AUDIT CHECKLIST

ISO/IEC 17020:2012
Type A Inspection Body
Audit Reference:
Office/Location:
Date of Audit:
LRV Service(s):
Auditor Name(s):
Auditees:

Clause Requirement What to look for… Audit Finding Evidence to support finding,
including procedure references,
document references etc.

4 General Requirements
4.1 Impartiality and independence
4.1.1 Inspection activities shall be undertaken impartially.

4.1.2 The inspection body shall be responsible for the Awareness of, compliance with GMS02-
impartiality of its inspection activities and shall not allow 11-01 and on Conflict of Interest,
commercial, financial or other pressures to compromise Independence, Impartiality and
impartiality. Integrity.
Do personnel contracts include clauses
on impartiality & independence?
4.1.3 The inspection body shall identify risks to its impartiality Is there a local Risk Register for Threats
on an ongoing basis. This shall include those risks that to Impartiality?
arise from its activities, or from its relationships, or from If not, is there awareness of the LRV
the relationships of its personnel. However, such Risk Register (appended to the
relationships do not necessarily present an inspection Inspection Services Quality Manual
body with a risk to impartiality. IMS03-04-01 App 7)?

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 Clause Requirement What to look for… Audit Finding Evidence to support finding,
including procedure references,
document references etc.

4.1.4 If a risk to impartiality is identified, the inspection body Review Risk Register (4.1.3) and ensure
shall be able to demonstrate how it eliminates or mitigation stated.
minimizes such risk. Is the Risk Register being reviewed at
regular management meetings, to
identify additional risks?
4.1.5 The inspection body shall have top management Awareness of GMS02-11-01 on Conflict
commitment to impartiality. of Interest, Independence, Impartiality
and Integrity.
4.1.6 The inspection body shall be independent to the extent Awareness of the requirements of a
that is required with regard to the conditions under which Type A inspection body.
it performs its services. Depending on these conditions, it Awareness and understanding of
shall meet the minimum requirements stipulated in GMS02-11-01 on Conflict of Interest,
Annex A, as outlined below. Independence, Impartiality and
a) An inspection body providing third party inspections Integrity.
shall meet the type A requirements of Clause A.1 (third Awareness and understanding of the
party inspection body). Inspection Services Quality Manual
IMS03-04-01.
4.2 Confidentiality
4.2.1 The inspection body shall be responsible, through legally Awareness and understanding of the
enforceable commitments, for the management of all Inspection Services Quality Manual
information obtained or created during the performance IMS03-04-01, Section 4.2. and
of inspection activities. The inspection body shall inform references to GMS02-10-11 and
the client, in advance, of the information it intends to GMS02-10-12.
place in the public domain. Except for information that Awareness and understanding of the
the client makes publicly available, or when agreed Survey Procedures Manual IMS03-04-
between the inspection body and the client (e.g. for the 67, Section 11.
purpose of responding to complaints), all other
information is considered proprietary information and Do personnel contracts include clauses
shall be regarded as confidential. on the requirement for confidentiality
(full-time employees and contracted
NOTE: Legally enforceable commitments can be, for personnel)?
example, contractual agreements.
Other communication to surveyors and
inspectors?

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 Clause Requirement What to look for… Audit Finding Evidence to support finding,
including procedure references,
document references etc.

4.2.2 When the inspection body is required by law or Check for use of standard contracts
authorized by contractual commitments to release (RFS Form 2503) that include
confidential information, the client or individual notification to clients that confidential
concerned shall, unless prohibited by law, be notified of information may be made available to an
the information provided. official accreditation or regulatory body.
4.2.3 Information about the client obtained from sources other See 4.2.1.
than the client (e.g. complainant, regulators) shall be
treated as confidential.
5 Structural Requirements
5.1 Administrative requirements
5.1.1 The inspection body shall be a legal entity, or a defined Check awareness of the applicable entity
part of a legal entity, such that it can be held legally under audit and its organisational
responsible for all its inspection activities. structure.
NOTE A governmental inspection body is deemed to be Awareness of GMS00 Group
a legal entity on the basis of its governmental status. Management System Manual and
GMS01 and GMS02 policies.
5.1.2 An inspection body that is part of a legal entity involved Check if other activities are being
in activities other than inspection shall be identifiable undertaken e.g. second party inspection,
within that entity. consulting services. If yes, what
measures have been put in place to
separate these, and to maintain
independence and impartiality?
5.1.3 The inspection body shall have documentation which Check for awareness of the Product
describes the activities for which it is competent. Register (see also IMS03-02-01) and the
competency (authorisations) process.
<Review when ByD rolls outs>
Awareness and understanding of the
Inspection Services Quality Manual
IMS03-04-01.

