ACCREDITATION RULE 18
Issue Date: 2015/04/23
Implementation Date: 2015/06/01
Supersedes: 2013/12/17
SUBJECT: Scheduling of Witnessed Audits Required to Maintain ANAB Accreditation
APPLIES TO: ANAB-Accredited Certification Bodies (CBs)
PREFACE
This Accreditation Rule is to inform CBs of ANAB requirements for annual scheduling of required
maintenance witnessed audits within the accreditation cycle for the mutual benefit of the CB and ANAB.
ACCREDITATION RULE
1. Requirement Documents (current versions unless specified)
1.1. ISO/IEC 17021, Conformity assessment – Requirements for bodies providing audit and
certification of management systems
1.2. MA 5000, ANAB Management Systems Accreditation Manual, and ANAB Accreditation Rules
(as applicable)
1.3. FM 5310, Witnessed Audit Criteria
1.4. PR 5300, Four-year Assessment Program Process
2. Selection and Scheduling Process
2.1. ANAB and the CB shall determine which witnessed audits will be conducted to meet
requirements to maintain accreditation for an accreditation cycle using the documents above. This
shall be documented for the four-year accreditation program in a suitable format, following the
Four-year Assessment Program Process.
2.2. During the annual (including reaccreditation) office assessment, the EATL and the CB shall
select the audits to be witnessed for the coming 12 months. This selection may be based on a
specific auditor, organization, type of audit, scope, country, etc. The program must be used for
reference in determining witnessed audits required for the coming years. The EATL shall record
the required information on the Witnessed Audit Criteria form and provide it electronically to the
ANAB coordinator for prompt action. If a selected audit is confirmed to start within 120 days, the
EATL and CB shall enter all scheduling information on the Witnessed Audit Criteria form and
provide it to the ANAB coordinator immediately for prompt action.
2.3. For all audits not confirmed, ANAB will send the Witnessed Audit Criteria form to the CB six
months prior to the due date of the witnessed audit as a reminder. The CB shall complete the form
with the necessary detail needed to confirm the audit with ANAB and return it to the ANAB
coordinator at least 120 days prior to the month in which the audit is scheduled to start.
2.3.1. The detail provided on the Witnessed Audit Criteria form by the CB must be accurate and
complete to allow ANAB to confirm the witnessed audit promptly.
2.4. If the information is not provided by the CB when required or if the information provided does
not include all requested accurate information from the Witnessed Audit Criteria form to confirm
the audit, ANAB will impose penalties.
2.4.1. ANAB will impose a scheduling processing fee of $500 per witnessed audit.
ANAB Accreditation Rules represent positions taken or policies established on operational issues related to ANAB programs.
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2.4.2. If the witnessed audit still is not confirmed at least 60 days prior to the start date of the
audit, ANAB may issue a major NCR against the CB’s system. The NCR will follow
ANAB’s corrective action process.
2.4.3. If the witnessed audit still is not confirmed at least 30 days prior to the start date of the
audit, ANAB may suspend the CB’s accreditation until the audit is confirmed. The
standards/programs included in the suspension will depend on the standards/programs for
which the witnessed audit is to be scheduled.
2.5. ANAB will continue to work with the CB to gather the appropriate information for scheduling
and confirming audits. If information provided by the CB changes the scheduling timeline (e.g., a
June audit is changed to an October audit), the scheduling process starts over and sections 2.3 and
2.4 above apply.
2.6. ANAB recognizes there may be situations out of the CB’s and ANAB’s control and will review
such situations and, if appropriate, will not impose penalties; this includes situations in which
ANAB has an impact on scheduling.
3. Changes for Confirmed Audits
3.1. If the detail of a confirmed witnessed audit is changed, requiring ANAB to make a change,
without justification acceptable to ANAB (i.e., the CB has not made reasonable efforts to
maintain the confirmed audit), ANAB shall assess a change fee. Examples of acceptable
justification may include but are not limited to scope revisions with appropriate time available for
ANAB to reschedule and extenuating health- or weather-related circumstances.
3.1.1. The change fee is $50 per day per assessor if the change occurs within 120 days of the start
date of the confirmed audit.
3.2. If the witnessed audit is cancelled with no plan to reschedule or if ANAB is unable to reschedule,
ANAB will invoice the CB a percentage of the total assessor fee based on the original confirmed
dates (including one off-site day) as follows:
•
•
•
•
5% within 90 days
10% within 60 days
20% within 30 days
30% within seven days 3.2.1. ANAB will make every effort to witness the same CB client and/or audit team originally
scheduled, in accordance with the ANAB Management Systems Accreditation Manual.
3.3. ANAB recognizes there may be situations beyond the CB’s and ANAB’s control. ANAB will
review such situations and, if appropriate, will not impose penalties; this includes situations in
which ANAB has an impact on scheduling.
3.4. If a CB establishes a pattern of habitual rescheduling of audits, ANAB may take further action,
such as suspension or withdrawal, in accordance with the ANAB Management Systems
Accreditation Manual. Before ANAB initiates this level of action, the CB will have opportunities
to work with ANAB on process solutions to rectify the situation.
4. Types of Audits to Witness
4.1. Minimum required witnessed audits are outlined in the ANAB Management Systems
Accreditation Manual and Accreditation Rules for specific accreditation programs.
4.2. At least once during the four-year accreditation cycle, for each program (unless otherwise stated
in the Accreditation Rule for a given program) ANAB shall evaluate the CB’s full system audit
process (stage 1 and 2 or recertification). ANAB will consider the full system witnessed audit to
be the annual witnessed audit for that program/standard for the year.
ANAB Accreditation Rules represent positions taken or policies established on operational issues related to ANAB programs.
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4.2.1. If the annual witnessed audit has been scheduled or successfully completed for the current
assessment year, ANAB may consider the CB’s request to use an available stage 1 and 2
witnessed audit to meet the next assessment year’s required maintenance witnessed audit.
4.2.2. If the CB can demonstrate that its certification and recertification processes (including
audits, decision making, and internal processes and controls) exceed the minimum
requirements (e.g., best practice) and have been maintained effectively over time, ANAB
may reduce the required full system witnessed audits. Based on the evidence reviewed, the
EATL at his or her discretion will make a recommendation in the annual assessment report.
ANAB management will make the final decision during the continuing accreditation
review and decision process.
4.2.2.1. If the full system witnessed audits are decreased based on the demonstrated
performance of the CB’s systems, at least one full system witnessed audit will still
be required per the accreditation cycle (ANAB will determine the standards per 4.1
above).
4.2.2.2. This decrease does not apply to the aerospace quality management system
(AQMS) programs. If AQMS is part of the scope of accreditation, the one standard
selected for a full system witnessed audit will be in addition to AQMS.
4.3. The other annual witnessed audits in the four-year cycle may be surveillance, special, multi-site,
scope expansion, transfers, integrated, combined, ASRP, CAAT, etc.
4.4. Based on the CB’s audit activity and management system findings, ANAB may choose to witness
a specific audit (e.g., ASRP, multi-site). Depending on the circumstances, this selection may be
used as or in addition to an annual witnessed audit.
ANAB Accreditation Rules represent positions taken or policies established on operational issues related to ANAB programs.
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