GSC has some committees such as: Certification Committee, Impartiality Committee.

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1 DESCRIPTION OF THE ORGANIZATION GSC has the approval of Government of Jalisco, Mexico to offer the certification and training services, through by our legal document constituted. Our commitment is to provide added-value on auditing services on each stage of the registration process, through the auditor experience. Global Standards has carefully selected their auditors, according to our audit philosophy. Our auditors are recognized internationally; almost all they holds any accreditation by a third part recognized body such as EXEMPLAR GLOBAL & IRCA, who examined their knowledge, skills and personal attributes to perform certification audits. Our auditors have experience in different fields and sectors in the industry such as automotive, food, chemical, education, services, government, etc. They are properly trained to offer our Clients the highest level of service, adding value to their business. Our clients are able to view results at each stage of the audit process. Auditors remain objectiveness throughout the certification process, taking in consideration that our customers have the best knowledge of their business; we do understand that there is more than one way to accomplish with the standards requirements. GSC has some committees such as: Certification Committee, Impartiality Committee. 4. General requirements. 4.1 Legal and contractual matters Legal responsibility. Global Standards S.C. (Civil Society) is a Legal Entity having address at Pedro Moreno 1677, P-4, Oficina 3, Colonia Americana, Guadalajara Jalisco, México, with legal entity number 27,391 is a professional Firm that offers Certification and training services in management system. Our team has more than 15 years experience performing certification audits and training in different industry sectors at national and international level, our Firm is accredited by ANAB (ANSI-ASQ National Accreditation Board) registered in quality management systems (QMS), environmental management systems (EMS), food safety management system (FSMS) and the scheme for FSSC this last with the recognition by the foundation of FSSC. Global Standards is also recognized to provide SQF audits Certification agreement. GSC has the legally enforceable agreements for the provision of certification activities with the clients, who shows the responsibilities of the certification body and our clients. Please see in the QM System: Sales (Initial) procedure. Sales (Re-certification) procedure. Página 1 de 14

2 4.1.3 Use of license, certificates and marks of conformity. GSC has procedures to ensure accomplish the requirement according the use of licenses, logo use and use mark, as well as, GSC monitoring constantly with the clients the correct use of marks. Please see in the QM System: Logo use procedure. 4.2 Management of impartiality. Impartiality Policy. GSC personnel are aware about the importance to fulfillment the Impartiality Policy through certification activities to eliminate the conflict of interest. Our employment and subcontractor agreement reproduce our impartiality commitment. All personnel (employees and subcontractors) have signed our agreements with the compromise of impartiality committee. Employees and Subcontractors know the procedure and inform us about any situation that could be considered as a threat of our impartiality policy. Also the impartiality policy is published through our website. Situations that Global Standards has considered apply as impartiality commitment: We do not permit financial or other pressures to certify a company to compromise impartiality. Through our FMEA analysis we identified risks for possible conflict of interest presented during our certification services and how to eliminate or minimize. Please See in the QM System of FMEA. We do not provide services of: o Design, manufacturing, installations, distributers or maintaining of the certified product; o Design, implementations, operators or maintaining of the certified process; o Design, implementations, providers or maintaining of the certified service; o Consultancy to the clients; o Management system consultancy or internal auditing to the clients where the certification scheme requires the evaluation of the client management system. o We do not state or imply that certification would be simpler, easier, faster or less expensive if a specified consultancy organization were used. o Our certification process does not select auditors whom performed consulting services or worked for the company in the previous two years. o Our certification process does not select auditor whom in the last two years have been consulting services or worked for the company to audit. o We do not certify activities or systems from other certification bodies. o We do not subcontract auditing services from a consulting or certification body. We do not provide any service that creates a threat to impartiality; we will take the necessary actions to eliminate such threats. We have created an impartiality committee whom through annual meetings assure that GSC maintain fulfillment of the impartiality policy. Página 2 de 14

