Guidance Notes for Application
T.+82(0)2-867-2777 F.+82(0)2-867-2009
Application for Certification, Audit Service
and Certification Mark License
Applicants must complete all applicable sections
1.Applicant Information
Registered Company/
Organization Name / □Company / □Partnership / □Sole Trader / □Other
CEO Name
Mailing Address for invoicing
Contact for accounts payable / Name: / Title:
Telephone: / Fax:
E-MAIL :
Which standard(s) do you wish to apply for?
(Certification Program requested) / JAS-ANZ Accreditation Programs / SMR Accreditation Programs(Contact SMR HO before applying)
Quality Management / Occupational Health and Safety
□ISO 9001:2008 / □OHSAS 18001:2007
Environmental Management / Food Safety
□ISO 14001:2004 / □ISO 22000:2004
Complete APPF-C-02A and attach / □HACCP
What type of audit service(s) do you wish to be undertaken for the applied standard?
(Applicable audit service) / □Initial Certification Audit / □Re-Certification Audit
□Transfer of Certification with Surveillance audit
Complete APPF-C-02B and attach
□Transfer of Certification withRe-certification audit
Complete APPF-C-02B and attach
2.Site Information
Correspondence and invoices will be sent to the mailing address shown on page1, unless advised otherwise.
Please provide the information of Main site/Head Office(where audit will take place)andAdditional sitesto be assessed/covered by the Certification.Refer B Additional Sitesif applying for additional sites.Attach additional sheets if required. Separate applications must be completed for any locations not represented by the applicant’s CEO on page1.
A. Main Site/Head Office
Address :
Contact Name / Title : / Telephone : / No. of Employees :
Persons
Number of shifts :
Fax : / E-MAIL:
B. Additional Sites(Leave blank if not applicable)
Site Name:
Address :
Contact Name / Title : / Telephone: / No. of Employees :
Persons
Fax: / E-MAIL :
Site Name :
Address :
Contact Name / Title : / Telephone : / No. of Employees :
Persons
Fax : / E-MAIL :
3.Management System & Business Information
Management System
Dates of Initial Establishment of MS :
Dates of the Latest Internal audit / Dates of the Latest Management Review
Frequency:
Times/Year / Frequency:
Times/Year
When do you expect the management system to be ready for the first audit? / Stage1 Audit:
Stage2 Audit:
Is the system for which you seek certification integrated with any other management system? / □Yes □No If “Yes” please describe
Are you using a consultant to develop your system? / □Yes □No If “Yes” please provide the consultant’s name and contact information.
Business Information
Please list the range of products and/or services that your organization provides.
Please provide a list of the main functions within your organization (e.g. design, production, sales);
Please list the core processes(e.g. assembly, machining, consulting, servicing) within your organization and the main technologies used:
Who is the directive customer for your organization?
What type of equipment typical do you use (e.g. lathes, delivery vans, digital scanners, pollution control equipment, analytical equipment, injection molders, etc)?
Source from which you have heard about SMR
□Supply Chain / □Website / □Referral / □Agent
□Other:
Terms and Conditions
1. The applicant warrants that the information provided in this application form is correct.
2. The applicant acknowledges that it has received and agrees to abide by the following contracted documents:
(a) SMR Terms and Conditions for Certification, Audit Services and Certification Mark License;
Available at SMR website
(b) Certification Procedures relevant to the Certification Services requested: and
3. The applicant agrees that;
(a) Where SMR accepts this application in writing;
(b) If the application is not accepted in writing, when SMR starts to supply Certification or Assessment Services to the applicant;
There is a contract for the supply of Certification or Assessment Services upon the Terms and Conditions of Certification Services, including the applicant’s obligation to pay all fees due in respect of the certification services, as calculated in accordance with the agreement reached with SMR
4. The applicant agrees that if SMR issues a certificate and license to the applicant for the use of Certification Marks, the applicant will use the Marks in accordance with the Certification Mark License Terms.
5. The application remains valid for three(3) months from the date at which the application was made, after which period the application will expire.
6. Application fee paid is non-refundable.
Date :
Signed for and on behalf of Applicant
Full Name / Signature / Title
Note SMR reserves the right to reject any application. If SMR accepts an certification application for organization located in countries and regions where SMR Accreditation Countries and Regions, SMR may charge additional fees with extended certification service delivery time Refer to the Guidance Notes for Application.
APPF-C-02
Issue1 Date 25/04/2009 / Confidential / SMR / Page 1 of 4
/ Suite.1112, World Meridian Venture Center 1, #60-24, Gasan-dong, Geumcheon-gu,Seoul,Korea 153-781
T.+82(0)2-867-2777 F.+82(0)2-867-2009
Annex1. Information for ISO 14001(EMS) only
Environmental Assessment or Reviews
Have any previous environmental assessments or reviews been undertaken? / □Yes
□No / Conducted Date / If ’Yes’, please describe findings (attach if more space is required)
If ‘Yes’, the expertise was provided from?