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 Clause Requirement What to look for… Audit Finding Evidence to support finding,
including procedure references,
document references etc.

5.1.4 The inspection body shall have adequate provision (e.g. Check awareness of Group insurance.
insurance or reserves) to cover liabilities arising from its Awareness of GMS03-03-03
operations. Commercial Bid Notice, especially
NOTE: The liability can be assumed by the State in relating to uncapped liability contracts.
accordance with national laws, or by the organization of
which the inspection body forms a part.
5.1.5 The inspection body shall have documentation Awareness of GMS03-03-03
describing the contractual conditions under which it Commercial Bid Notice.
provides the inspection, except when it provides Sample contracts to ensure RFS or
inspection services to the legal entity of which it is a appropriate contracts in place (reviewed
part. by Legal Services if not a standard LR
contract).
5.2 Organisation and Management
5.2.1 The inspection body shall be structured and managed so Awareness and understanding of the
as to safeguard impartiality. Inspection Services Quality Manual
IMS03-04-01.
5.2.2 The inspection body shall be organized and managed so Awareness of all IMS03 procedures.
as to enable it to maintain the capability to perform its Demonstrate ability to find procedures
inspection activities. in the LR GMS.
NOTE: Inspection schemes can require that the Evidence of participation in committees
inspection body participates in the exchange of technical and other technical forums with other
experience with other inspection bodies in order to inspection bodies e.g. DNV, BV, local
maintain this capability. IBs.
5.2.3 The inspection body shall define and document the Check availability of an organisation
responsibilities and reporting structure of the chart from the CEO and/or Business
organization. Director down to the operation level.
5.2.4 Where the inspection body forms a part of a legal entity As per 5.1.2.
performing other activities, the relationship between Evidence of separation and/or
these other activities and inspection activities shall be mitigation.
defined.

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 Clause Requirement What to look for… Audit Finding Evidence to support finding,
including procedure references,
document references etc.

5.2.5 The inspection body shall have available one or more GMS02-06-01 and GMS02-11-02.
person(s) as technical manager(s) who have overall Check for Technical Manager(s) and
responsibility to ensure that the inspection activities are named deputy or deputies.
carried out in accordance with this International
Standard. Are these clearly on the organisation
chart? (See 5.2.3)
NOTE: This person fulfilling this function does not
always have the title of technical manager. Are there records of the qualifications,
training, experience for the technical
The person(s) fulfilling this function shall be technically manager(s) and deputies?
competent and experienced in the operation of the
inspection body. Where the inspection body has more Are there detailed Role Profiles for the
than one technical manager, the specific responsibilities technical manager(s) and deputies?
of each manager shall be defined and documented.
5.2.6 The inspection body shall have one or more named See 5.2.5.
person(s) who will deputize in the absence of any
technical manager responsible for ongoing inspection
activities.
5.2.7 The inspection body shall have a job description or other Evidence of Role Profiles for key
documentation for each position category within its personnel and a selection of surveyors
organization involved in inspection activities. and inspectors (including non-
exclusive).
6 Resource Requirements
6.1 Personnel
6.1.1 The inspection body shall define and document the Awareness of the authorisations process
competence requirements for all personnel involved in (competency justification).
inspection activities, including requirements for <Review when new Tech Competencies
education, training, technical knowledge, skills and rolls out>
experience.
6.1.2 The inspection body shall employ, or have contracts Evidence of personnel contracts (full
with, a sufficient number of persons with the required time employees and non-exclusives).
competencies, including, where needed, the ability to Evidence of records retained to cover
make professional judgements, to perform the type, qualifications, training, experience etc.s
range and volume of its inspection activities.

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 Clause Requirement What to look for… Audit Finding Evidence to support finding,
including procedure references,
document references etc.