3 4.3 Liability and financing. Our civil responsibilities in regards of certification services are covered through our insurance. GSC has adequate arrangements to cover liabilities arising from the operations in which have liability insurance, as well as, GSC is a company with financial stability with which comply all requirements the client and interested parties. GSC has the approval of Government of Jalisco, Mexico to offer the certification and training services, through by our legal document constituted. 4.4 Non-discriminatory conditions. Non-discriminatory Policy. GSC operates under a business model in which non-discriminatory policies and procedures are established, as well as, GSC provides services are accessible to all applicants without depending on customer size, number of certifications, operating conditions etc. 4.5 Confidentiality. GSC has the Private Notice which mentions about information treatment of the client, according with the Ley Federal de Protección de Datos Personales en Posesión de los Particulares. Information about the client obtained from other different sources of the client (e.g. from the complainant or from regulators), will be treated as confidential according with our Management System. Please See the Web page Publicly available information. GSC through the Web page informs about SQF scheme, description of the rights and duties of applicants and clients, information about procedures for handling complaints and appeals. The web page shows the support to more information. Please See the Web page. Página 3 de 14

4 5. Structural requirements. 5.1 Organizational structure and top management. a) Organization Chart For more detail: Please see in the QM System b) Document structure (Process). Resource management Management responsibility Measurement, analysis and improvement Product realization Página 4 de 14

5 Managing Director Operations Manager Sales Manager International Relations Manager Technical Manager Controller R. H. Manager Customer Service Leader Planning & Logistics Leader c) Responsibilities 1. Business budget administration 2. Quarter meetings to review KPI s 3. Annual ISO 9001 management reviews 4. Provision of resources 5. Development of policies relating to the operation 1. Accomplish business budget. 2. KPI s review. 3. Management reviews. 4. Provision of resources 5. Supervision of the implementation of the policies and procedures. 1. Sales Strategies. 2. Compliance KPI s. 3. Quotations approval. 4. Administrator Account (contractual arrangements). 5. Attention to corporate clients 1. Relations with accreditation bodies. 2. Compliance KPI s. 3. Inform about external communications. 4. Inform about external documents. 5. Witness of accreditation bodies. 1. Ensure compliance with external requirements. 2. Certification committee. 3. Administration management system (evaluation, review, decisions on certification). 4. Compliance KPI s 5. Calibration of auditors. 1. Administration of accounts. 2. Administration costs. 3. Financial statements (supervision of the finances). 4. Tax Administration. 5. Compliance KPI s 1. Management competence. 2. Organizational structure. 3. Personnel Administration. 4. Compliance KPI s. 5. Continual professional development. 1. Follow up certificate issue. 2. Follow up client satisfaction. 3. Strategy of Marketing. 4. Compliance KPI s. 5. Follow up complains appeals / suspending and withdraws certification. 1. Schedule audit. 2. Client service about schedule audit. 3. Compliance KPI s 4. Administrator Account. 5. Follow up auditor agenda. Página 5 de 14

6 Multimedia Leader Software Development Leader 1. Strategy Multimedia. 2. Development website. 3. Corporate image. 4. Social Networks. 5. Compliance KPI s. 1. Software development. 2. Requirements Managements. 3. Support software changes. 4. Management software. 5. Compliance KPI s. d) Certification Committee. GSC has created a certification committee to manage the certification activities for granting, maintaining, extending, termination, reduction, suspension or withdrawal certification. CERTIFICATION COMMITTEE MEMBERS Name Position Admin Review Maricruz Algarín Technical Staff X Alejandro Flores Technical Staff X Diego Ayala Technical Manager X Technical Review / Decisions on Certification José Del Toro SQF Auditor X Alba Castro SQF Auditor X For more detail see the Decision of Certification and Certificate issued procedures 5.2 Mechanism for safeguarding impartiality. GSC has created an impartiality committee for safeguarding the impartiality with the certification activities. The inputs of impartiality committee are: a) The policies and principles relating to the impartiality of the certification activities; b) Any tendency on the part of GSC to allow commercial or other considerations to prevent the consistent impartial provision of certification activities; c) Matters affecting impartiality and confidence in certification, including openness. Página 6 de 14

