price list
X
X
12.
Documentation of the certification rules and procedures
X
X
13.
List of subcontractors
X
X
14.
Auditor competence matrix for areas of certification (ISO 9001, ISO 14001, etc.) and
1
EA-sectors, ISO 22000-Cat., etc. if applicable
X
X
X
15.
List of branches / offices with the corresponding activities
X
X
X
16.
Samples of all types of contracts (certification contract with customers, contractors,
external auditors)
X
X
17.
Completed check list 72 CL 001.7_17021_e
(Document is made available electronically to DAkkS)
X
X
X
List of Required Documents for Submission for the
Accreditation as a Certification Body for ManagementSystems according to DIN EN ISO/IEC 17021
72 FB 004.7_17021_e
Revision:
1.5
Date:
23.01.2017
Page:
3/3
Documentation for the conduct of witness audits
Witness audits in the context of initial certifications
Witness audits in the context of recertifications
Witness audits in the context of surveillance of certification
No.
column 1
column 2
column 3
Document
1
2
3
1.
Customer master data (customer questionnaire, application, other certifications)
X
X
X
2.
Customer information (web address, possibly directions)
X
X
X
3.
Determination of the audit man-days, including support multi-site, transfer-Review
X
X
X
4.
Offer / Certification Agreement
X
X
X
5.
Report on examination of the dossier of the customer
X
X
X
6.
Contents / Structure of the manual
X
X
X
7.
Report on the preliminary audit / Stage 1 Audit
X
8.
Audit documentation (initial certification, last surveillance, last recertification)
X
X
9.
Certificate
X
X
10.
Audit Plan
X
X
X
11.
Evidence of qualifications, independence, monitoring, exchange of experience of the
auditors / technical experts
X
X
X
12.
Procedure of the Certification Body for the organisation of audits
X
X
X
13.
Audit documentation (audit report, deviation reports) - at the end of the audit
X
X
X