□Corporate-internal staff □Consultant (Name/Tel )
Was your organization’s environmental policy written after the preparatory environmental review?
□Yes
□ No / If “No” , please explain the reasons
Please specify any environmental approvals, licenses, permits etc., which affect your operations:
Please list applicable
statutory & regulatory requirements relating to your operations
Monitoring and Measurement
Please complete relevant items, where applicable / Facilities of exhaust / Facilities of Discharge of Waste water
level / level
Amount of Waste / Permission of use of toxic chemical
Designated T/Year / □Yes □ No
General T/Year
Is any emissions measured to atmosphere? / □Yes
□ No / If “Yes”, for what? e.g.SO2, NO2, Dust, VOD, Heavy Metal, CO
Is anything measured in plant effluent? / □Yes
□ No / If ‘Yes’, for what? e.g. COD, , BOD, SS, N-Hex, N-NO3,General bacteria, Toxicity experiments
APPF-C-02A(R01)
Issue Date 25/04/2009 / Confidential / SMR / Page 1 of 1
/ Suite.1112, World Meridian Venture Center 1, #60-24, Gasan-dong, Geumcheon-gu,Seoul,Korea 153-781
T.+82(0)2-867-2777 F.+82(0)2-867-2009
Annex 2 Information for Transfer of Certification
Issuing Certification Body Information & Transfer Reasons
Issuing Certification Body
ContactAddress
(Telephone / Website)
The dates of the latest audit conducted
Are there any of nonconformity not closed yet? / □Yes
□No / If “Yes”, the number of nonconformities not closed yet
Major Nonconformities total( ) / Minor Nonconformities total( )
Complaints received / □Yes
□No / If “Yes” , describe the action taken
What is the certificate used for?
What makes your organization consider transfer of certification to SMR?
Confirm the expression on the Certificate
Certification No.
Is the IAF Mark seen on current certificate? / / □Yes / □No
Validity : / ~
Note After receipt of the application of Transferof Certification, SMR as the accepting body contacts with the issuing certification body and visits the applicant to verify the effectiveness of its management system certified
APPF-C-02B(R01)
Issue Date 25/04/2009 / Confidential / SMR / Page 1 of 1
/ Suite.1112, World Meridian Venture Center 1, #60-24, Gasan-dong, Geumcheon-gu,Seoul,Korea 153-781
T.+82(0)2-867-2777 F.+82(0)2-867-2009
GUIDANCE NOTES FOR APPLICATION
General Information
The following information is important. Please read it carefully before you complete your application form. Shouldyou need help in completing it, System Management Registration (hereafter “SMR”) officers are always available to advise you.
• This form is used for application review by SMR.Please make sure that you complete all the appropriate sections of this form. If a section is not applicable to you,write ‘N/A’. Do not just write ‘seeattached’, because we will not be able to consider forms marked in this way. If there is not enough room in anysection to write all that you need to include there, then enter a brief summary and enclose the full details onadditional sheets. You should only sign theform whenyou have checked that all relevant sections have been completed correctly.
1. Applicant Information
Registered Company/ Organization NamePlease first tick(√) the entity type and enter full trading name.
CEO Namethe corporate executive responsible for the operations of the firm
Mailing Address for invoicingCorrespondencebetween the applicant and SMR and invoices will be sent to the mailing address, unless advised otherwise. Please make sure without omission.
Contact for accounts payable Pleaseenter details the contact for account payable for SMR certification service. Certification Service is not like goods so that applicable fees should be paid to SMR before auditing.
Certification Programs requestedTwo types of certification programs are provided by SMR. One is the JAS-ANZ Accredited programs, such as ISO 9001 (QMS) and ISO 14001(EMS). The other one is the SMR self –Accredited Programs, such as OHSAS 18001 Occupational Health and Safety, ISO 22000 Food Safety Management System and Hazard Analysis Critical Control Points (HACCP).
Applicable Audit Servicedepends on the time line of audit that takes place. In case of the initial application for certification, it is initial certification audit. Re-certification audit is taken place after 3years of initial certification or recertification. If Transfer of Certificate to SMR occurs between initial certification/re-certification and re-certification, it is the transfer with surveillance audit. The other is the transfer with re-certification audit.
Note 1Recertification audit is carried out within 3 years after initial certification audit to confirm the continued conformity and effectiveness of the management system as a whole, and its continued relevance and applicability for the scope of certification. The process of the audit is as same as initial audit was conducted.