7 6. Resource requirements. 6.1 Certification body personnel General. GSC has sufficient and competent personnel to cover the operations related to the certification schemes and normative documents applicable. All personnel in GC signed the Non disclosure agreements to ensure de confidentiality in all our certification activities, this include an internal and external personnel Management of competence for personnel involved in the certification process. GSC has procedures to accomplish with the personnel competence, the procedures are: - Recruitment and Selection: Find appropriate candidates to fulfill the competencies. - Hiring: Ensure that the Candidate meets all the provisions under the law for recruitment. - Training: Detect training needs to achieve their competition. - Evaluation: Apply performance evaluation to determine improvement. - Witness: Verify the competition in the development of costumer audits. - Calibration: Adjust the technical knowledge between the audit team, certification committee, sales and personnel involved in certification activities Contract with the personnel. All personnel (Internal and subcontractors) in GSC was signed the Contract Agreement and has the file which shows the competence regarding with education, experience, training and skills. For more detail: Please see the internal network (Files). 6.2 Resources for evaluation Internal resources. GSC has all control about the certification process, particularly, Certification audit (Desk Audit, Facility Audit, Surveillance or Re-certification), additional GSC is accredited by ANAB conforming to ISO/IEC 17021:2011 and ISO 9001:2008, for providing audits and certifications of management systems in accordance with the standards ISO 9001, ISO 14001, ISO and FSSC External resources (outsourcing). At this time GSC don t have an external resource to perform evaluation activities, according with SQF Code all activities are performed with internal personnel that has a contract agreement and nondisclosure agreement. Página 7 de 14

8 7. Process requirements. 7.1 General. GSC operates one certification scheme (SQF, scope GMP Good Manufacturing Practices ) by covering our certification activities. To accomplish this certification activities GSC has the external documents with references: - SQF Code, Edition: 7.2 (July 2014), - Criteria for SQF Certification Bodies: 7.2 (July 2014), - Criteria for SQF Auditor, Edition: 8 (August 2014). - ISO/IEC 17065: 2012 (conformity assessment requirements for bodies certifying products, process and services). - ISO/IEC 17011:2004 (Conformity assessment General requirements for accreditation bodies accrediting conformity assessment bodies). - ISO/IEC 17000:2004 (Conformity assessment Vocabulary and general principles) - GFSI Guidance document. - ISO/IEC 17021:2011 (Conformity assessment Requirements for bodies providing audit and certification of management systems) - ISO 19011:2011 (Guidelines form auditing management system). In case of the applicant requires explanations concerning how to apply these documents, GSC would assigned an auditor, a technical staff or a technical expert with the proper competence to fulfill the request, assuring the accomplishment of the Impartiality Policy, and shall be made available by GSC upon request. For more detail: Please see the QM System. 7.2 Application. GSC has de Sales SQF (Initial, Recertification) procedure which shows the Application form by SQF, regarding to: - the product(s) to be certified; - the standards for which the client is looking for certification or certification scheme, - the general features of the client, including the name and the address (es) of the physical location(s) etc.; - general information concerning the client, - information concerning all outsourced processes used by the client that will affect conformity to requirements; Página 8 de 14

