PS OIC SMIIC 2 - 2019 MOD_GITCHIA (PDF) Standard for Halal Certification
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2019
OIC/SMIIC
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Summary
This document outlines the requirements for bodies providing Halal certification. It details the Pakistan-specific standards and considerations for operating in Pakistan. The document is an updated standard from the OIC/SMIIC, with national deviations and explanations.
Full Transcript
PS:4992-2022 (R) OIC/SMIIC 2: 2019 Second Edition, (MOD) Conformity Assessment – Requirements for Bodies Providing Halal Certification (ALL...
PS:4992-2022 (R) OIC/SMIIC 2: 2019 Second Edition, (MOD) Conformity Assessment – Requirements for Bodies Providing Halal Certification (ALL RIGHTS RESERVED) STANDARDS DEVELOPMENT CENTRE PAKISTAN STANDARDS AND QUALITY CONTROL AUTHORITY (Plot - ST-7/A, Block-3, Scheme No.36, Gulistan-e-Jauher, Karachi) MINISTRY OF SCIENCE AND TECHNOLOGY Government of Pakistan Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited NATIONAL FOREWORD 0.1 This Pakistan Standard was established by the Pakistan Standards & Quality Control Authority (PSQCA) Standards Development Centre on July 28, 2022 subsequent to the recommendation of the Draft by the Halal Conformity Assessment Technical Committee and then the same had been approved by the “National Standards Committee on Halal”. 0.2 PSQCA, under Ministry of Science & Technology, has been governed under the PSQCA Act No. VI of 1996 ,whereby developing Pakistan Standards as per mandate given in sub section (xvi) of section 8 of the act i.e. framing, publishing, amending, revising or withdrawal of Pakistan Standards in relation to any article, product, process as well as in accordance with Pakistan standard rules 2008. 0.3 To carry out the purposes of the Act, it advises the government on standardization policies, programs & activities to foster/promote standards and conformity assessment as means of advancing national economy, promoting industrial efficiency & development, ensuring the health & safety of the public, protecting the consumers, facilitating domestic & global trade and furthering international co-operation in relation to standards & conformity assessment. 0.4 The formulation/adoption of standards is being carried out through duly constituted ‘National Standards Committee” and “Technical Committees” comprise of experts representatives from relevant public and private organizations for consensus- based standards to safeguard national interest, public tendencies, keeping in view the concept of quality, safety, and health efficiency as basic parameters for the sustainable advancement. 0.5 During the preparation of this standard views of all the concerned stakeholders have been taken into due consideration. 0.6 This standard was first developed in 2010 then revised in 2016 in the light of latest development in the industries. 0.7 However, for the ease of doing business through common standards of OIC/SMIIC, this 2nd revision of PS 4992 is the modified adoption of OIC/SMIIC2-2019 with few national deviations and explanations in clauses/subclasses, as per “SMIIC Standard Adoption Process Guide”, that have been distinctly mentioned in Normative National Annexure (NA) which follows this National Foreword. Note 1: In addition to the other requirements of this standard, see National Annexure - NA for Pakistan. Note 2: This Standard specifies requirements to enable an organization to demonstrate compliance with applicable statutory and regulatory requirements. 0.8 For further information on Pakistan standards development, please visit PSQCA website: www.psqca.com.pk ii Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited NATIONAL ANNEXURE (NA) (NORMATIVE) (Deviations and explanations for operations in Pakistan or export to Pakistan) NA.1. Islamic affairs (shariah) Auditor (addition in OIC/SMIIC 2 clause 3) A Muslim, expert in shariah, and competent in auditing halal procedures and requirements, formally appointed by the halal certification body Explanation: Shariah expert with complete possession of auditor-requirements and competence has been doing the audit activities for the last 12 years in Pakistan. His man-day is counted when he performs the audit. He also leads the audit after fulfilling the lead auditor criteria. That is why; the term “Islamic affairs (shariah) auditor” has been added in terms and definitions. NA.2 Liability and financing (addition in OIC/SMIIC 2, clause 5.3) The certification body shall have adequate arrangements e.g. Takaful (Islamic insurance or reserves) to cover liabilities arising from its operations. Explanation: The term “Takaful” is the Islamic term used for the Islamic insurance. This term is used in the Pakistan’s halal and Islamic finance standards. NA.3 Materials Evaluation (addition in OIC/SMIIC 2 clause 7) a. The certification body shall have documented procedure/process and determined competence criteria for Halal evaluation of raw materials, including additives, processing aids, ingredients (active not-active). b. Halal evaluation process includes packaging and maintenance materials that may come into contact with the product. c. Material evaluation service may be provided externally or by certification body personnel. d. This process shall be subject to requirements for confidentiality. Explanation: Evaluation of the raw materials is the fundamental essential for a Halal certification body (HCB). For this purpose, there shall be a documented procedure with HCB, so that the RMs be evaluated accordingly. Hence, this clause has been added to serve the cause. NA.4 Islamic affairs (shariah) auditor (addition in OIC/SMIIC2, clause 7.2) Halal certification Islamic affairs (shariah) auditor shall have relevant knowledge of Islamic rules with regard to halal certification and have received training on the OIC/SMIIC /or other relevant documents. The HCB shall ensure that the Islamic affairs (shariah) auditor has: 1 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited a. education of Islamic affairs expert; b. successfully completed training in relevant halal standards; c. at least 2 years of post-qualification work experience in the Islamic work area, that includes, but not limited to, teaching/auditing/research/ issuing Fatwa (shariah rulings including the period of Specialization in Islamic Fiqh; d. performed at least ten (10) certification audit days in at least three (3) organizations as a third party auditor or under the