6.1.3 The personnel responsible for inspection shall have Awareness and understanding of the
appropriate qualifications, training, experience and a Inspection Services Quality Manual
satisfactory knowledge of the requirements of the IMS03-04-01 and Survey Procedures
inspections to be carried out. They shall also have Manual IMS03-04-67.
relevant knowledge of the following: Evidence of records retained for each
 the technology used for the manufacture of the surveyor and inspector (including non-
products inspected, the operation of processes and the exclusives/contracted personnel).
delivery of services; Have these been uploaded to CS10 –
 the way in which products are used, processes are sample check.
operated and services are delivered;
Cross-check authorisations (competency
 any defects which may occur during the use of the codes) are valid for sample jobs
product, any failures in the operation of the process selected.
and any deficiencies in the delivery of services.
Evidence of Continued Professional
They shall understand the significance of deviations Development.
found with regard to the normal use of the products, the
operation of the processes and the delivery of services.
6.1.4 The inspection body shall make clear to each person See 5.2.7. Evidence of Role Profiles –
their duties, responsibilities and authorities. take samples for review.
6.1.5 The inspection body shall have documented procedures Evidence of awareness and compliance
for selecting, training, formally authorizing, and with GMS02-06-02.
monitoring inspectors and other personnel involved in Evidence of awareness and compliance
inspection activities. with GMS03-06-02 Induction (under
development).
6.1.6 The documented procedures for training (see 6.1.5) shall See 6.1.5.
address the following stages:
a) an induction period;
b) a mentored working period with experienced
inspectors;
c) continuing training to keep pace with developing
technology and inspection methods.

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 Clause Requirement What to look for… Audit Finding Evidence to support finding,
including procedure references,
document references etc.

6.1.7 The training required shall depend upon the ability,

qualifications and experience of each inspector and other
personnel involved in inspection activities, and upon the
results of monitoring (see 6.1.8).
6.1.8 Personnel familiar with the inspection methods and Evidence of compliance with IMS03-06-
procedures shall monitor all inspectors and other 01 Periodic Competency Monitoring.
personnel involved in inspection activities for Evidence of technical reviews of
satisfactory performance. Results of monitoring shall be certificates, reports and job packs.
used as a means of identifying training needs (see 6.1.7).
Evidence that all authorisation or
NOTE: Monitoring can include a combination of competency codes have been activity
techniques, such as on-site observations, report reviews, monitored or subject to technical review
interviews, simulated inspections and other techniques to over a four-year period.
assess performance, and will depend on the nature of
inspection activities. Evidence of forward planning for
Periodic Competency Monitoring.
6.1.9 Each inspector shall be observed on-site, unless there is Sample Periodic Competency (Activity)
sufficient supporting evidence that the inspector is Monitoring reports.
continuing to perform competently. Check that they are sufficiently detailed
NOTE: It is expected that on-site observations are (not yes/no answers).
performed in a way that minimizes the disturbance of the Evidence of follow-up on findings from
inspections, especially from the client's viewpoint. these reports.
6.1.10 The inspection body shall maintain records of Evidence of records being retained.
monitoring, education, training, technical knowledge, Evidence that these records are readily
skills, experience and authorization of each member of retrievable (and accessible).
its personnel involved in inspection activities.
6.1.11 The personnel involved in inspection activities shall not Compliance with GMS02-11-01 on
be remunerated in a way that influences the results of Conflict of Interest, Independence,
inspections. Impartiality and Integrity.
6.1.12 All personnel of the inspection body, either internal or Compliance with GMS02-11-01 on
external, that could influence the inspection activities Conflict of Interest, Independence,
shall act impartially. Impartiality and Integrity.

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 Clause Requirement What to look for… Audit Finding Evidence to support finding,
including procedure references,
document references etc.

6.1.13 All personnel of the inspection body, including sub- Check that personnel contracts
contractors, personnel of external bodies, and individuals (including non-exclusive/contracted
acting on the inspection body's behalf, shall keep personnel) have appropriate clauses
confidential all information obtained or created during relating to confidentiality.
the performance of the inspection activities, except as See also 4.2.1.
required by law.
6.2 Facilities and Equipment
6.2.1 The inspection body shall have available, suitable and Evidence of compliance with GMS02-
adequate facilities and equipment to permit all activities 09-03 Infrastructure Management.
associated with the inspection activities to be carried out Evidence of compliance with IMS03-04-
in a competent and safe manner. 05 EC Directives Procedure Manual
NOTE: The inspection body need not be the owner of the (Section 11) if applicable.
facilities or equipment that it uses. Facilities and Evidence of compliance with local
equipment can be borrowed, rented, hired, leased or processes for the calibration of LR
provided by another party (e.g. the manufacturer or owned measuring equipment.
installer of the equipment). However, the responsibility
for the suitability and the calibration status of the Consider:
equipment used in inspection, whether owned by the  Materials laboratories
inspection body or not, lies solely with the inspection  NDE Equipment
body.  Welding Equipment
 Other measuring equipment
6.2.2 The inspection body shall have rules for the access to, See 6.2.1
and the use of, specified facilities and equipment used to
perform inspections.
6.2.3 The inspection body shall ensure the continued See 6.2.1
suitability of the facilities and the equipment mentioned
in 6.2.1 for their intended use.
6.2.4 All equipment having a significant influence on the Evidence that the guidelines to IMS03-
results of the inspection shall be defined and, where 04-03 on Calibration are being followed.
appropriate, uniquely identified.
6.2.5 All equipment (see 6.2.4) shall be maintained in Evidence that the guidelines to IMS03-
accordance with documented procedures and 04-03 on Calibration are being followed.
instructions.