9 7.3 Application review. GSC review the application (information obtained) to ensure: - the information about the client and the product is sufficient to conduct to certification process; - any known difference in understanding between the certification body and the client is resolved, including agreement regarding standards or other normative documents; - the scope of certification sought is defined; - the means are available to perform all evaluation activities; - has the competence and capability to perform the certification activity. GSC ensures that has the competence and capability for all the certification activities if required to undertake and maintain a record of the justification for the decision to undertake certification into the Application form. GSC has the procedures and forms to meet the requirements with the standards and scheme applicable, the procedures are: - Sales SQF (Initial / Recertification): process steps Application form, proposal, internal approval request, client approval request, contract agreement, package integration, update GPS system, Contracts control updated and welcome letter. - Transfer: process steps Application form, proposal, internal approval request, client approval request, transfer documentation, contract agreement, package integration, update GPS system, Contracts control updated and welcome letter. - Audit Scheduled: Process steps welcome letter, contact with the client, Register of the client in the SQF assessment database, proposed audit dates review (desk audit, facility audit, recertification audit, surveillance audit, pre transfer review and corrective actions review). The objective this procedure is schedule all audit events with the client. 7.4 Evaluation. GSC has procedures to perform all activities regarding with evaluation, these procedures are according from references standards ISO 19011:2011 and ISO/IEC 17065:2012, the procedures are: - Certification audit (Desk and Facility Audit): process steps Planning and logistics news, contact with the auditee, preparing audit activities (Performing document review in preparation for the audit, Preparing the audit plan, Assigning work to the audit team, Preparing work documents, Conducting the opening meeting, Collecting and verifying information, Generating audit findings and Preparing audit conclusions and Conducting the closing meeting), Failure to comply, Preparing and distributing the audit report, Completing the audit and Maintaining Certification - Certification audit (Surveillance): additional to the above steps have this activity Certificate suspension. - Certification audit (Re certification): additional to the above steps have to develop an Unannounced Re-Certification Audit. Página 9 de 14

10 7.5 Review / 7.6 Certification decision. GSC has a procedure to perform all activities regarding with review and certification decision, this procedure according the standard ISO/IEC 17021:2011, the procedure is: - Audit realization / Certification Audit (Initial, Surveillance and Re certification): The objective is review all information and results related to the evaluation to verify the compliance with the standards and scheme applicable, this activity is performed by different person or group of persons that has not been involved in the process for evaluation, as well as, notify the client of the certification decision. 7.7 Certification documentation. Once the certification is granted, GSC will create a Certification Record in the SQF Assessment Database to provide the Client: - A Certificate of Registration in the form set out in the SQF Assessment Database with a unique Certification Number generated by the SQF Database Assessment; - An electronic copy of the relevant SQF Quality Shield which shall include GSC name and certification number for facilities which achieve level 3 certification; - A statement detailing the duration of the Certification and the grounds upon which Certification may be suspended or withdrawn; - The requirements for undertaking Surveillance Audits and Re- Certification Audits and their frequency. 7.8 Directory of certified products. GSC through the Web page maintains the clients listed which shows all information regarding with certified products among other information shows the identification of the product, standards which conformity has been certified, identification of the client, etc. Please See the Web page Evaluation. GSC has procedures to perform all activities regarding with surveillance, this procedure according the standards ISO 19011:2011 and ISO/IEC 17065:2012, the procedure is: - Certification audit (Surveillance / Re registration): process steps Planning and logistics news, contact with the auditee, preparing audit activities (Performing document review in preparation for the audit, Preparing the audit plan, Assigning work to the audit team, Preparing work documents, Conducting the opening meeting, to collect and verify information, to generate audit findings and Preparing audit conclusions and Conducting the closing meeting), Failure to comply, Preparing and Página 10 de 14