leadership of a qualified auditor acting as a third party or as second party auditor within the last three (3) years. Explanation: This clause is related with the education and competence of shariah auditor. Anyone who wants to be a shariah auditor can be a shariah auditor after fulfilling these requirements. So, like the technical auditor there is an opportunity to be a shariah auditor. NA.4.1 Islamic affairs experts (addition in OIC/SMIIC 2, clause 7.2.6) Education The halal certification body shall ensure that the Islamic affairs experts have at least the degree of Shahadat-ul-Aalmia, ( )شهادة العالميةissued by recognized Board of Islamic institutions. Note: Preference should be given to those who have certificate/degree of specialization in Islamic Fiqh (Jurisprudence) e.g. Takhassus-fil-Ifta/ Mujtahid/ Mufti/Dars-e-Kharij). Explanation: The criterion for a shariah expert/advisor is stringent in Pakistan as set and issued by the State Bank of Pakistan. Since it is a regulatory requirement, therefore, it has been added in the annexure. NA.4.2 Selection of the audit team (addition in OIC/SMIIC 2, clause 7.2.7) The audit team shall consist of at least two (2) personnel, technical expert and Islamic affairs expert. One of them shall have lead auditor qualification, competence and authorization. Explanation: According to Pakistan halal standard, a shariah auditor if fulfils the required criteria can be a lead auditor like the technical auditor. Hence, both have same opportunity to be a lead auditor after fulfilling the required criteria. 2 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited OIC/SMIIC 2: 2019 Second Edition 2019-07-22 Conformity Assessment – Requirements for Bodies Providing Halal Certification The Standards and Metrology Institute for Islamic Countries l’Institut de Normalisation et de Métrologie pour les Pays Islamiques معهد المواصفات والمقاييس للدول اإلسالمية © 2019 SMIIC Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited CONTENTS FOREWORD...................................................................................................................... iv INTRODUCTION................................................................................................................. v 1 SCOPE............................................................................................................................. 1 2 NORMATIVE REFERENCES........................................................................................... 1 3 TERMS AND DEFINITIONS............................................................................................. 2 4 PRINCIPLES.................................................................................................................... 4 4.1 General......................................................................................................................... 4 4.2 Islamic sensitivity........................................................................................................ 4 4.3 Commitment to Islamic values................................................................................... 4 4.4 Risk based approach................................................................................................... 4 5 GENERAL REQUIREMENTS.......................................................................................... 4 5.1 General......................................................................................................................... 4 5.1.1 Legal and contractual matters and Islamic responsibility.................................... 5 5.1.2 Halal certification agreement................................................................................... 5 5.1.3 Responsibility for halal certification decisions..................................................... 5 5.1.4 Use of license, certificates and marks of conformity............................................ 5 5.2 Management of impartiality........................................................................................ 5 5.3 Liability and financing................................................................................................. 6 5.4 Operations.................................................................................................................... 6 5.5 Non-discriminatory conditions................................................................................... 6 5.6 Traceability................................................................................................................... 6 5.7 Transparency............................................................................................................... 7 6 STRUCTURAL REQUIREMENTS................................................................................... 7 6.1 Organizational structure and top management........................................................ 7 6.2 Mechanism for safeguarding impartiality.................................................................. 7 6.3 Operational Control..................................................................................................... 8 7 RESOURCE REQUIREMENTS....................................................................................... 8 7.1 Competence of management and personnel............................................................ 8 7.2 Personnel involved in the halal certification activities............................................. 8 7.2.1 General...................................................................................................................... 8 7.2.2 Personnel carrying out contract review................................................................. 9 7.2.3 Personnel granting halal certification................................................................... 10 7.2.4 Technical auditors.................................................................................................. 11 7.2.5 Technical experts................................................................................................... 13 7.2.6 Islamic affairs experts............................................................................................ 13 7.2.7 Selection of the audit team.................................................................................... 14 7.3 Use of individual external technical auditors and external technical experts/Islamic affairs experts....................................................................................... 