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including procedure references,
document references etc.

6.2.6 Where appropriate, measurement equipment having a Evidence that the guidelines to IMS03-
significant influence on the results of the inspection shall 04-03 on Calibration are being followed.
be calibrated before being put into service, and thereafter Evidence of reporting calibration as per
calibrated according to an established programme. IMS03-04-03.
6.2.7 The overall programme of calibration of equipment shall Evidence that the guidelines to IMS03-
be designed and operated so as to ensure that, wherever 04-03 on Calibration are being followed.
applicable, measurements made by the inspection body Sample a selection of certificates or
are traceable to national or international standards of reports for evidence.
measurement, where available. Where traceability to
national or international standards of measurement is not Check records for any measuring
applicable, the inspection body shall maintain evidence equipment owned by LR.
of correlation or accuracy of inspection results.
6.2.8 Reference standards of measurement held by the Evidence that the guidelines to IMS03-
inspection body shall be used for calibration only and for 04-03 on Calibration are being followed.
no other purpose. Reference standards of measurement Check for compliance with relevant
shall be calibrated providing traceability to a national or local procedures.
international standard of measurement.
6.2.9 Where relevant, equipment shall be subjected to in- Evidence that the guidelines to IMS03-
service checks between regular recalibrations. 04-03 on Calibration are being followed.
6.2.10 Reference materials shall, where possible, be traceable to Evidence that the guidelines to IMS03-
national or international reference materials, where they 04-03 on Calibration are being followed.
exist.
6.2.11 Where relevant for the outcome of inspection activities, Awareness of, and compliance with the
the inspection body shall have procedures for the policies in GMS02-09-XX and
following: procedures in GMS03-09-XX relating to
a) selection and approval of suppliers; the selection of suppliers.
b) verification of incoming goods and services; (There are multiple policies and
procedures applicable).
c) ensuring appropriate storage facilities.
6.2.12 Where applicable, the condition of stored items shall be
assessed at appropriate intervals to detect deterioration.

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including procedure references,
document references etc.

6.2.13 If the inspection body uses computers or automated Compliance with GMS02-09-03 clause
equipment in connection with inspections, it shall ensure 2.3.
that:
a) computer software is adequate for use; Evidence of compliance with a).
NOTE This can be done by the following: Awareness of, and compliance with
 validation of calculations before use; GMS03-07-01 Information systems
 periodic revalidation of related hardware and software; acceptable use.
 revalidation whenever changes are made to related Evidence of hardware maintenance and
hardware or software; software updates.
 software updates implemented as required.
b) procedures are established and implemented for
protecting the integrity and security of data;
c) computer and automated equipment is maintained in
order to ensure proper functioning.
6.2.14 The inspection body shall have documented procedures Compliance with GMS03-04-01 Control
for dealing with defective equipment. Defective of non-conforming products or services.
equipment shall be removed from service by segregation,
prominent labelling or marking. The inspection body
shall examine the effect of defects on previous
inspections and, when necessary, take appropriate
corrective action.
6.2.15 Relevant information on the equipment, including Evidence of hardware and software
software, shall be recorded. This shall include logs/records.
identification and, where appropriate, information on
calibration and maintenance.

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including procedure references,
document references etc.

6.3 Subcontracting
6.3.1 The inspection body shall itself normally perform the Compliance with GMS02-09-02 Control
inspections that it contracts to undertake. Where an of external experts, externally provided
inspection body subcontracts any part of the inspection, processes, products and services.
it shall ensure and be able to demonstrate that the Compliance with GMS02-09-04
subcontractor is competent to perform the activities in Procurement of externally provided
question and, where applicable, complies with the processes, products and services.
relevant requirements stipulated in this International
Standard or in other relevant conformity assessment
standards. Review records of subcontractors
NOTE 1 Reasons to subcontract can include the (companies that provide personnel or
following: services (not individual contractors)).
Sample:
 an unforeseen or abnormal overload;
 key inspection staff members being incapacitated;  Register of subcontractors
 key facilities or items of equipment being temporarily  Initial audit (due diligence) into
unfit for use; competence and ability to provide
 part of the contract from the client involving required service
inspection not covered by the inspection body's scope  Audit report
or being beyond the capability or resources of the  Annual review audits
inspection body.  Meetings to review performance
NOTE 2 The terms “subcontracting” and “outsourcing”  Technical reviews
are considered to be synonyms.
NOTE 3 Where the inspection body engages individuals Evidence of compliance with SMS and
or employees of other organizations to provide additional QMS or approved supplier equivalents.
resources or expertise, these individuals are not
considered to be subcontractors provided they are
formally contracted to operate under the inspection
body's management system (see 6.1.2).
6.3.2 The inspection body shall inform the client of its Where subcontractors have been used,
intention to subcontract any part of the inspection. seek evidence that the client has been
informed (email, letter, contract/RFS).