Note 2Surveillance audits are carried out at requested cycle to maintain confidence that the certified management system continues to fulfil requirements between recertification audits. These are on-site audits, but are not necessarily full system audits. Unacceptance of surveillance audit at requested cycle may cause suspension of certification. Surveillance audit has to be conducted at least once a year.
2. Site Information
A. Main Site/Head Office means a site having an identified central function at which certain activities are planned, controlled or managed, where audit will take place.
•Effective number of Employeesconsists of all full time personnel involved within the scope ofcertification including those working on each shift. Non-permanent (seasonal, temporary andcontracted personnel) and part time personnel who will be present at the time of the audit shall beincluded in this number.
Note3 The effective number of personnel is used as a basis for the calculation of audit duration.Dependent upon the hours worked, part time personnel numbers may be reduced and converted toan equivalent number of full time personnel. For example 2 part time personnel working 4hrs a day is considered to 1 full time worker.
B. Additional Sites a new site or group of sites that have alegal or contractual link with the Head Office of the organization and be subject to acommon management system, which is laid down, established and subject to continuoussurveillance and internal audits by the Head Office. For examples franchises,a network of sales offices (sales network) of Manufacturing companies, etc
Note 4 Temporary sitesthat are ones set up by an organization in order to perform specific work or a service fora finite period of time and which will not become a permanent site. (e.g. a construction site) are sampled for audit and identified at the time of audit.
Note 5Sampling of temporary sites is carried out according to [Annex 1] the Certification of Multiple Sites Based on Sampling of SMR Procedure No. 20 Certification program operations and Certification service delivery based on IAF MD 1:2007 for the Certification of Multiple Sites Based on SamplingIssue 1, Version 2
3. Management System & Business Information
Management System Information
•Internal audit and Management Reviewshould be performed at least once a year since the management system of the applicant was establishedbefore initial certification audit takes place.
• Use information of consulting organizationor consultantused for development of the applicant’s management system, including establishment, improvement and related education, should be provided to SMR to manage conflict of interest for certificationimpartiality.
Terms and Conditions
Here Terms and Conditions mean the Terms and Conditions for Certification, Audit Service and Certification Mark License. All applicants must read, agree and comply with the requirements in it. The breach of it causes suspension or withdrawal of certification by SMR.
Annex1. Information for ISO 14001(EMS) only
In case of the application for ISO 14001 (EMS), add this form of Annex1 to application form. Environment Aspects and Operation information should be provided to SMR without omission.
Annex 2 Information for Transfer of Certification
In case of Transfer of ISO9001(QMS)ISO 14001(EMS) Certificationfrom issuing certification body to SMR, add this form of Annex 2 to application form without omission.
•Issuing Certification Bodymeans the accredited certification body that has granted an existing and validmanagement system certification to the applicant.
Page 1 of 9/ Suite.1112, World Meridian Venture Center 1, #60-24, Gasan-dong, Geumcheon-gu,Seoul,Korea 153-781
T.+82(0)2-867-2777 F.+82(0)2-867-2009
SMR Accredited Countries and Regions
Please submit application with application fees for certification to the nearest office
KOREAHead Office
Suite.1112, World Meridian Venture Center 1, #60-24, Gasan-dong, Geumcheon-gu,Seoul,Korea 153-781
Website
Telephone .+82(0)2-867-2777
Fax .+82(0)2-867-2009
•Contact Office
MALAYSIA
Suite 8- 163, Wisma Budiman,
Persiaran Raja Chulan,
50200,Kuala Lumpur.
Telephone +603-2718 1062 / 60149194107
Fax +603-2718 0998
SINGAPORE
2 Ang Mo Kio Street 64,
#05-01c Econ Industrial Building
Singapore 569084
Telephone +65 64775491
Fax +65 64775484
..sg
VIETNAM
FOSCO Officetel Service 2, D10-11,
Ba Huyen Thanh Quan Stree, District 3
Ho Chi Minh City
Telephone +930 1967 / 3890
Fax +930 3890
SMR INDIA(Mumbai)
C - 403, Silver Tower, 4th floor,
Behind Cambridge School,
Opposite Terapanth Bhavan,
Thakur Complex,Kandivali (East),
MUMBAI - 400 101
Telephone +912220600691
Mobile +919224277283
/ SMR INDIA(Delhi)
343, Om Shubham Tower, Neelam-Bata Road,
N.I.T., Faridabad-121 001, Haryana,
Telephone+91-129-4034513 / 4054513
Fax +91-129-4035138, 4035139
SMR TURKEY
Kayisdagi Cad, Yesil Konak Sit,
A blok No:178/7, Istanbul
Telephone +90 216 573 6404
Fax +90 216 573 6436
Page 1 of 9