11 distributing the audit report, Certificate suspension, Completing the audit and Maintaining Certification Changes affecting certification. GSC verifies constantly all the external documents to ensure these changes are communicated to all clients, these changes are communicating in the web page, as well as, GSC verifies these requirements in the next audit events, GSC procedures were applied according to situation presented. Please See the Web page Termination, reduction, suspension or withdrawal of certification. GSC has procedure to termination, reduction, and suspension or withdrawal certification; in these procedures show the activities in different situation such as: - continuation of certification under conditions specified (e.g. increased surveillance); - reduction in the scope of certification to remove nonconforming product variants; - suspension of the certification pending remedial action by the client; - withdrawal of the certification. In case if certification is terminated by request of the client or suspended or withdrawn by GSC, appropriate actions are taken regarding with modify documents, public information and officially inform the client in order to ensure it provides no indication that the product continues to be certified. In case of scope reduction in the same way appropriate actions are taken according with the reduced scope of certification. In case of reinstated after suspension, GSC will make all necessary modifications to formal certification documents, public information, authorizations for use of marks, etc. GSC has forms and media to inform to the client about to its certification, e.g. letter suspension, withdrawal and activating, web page, etc. For more detail: Please see the QM System Records. GSC has a procedure called control of records, which show the controls of all records issued by certification activities and the Management System, as well as, GSC have a the Master of Document List where controls are established about the retaining of records Complains and appeals. GSC has procedures to receive, evaluate and make decisions on complaints, appeals and disputes, GSC record and track complaints and appeals (forms), as well as actions undertaken to resolve them. Página 11 de 14

12 8. Management system requirements. 8.2 General management system documentation. GSC establish, document, and maintain policies and objectives for fulfilment of this International Standard and SQF Code. QUALITY POLICY. Our commitment is adding value to our clients and reaches their satisfaction through auditing services, certification and training in national and international quality standards; through provide value services and practical focus audit. Our commitment with Nondiscrimination, no matter which culture, religion or company size and their personnel, as well as, accomplish with legal requirements. Implementing the ISO 9001 business model, we demand to be better continuously. OBJECTIVES Maintaining a profitable practice through of achieves the business performance indicators Manage our processes in accordance with the business model ISO 9001 requirements Improve staff skills through of provide training resources Evaluate and improve the level of customer service provided by GSC. MANAGEMENT SYSTEM (MS) REPRESENTATIVE. Top management appoints the Technical Manager as MS Representative, having responsibility and authority that include the following: - ensuring that processes and procedures needed for the management system are established, implemented and maintained; - reporting to top management on the performance of the management system and any need for improvement. 8.3 Control of documents. Objective: To control all internal and external documents by Management System, these controls are: - Approve documents for adequacy prior to issue, review and update; ensure that changes and the current revision status; are available at points of use; remain legible and readily identifiable; to control of external documents and prevent the unintended use of obsolete documents. All documentation is digitally in the system of management and its references. Página 12 de 14

13 8.4 Control of records. Objective: To control all records by Management System, these controls are: - Identification, storage, protection, retrieval, retention time and disposition of the records and its consistent with the confidentiality arrangements. 8.5 Management review. GSC has the Management review at least annually, - Review input: a. Results of internal and external audits; b. Feedback from clients and interested parties related to the fulfilment of this International Standard; c. Feedback from the mechanism for safeguarding impartiality; d. The status of preventive and corrective actions; e. Follow-up actions from previous management reviews; f. The fulfilment of objectives; g. Changes that could affect the management system; h. Appeals and complaints. i. Quality Policy and objectives. - Review output: a. Improvement of the effectiveness of the management system and their processes, b. Improvement of GSC related to the fulfilment of this International Standard, and c. Resource needs. For more detail see the Management review procedure 8.6 Internal audits. Objective: Verify the effectiveness our Management System (at least annually) according with the requirements defined, GSC shall to ensure that: - Internal audits will be conducted by personnel knowledgeable in certification, auditing and the requirements; auditors do not audit their own work; personnel responsible for the area audited will be informed of the outcome of the audit; taking actions timely and appropriate manner including all the identified opportunities for improve. Página 13 de 14

14 8.7 Corrective actions / 8.8 Preventive actions. Objective: Identify the preventive action to eliminate the causes of potential nonconformities, as well as, when be necessary to take actions to eliminate the causes of nonconformities in order to prevent recurrence. GSC has a procedure to follow up on these actions, which are recorded in our internal forms, and this information shows in the management review. Página 14 de 14