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including procedure references,
document references etc.

6.3.3 Whenever subcontractors carry out work that forms part

of an inspection, the responsibility for any determination
of conformity of the inspected item with the
requirements shall remain with the inspection body.
6.3.4 The inspection body shall record and retain details of its See 6.3.1
investigation of the competence of its subcontractors and
of their conformity with the applicable requirements of
this International Standard or in other relevant
conformity assessment standards. The inspection body
shall maintain a register of all subcontractors.
7 Process Requirements
7.1 Inspection methods and procedures
7.1.1 The inspection body shall use the methods and Awareness of, and compliance with the
procedures for inspection which are defined in the Survey Procedures Manual IMS03-04-
requirements against which inspection is to be 67.
performed. Where these are not defined, the inspection Awareness of, and compliance with
body shall develop specific methods and procedures to IMS03-04-03 Inspection Reporting and
be used (see 7.1.3). The inspection body shall inform the attached guidelines on scopes of
client if the inspection method proposed by the client is survey/inspection.
considered to be inappropriate.
Awareness of Product Register.
NOTE: The requirements against which the inspection is
performed are normally specified in regulations, Evidence of notification of changes to
standards or specifications, inspection schemes or GMS, IMS and Technical Notices.
contracts. Specifications can include client or in-house
requirements.
7.1.2 The inspection body shall have and shall use adequate Awareness of, and compliance with the
documented instructions on inspection planning and on Survey Procedures Manual IMS03-04-
sampling and inspection techniques, where the absence 67.
of such instructions could jeopardize the effectiveness of Awareness of, and compliance with
the inspection process. Where applicable, the inspection IMS03-04-03 Inspection Reporting and
body shall have sufficient knowledge of statistical attached guidelines on scopes of
techniques to ensure statistically sound sampling survey/inspection.
procedures and the correct processing and interpretation
of results. Both include the sampling process.

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including procedure references,
document references etc.

7.1.3 When the inspection body has to use inspection methods Check if non-standard inspection
or procedures which are non-standard, such methods and methods are employed. If yes, check if
procedures shall be appropriate and fully documented. a process or procedure has been
NOTE: A standard inspection method is one that has documented.
been published, for example, in international, regional or
national standards, or by reputable technical
organizations or by co-operation of several inspection
bodies or in relevant scientific text or journals. This
means that methods developed by any other means,
including by the inspection body itself or by the client,
are considered to be non-standard methods.
7.1.4 All instructions, standards or written procedures, Awareness of, and compliance with the
worksheets, check lists and reference data relevant to the Survey Procedures Manual IMS03-04-
work of the inspection body shall be maintained up-to- 67.
date and be readily available to the personnel. Awareness of, and compliance with
IMS03-04-03 Inspection Reporting and
attached guidelines on scopes of
survey/inspection.

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including procedure references,
document references etc.

7.1.5 The inspection body shall have a contract or work order Compliance with the policy GMS02-04-
control system which ensures that: 02 Product and service delivery general
a) work to be undertaken is within its expertise and that requirements.
the organization has adequate resources to meet the Evidence of control of contracts from
requirements; quotation, through to receipt of
NOTE Resources can include, but are not limited to, instructions (PO), allocation of control
facilities, equipment, reference documentation, numbers, allocation of competent
procedures or human resources. resources.
b) the requirements of those seeking the inspection Evidence of contract review to ensure
body's services are adequately defined and that special we can undertake the work as required.
conditions are understood, so that unambiguous Evidence of availability of all codes,
instructions can be issued to personnel performing the standards, rules and regulations for
duties to be required; surveyors and inspectors.
c) work being undertaken is controlled by regular review
and corrective action;
d) the requirements of the contract or work order have
been met.
7.1.6 When the inspection body uses information supplied by Sample examples of the verification
any other party as part of the inspection process, it shall process e.g. material certificates, NDE
verify the integrity of such information. reports/qualifications etc.
7.1.7 Observations or data obtained in the course of Evidence of the method used to record
inspections shall be recorded in a timely manner so as to inspection in a timely manner e.g.
prevent loss of relevant information. notebooks, tablet computers etc.
7.1.8 Calculations and data transfers shall be subject to Evidence of checks being carried out
appropriate checks. (both on hard copy and electronic
NOTE: Data can include textual material, digital data information).
and anything else that is transferred from one location to
another where errors could be introduced.
7.1.9 The inspection body shall have documented instructions Compliance with SMS (GMS03-10-27
for carrying out inspection in a safe manner. onwards).
See also Survey Procedures Manual
IMS03-04-67 Section 13.

