PROCESS OF CERTIFICATION - PC. November 2014

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Bertram Bond
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1 PROCESS OF CERTIFICATION - PC November

2 CONTENTS 1. Enquiry Stage Application Stage Pre-Assessment Stage Assessment Stage Clearance of non-compliance Recommendation to NITA-U Applications Assessment Committee (AAC) Award of Certification Maintenance of Certification Extension of Certification Appeals and Complaints Certification Schemes... 5 Appendix

Recommendation to NITA-U Applications Assessment Committee (AAC)... 4 7. Award of Certification... 5 8.

3 1. Enquiry Stage Before applying for Certification the applicant needs the following; 1. Requirements for Certification (general and also categorized by domain) 2. Relevant Standards relating to Certification 3. The document reference assists in determining which further documents are relevant. 4. The applicant also needs to acquaint with the Terms and Conditions 5. All relevant documents, forms and fee schedules All the necessities are above are detailed in the NITA-U publications Guideline for Certification. 2. Application Stage Applicants will need to send to a NITA-U/Certification Body (CB): a) A completed and signed application form (clearly specifying the organization s proposed scope of activities for certification) b) The appropriate application fee c) The organization s Quality Manual (two copies) Certification Body, appointed by the NITA-U, will contact the applicant once their application has been received and reviewed. Other supporting documentation may be requested at this stage. Applicants should expect a lead time of approx. 1. month to arrange the first visit to their organisation from receipt of application. Costs for application fees are outlined in the relevant Schedule of Fees for Certification. All the requirements at this stage are detailed in the NITA-U publication Guidelines for Certification. 3. Pre-Assessment Stage A pre-assessment is designed to evaluate the applicant's readiness for full assessment. 1. The NITA-U Certification officer/cb will assemble a peer assessment team appropriate to the scope applied for. 3

The applicant also needs to acquaint with the Terms and Conditions 5.

4 2. The applicant will be notified of the proposed team prior to the visit. 3. Typically, a pre-assessment visit takes 1 day. 4. The applicant will receive a report after the visit outlining the findings of the team Costs for pre-assessment fees are outlined in the relevant Schedule of Fees given in NITA-U publication Guidelines for Certification. 4. Assessment Stage 1. After the pre-assessment the organisation has the opportunity to address the findings of the pre-assessment. 2. An assessment visit is organised. The duration of the visit and composition of the peer assessment team is dependent upon the scope of certification requested. 3. The assessment determines an organisations compliance with the applicable standard(s), NITA- U requirements and other mandatory documents. The Assessment criteria are given in Assessment Criteria for Certification given in the NITA-U publication Guidelines for Certification. 4. At the end of the visit the team makes a recommendation on certification. Costs for assessment fees are outlined in the relevant Schedule of Fees given in the NITA-U publication Guidelines for Certification. 5. Clearance of non-compliance 1. If observations/non-compliance is raised 2. The organisation is then required to submit evidence of corrective actions to address any noncompliance raised within 1 month of the assessment. 3. When all corrective actions have been accepted and all non-compliances have been cleared, the recommendations are presented to the NITA-U Applications Assessment Committee (AAC) 6. Recommendation to NITA-U Applications Assessment Committee (AAC) The NITA-U Applications Assessment Committee (AAC) meets approximately 6 times a year. The NITA-U Certification Officer/ CB presents a report containing the recommendation to the NITA-U Applications Assessment Committee (AAC) who then make the decision on certification. If successful, certification is awarded for an agreed scope. 4

Guidelines for Certification. 4. Assessment Stage 1. After the pre-assessment the organisation has the opportunity to address the findings of the pre-assessment. 2. An assessment visit is organised.

5 7. Award of Certification The organisation will receive a certificate and a scope of certification. The certificate is valid for up-to 3 years dependent on successful surveillance visits and basing on the Terms and Conditions of Certification. The organisation will receive a unique registration number and symbol. The scope of certification will be publically available on the NITA-U Directory of Certified IT Products, Service Providers, Training Institutions, and Professionals on the NITA-U Website. 8. Maintenance of Certification An IT Services Providers/Products/Training certification is maintained by means of periodic reviews details are given in the Terms and Conditions of Certification The first surveillance visit takes place approximately 6 months after certification is awarded. A full re-assessment visit is carried out every 1-2 years. Unannounced visits may be carried out without prior notice. These visits focus primarily on the quality system components of the certification criteria. Costs for maintenance of certification are outlined in the relevant Schedule of Fees 9. Extension of Certification If an applicant wishes to extend the scope of certification, please contact you re CB/the NITA-U Certification Officer and complete the relevant extension to scope completed and signed appropriate application form 10. Appeals and Complaints An Organization wishing for reconsideration of any adverse decision made by NITA-U related to the Organization s desired certification status shall follow the process in the Appeals and Complaints Procedure 11. Certification Schemes i. Product Safety (based on IEC standards [S Mark]) ii. IECEE-CB Certification Based on IEC Standards iii. Common Criteria for Information Technology Security Evaluation - ISO/IEC iv. ISO Quality Management System (QMS) 5

The organisation will receive a unique registration number and symbol.

6 v. ISO Information Security Management System (ISMS) vi. ISO IT Service Management (ITSM) vii. Website quality Certification viii. Smart Card Testing and Certification ix. Bio-Metric devices testing and certification Appendix Flow Chart of process for Certification 6

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