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document references etc.

7.2 Handling Inspection Items and Samples

7.2.1 The inspection body shall ensure items and samples to be Evidence of compliance with IMS03-04-
inspected are uniquely identified in order to avoid 03 Inspection Reporting.
confusion regarding the identity of such items and
samples.
7.2.2 The inspection body shall establish whether the item to Evidence of compliance with IMS03-04-
be inspected has been prepared. 03 Inspection Reporting, and attached
guideline on Scopes of Survey
(Method).
7.2.3 Any apparent abnormalities notified to, or noticed by, the Evidence of compliance with IMS03-04-
inspector shall be recorded. Where there is any doubt as 03 Inspection Reporting.
to the item's suitability for the inspection to be carried Sample Non-Acceptance Notes.
out, or where the item does not conform to the
description provided, the inspection body shall contact
the client before proceeding.
7.2.4 The inspection body shall have documented procedures Evidence of compliance with IMS03-04-
and appropriate facilities to avoid deterioration or 67 Survey Procedures Manual, Section
damage to inspection items while under its 16.16.
responsibility.
7.3 Inspection Records
7.3.1 The inspection body shall maintain a record system (see Evidence of contract review.
8.4) to demonstrate the effective fulfilment of the Evidence of technical review.
inspection procedures and to enable an evaluation of the
inspection. Evidence of record retention (DocFlow
or other means).
7.3.2 The inspection report or certificate shall be internally Evidence of compliance with IMS03-04-
traceable to the inspector(s) who performed the 03 Inspection Reporting.
inspection. Sample certificates.
7.4 Inspection Reports and Inspection Certificates
7.4.1 The work carried out by the inspection body shall be
covered by a retrievable inspection report or inspection
certificate.

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document references etc.

7.4.2 Any inspection report/certificate shall include all of the Evidence of compliance with IMS03-04-
following: 03 Inspection Reporting.
a) identification of the issuing body; Sample certificates.
b) unique identification and date of issue;
c) date(s) of inspection;
d) identification of the item(s) inspected;
e) signature or other indication of approval, by
authorized personnel;
f) a statement of conformity where applicable;
g) the inspection results, except where detailed in
accordance with 7.4.3.
NOTE: Optional elements that can be included in
inspection reports or certificates are listed in Annex B.
7.4.3 An inspection body shall issue an inspection certificate Evidence of compliance with IMS03-04-
that does not include the inspection results [see 7.4.2 g)] 03 Inspection Reporting.
only when the inspection body can also produce an Sample certificates and job packs to
inspection report containing the inspection results, and check quality of cross-references and
when both the inspection certificate and inspection report traceability to other records.
are traceable to each other.
7.4.4 All information listed in 7.4.2 shall be reported correctly, Evidence of compliance with IMS03-04-
accurately, and clearly. Where the inspection report or 03 Inspection Reporting.
inspection certificate contains results supplied by Sample certificates.
subcontractors, these results shall be clearly identified.
Evidence of technical review. (See
IMS03-04-67 Section 16.12).
7.4.5 Corrections or additions to an inspection report or Compliance with IMS03-04-03 clause
inspection certificate after issue shall be recorded in 4.11.
accordance with the relevant requirements of this sub Sample inspection certificates that have
clause (7.4). An amended report or certificate shall been re-issued.
identify the report or certificate replaced.

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7.5 Complaints and Appeals

7.5.1 The inspection body shall have a documented process to Compliance with GMS02-05-01
receive, evaluate and make decisions on complaints and Customer Feedback, Perception,
appeals. Complaints and Appeals.
7.5.2 A description of the handling process for complaints and Compliance with GMS03-05-01
appeals shall be available to any interested party upon Feedback Handling.
request.
7.5.3 Upon receipt of a complaint, the inspection body shall Sample from FHS cases received.
confirm whether the complaint relates to inspection
activities for which it is responsible and, if so, shall deal
with it.
7.5.4 The inspection body shall be responsible for all decisions
at all levels of the handling process for complaints and
appeals.
7.5.5 Investigation and decision on appeals shall not result in Sample from FHS cases – check
any discriminatory actions. responses.
7.6 Complaints and Appeals Process
7.6.1 The handling process for complaints and appeals shall Compliance with GMS02-05-01
include at least the following elements and methods: Customer Feedback, Perception,
a) a description of the process for receiving, validating, Complaints and Appeals.
investigating the complaint or appeal, and deciding what
actions are to be taken in response to it;
b) tracking and recording complaints and appeals,
including actions undertaken to resolve them;
c) ensuring that any appropriate action is taken.
7.6.2 The inspection body receiving the complaint or appeal As per 7.5.3. Sample FHS cases
shall be responsible for gathering and verifying all received.
necessary information to validate the complaint or
appeal.

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7.6.3 Whenever possible, the inspection body shall Sample correspondence to complainant.
acknowledge receipt of the complaint or appeal, and
shall provide the complainant or appellant with progress
reports and the outcome.
7.6.4 The decision to be communicated to the complainant or As per 7.6.3.
appellant shall be made by, or reviewed and approved
by, individual(s) not involved in the original inspection
activities in question.
7.6.5 Whenever possible, the inspection body shall give formal Sample FHS case outcomes to ensure
notice of the end of the complaint and appeals handling formal notice provided.
process to the complainant or appellant.
8 Management System Requirements
8.1.2 Option A
The management system of the inspection body shall
address the following:
 management system documentation (e.g. manual,
policies, definition of responsibilities, see 8.2);
 control of documents (see 8.3);
 control of records (see 8.4);
 management review (see 8.5);
 internal audit (see 8.6);
 corrective actions (see 8.7);
 preventive actions (see 8.8);
 complaints and appeals (see 7.5 and 7.6).
8.2 Management System Documentation
8.2.1 The inspection body's top management shall establish, GMS/IMS
document, and maintain policies and objectives for
fulfilment of this International Standard and shall ensure
the policies and objectives are acknowledged and
implemented at all levels of the inspection body's
organization.

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8.2.2 The top management shall provide evidence of its GMS02-01-04

commitment to the development and implementation of
the management system and its effectiveness in
achieving consistent fulfilment of this International
Standard.
8.2.3 The inspection body's top management shall appoint a Confirm awareness of the accountable
member of management who, irrespective of other Director.
responsibilities, shall have responsibility and authority GMS02-01-04
that include the following:
a) ensuring that processes and procedures needed for the
management system are established, implemented and
maintained; and
b) reporting to top management on the performance of
the management system and any need for improvement.
8.2.4 All documentation, processes, systems, records, etc. GMS/IMS
related to the fulfilment of the requirements of this
International Standard shall be included, referenced, or
linked to documentation of the management system.
8.2.5 All personnel involved in inspection activities shall have Confirm (by sampling) that personnel
access to the parts of the management system are familiar with the GMS/IMS and can
documentation and related information that are find specific policies & procedures.
applicable to their responsibilities.
8.3 Control of Documents
8.3.1 The inspection body shall establish procedures to control GMS02-10-05 GMS processes and
the documents (internal and external) that relate to the controls.
fulfilment of this International Standard. GMS03-10-06 Control of documents.

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8.3.2 The procedures shall define the controls needed to: GMS03-10-06 Control of documents.
a) approve documents for adequacy prior to issue; GMS03-10-24 GMS Change Request
b) review and update (as necessary) and re-approve Form
documents;
c) ensure that changes and the current revision status of
documents are identified;
d) ensure that relevant versions of applicable documents
are available at points of use;
e) ensure that documents remain legible and readily
identifiable;
f) ensure that documents of external origin are identified
and their distribution controlled;
g) prevent the unintended use of obsolete documents,
and apply suitable identification to them if they are
retained for any purpose.
NOTE Documentation can be in any form or type of
medium, and includes proprietary and in-house
developed software.
8.4 Control of Records
8.4.1 The inspection body shall establish procedures to define IMS03-10-02 Control of Records
the controls needed for the identification, storage, Sample the storage and retrieval of
protection, retrieval, retention time and disposition of its inspection records.
records related to the fulfilment of this International
Standard.
8.4.2 The inspection body shall establish procedures for IMS03-10-02 Control of Records
retaining records for a period consistent with its Sample local archive process.
contractual and legal obligations. Access to these records
shall be consistent with the confidentiality arrangements.

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8.5 Management Review

8.5.1.1 The inspection body's top management shall establish Compliance with:
procedures to review its management system at planned GMS02-10-07 Management Review
intervals, in order to ensure its continuing suitability,
adequacy and effectiveness, including the stated policies GMS03-10-11 Management Review
and objectives related to the fulfilment of this IMS03-04-31 Management Review
International Standard. Procedure

8.5.1.2 These reviews shall be conducted at least once a year. Evidence of Management Review
Alternatively, a complete review broken up into related to the location (may be at a
segments (a rolling review) shall be completed within a higher level) – Agenda + Minutes.
12-month time frame.
8.5.1.3 Records of reviews shall be maintained. Sample Minutes.

8.5.2 Review inputs Review agenda and minutes of last

The input to the management review shall include Management Review Meeting.
information related to the following: Compliant?
a) results of internal and external audits;
b) feedback from clients and interested parties related to
the fulfilment of this International Standard;
c) the status of preventive and corrective actions;
d) follow-up actions from previous management reviews;
e) the fulfilment of objectives;
f) changes that could affect the management system;
g) appeals and complaints.
8.5.3 Review outputs Review Management Review Minutes
The outputs from the management review shall include Action List.
decisions and actions related to: Are actions being addressed in a timely
a) improvement of the effectiveness of the management manner?
system and its processes;
b) improvement of the inspection body related to the
fulfilment of this International Standard;
c) resource needs.

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8.6 Internal Audits

8.6.1 The inspection body shall establish procedures for Compliance with:
internal audits to verify that it fulfils the requirements of GMS02-10-06 Internal auditing
this International Standard and that the management
system is effectively implemented and maintained. GMS03-10-07 Internal auditing BAR
NOTE: ISO 19011 provides guidelines for conducting GMS03-10-08 Internal auditing -
internal audits. opening meeting agenda
GMS03-10-09 Internal auditing -
closing meeting agenda
GMS03-10-10 Internal auditing - audit
plan template
IMS03-10-01 Internal Audit
8.6.2 An audit programme shall be planned, taking into Evidence of planned audits at the
consideration the importance of the processes and areas location, and past audits.
to be audited, as well as the results of previous audits. Sample review of findings, and actions
taken.
8.6.3 The inspection body shall conduct periodic internal
audits covering all procedures in a planned and
systematic manner, in order to verify that the
management system is implemented and is effective.
8.6.4 Internal audits shall be performed at least once every 12 Confirm frequency of audits.
months. The frequency of internal audits may be
adjusted depending on the demonstrable effectiveness of
the management system and its proven stability.

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8.6.5 The inspection body shall ensure that: Review evidence of internal audits at
a) internal audits are conducted by qualified personnel satellite offices.
knowledgeable in inspection, auditing and the Look for evidence of compliance:
requirements of this International Standard;  Qualified knowledgeable auditors
b) auditors do not audit their own work;  Not auditing own work
c) personnel responsible for the area audited are  Feedback reporting
informed of the outcome of the audit;  Action resolution
d) any actions resulting from internal audits are taken in  Improvement actions
a timely and appropriate manner;  Full audit reports (MKI)
e) any opportunities for improvement are identified;
f) the results of the audit are documented.
8.7 Corrective Actions
8.7.1 The inspection body shall establish procedures for Compliance with:
identification and management of nonconformities in its GMS02-10-09
operations.
GMS03-10-13
GMS03-10-102
8.7.2 The inspection body shall also, where necessary, take Review FHS reports and internal audit
actions to eliminate the causes of nonconformities in reports for actions undertaken.
order to prevent recurrence.
8.7.3 Corrective actions shall be appropriate to the impact of As per 8.7.2.
the problems encountered.

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8.7.4 The procedures shall define requirements for the GMS03-10-13 Non-conformity and
following: corrective action.
a) identifying nonconformities; Sample findings and actions undertaken.
b) determining the causes of nonconformity;
c) correcting nonconformities;
d) evaluating the need for actions to ensure that
nonconformities do not recur;
e) determining the actions needed and implementing
them in a timely manner;
f) recording the results of actions taken;
g) reviewing the effectiveness of corrective actions.
8.8 Preventive Actions
8.8.1 The inspection body shall establish procedures for taking IMS03-04-01 Inspection Services
preventive actions to eliminate the causes of potential Quality Manual
nonconformities. IMS03-10-01 Internal Audit
8.8.2 Preventive actions taken shall be appropriate to the As per 8.8.1.
probable impact of the potential problems.
8.8.3 The procedures for preventive actions shall define Sample findings and actions undertaken.
requirements for the following:
a) identifying potential nonconformities and their causes;
b) evaluating the need for action to prevent the
occurrence of nonconformities;
c) determining and implementing the action needed;
d) recording the results of actions taken;
e) reviewing the effectiveness of the preventive actions
taken.
NOTE: The procedures for corrective and preventive
actions do not necessarily have to be separate.

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