14 7.4 Personnel records..................................................................................................... 14 7.5 Outsourcing............................................................................................................... 14 ii Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 8 INFORMATION REQUIREMENTS................................................................................ 15 8.1 Publicly accessible information............................................................................... 15 8.2 Halal certification documents................................................................................... 15 8.3 Directory of certified clients..................................................................................... 15 8.4 Reference to halal certification and use of halal marks/licences.......................... 15 8.5 Confidentiality............................................................................................................ 16 8.6 Information exchange between a Halal certification body and its clients............ 16 9 PROCESS REQUIREMENTS........................................................................................ 16 9.1 General requirements................................................................................................ 16 9.2 Initial audit and halal certification............................................................................ 18 9.2.1 Application.............................................................................................................. 18 9.2.2 Application review.................................................................................................. 18 9.2.3 Initial halal certification audit................................................................................ 18 9.2.4 Initial halal certification audit and its conclusions.............................................. 20 9.2.5 Information for granting initial halal certification................................................ 20 9.2.6 Sampling................................................................................................................. 20 9.2.7 Inspections and tests............................................................................................. 20 9.2.8 Audit report............................................................................................................. 21 9.3 Surveillance activities............................................................................................... 22 9.4 Recertification............................................................................................................ 23 9.5 Special audits............................................................................................................ 23 9.6 Suspending, withdrawing or reducing the scope of halal certification................ 23 9.7 Appeals and complaints........................................................................................... 23 9.8 Records of applicants and clients........................................................................... 23 9.9 Changes affecting certification................................................................................ 23 10 MANAGEMENT SYSTEM REQUIREMENTS FOR CERTIFICATION BODIES.......... 24 10.1 General..................................................................................................................... 24 10.2 Management system manual.................................................................................. 24 10.3 Control of documents............................................................................................. 24 10.4 Control of records................................................................................................... 24 10.5 Management review................................................................................................. 24 10.6 Internal audits.......................................................................................................... 24 10.7 Corrective actions................................................................................................... 24 10.8 Preventive actions................................................................................................... 24 Annex A (normative) Classification of halal product/service/process and/or management system categories.................................................................................... 25 Annex B (informative) Minimum audit time..................................................................... 27 Annex C (normative) Required competence criteria for HCB functions...................... 31 Bibliography..................................................................................................................... 36 iii Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited FOREWORD The Standards and Metrology Institute for Islamic Countries (SMIIC), as an intergovernmental organization, aims to set common standards to be implemented across the Organisation of the Islamic Cooperation (OIC) region where the Institute aims to ensure the protection of consumers and the interoperability of products, and also to strengthen marketplace position of the OIC Member States in the global economy while fostering innovation and free trade initiatives. Halal certification for products, services, processes or management systems is carried out to ascertain the halal status of the products, and hence, they can provide confidence to Muslim consumers that the consumed products are halal. On the producers’ side, halal certification can prevent any confusions and disputes on the halal status of the commodity they produce. This standard has been prepared by the representatives of following OIC Standardization Expert Group (SEG) Member Countries and the OIC and its Organs after 3 years of hard work and by consensus in 2010: a) Afghanistan, Albania, Azerbaijan, Bangladesh, United Arab Emirates, Brunei Darussalam, Algeria, Indonesia, Morocco, Palestine, Gabon, Iraq, Iran, Cameroon, Qatar, Kyrgyzstan, Kuwait, Libya, Lebanon, Maldives, Malaysia, Egypt, Nigeria, Oman, Uzbekistan, Pakistan, Senegal, Somalia, Sudan, Syria , Saudi Arabia, Tajikistan, Tunisia, Turkey, Turkmenistan, Uganda, Jordan, Yemen, Bosnia and Herzegovina, b) The Organization of the Islamic Conference (OIC), COMCEC Coordination Office, Islamic Chamber of Commerce and Industry (ICCI), Statistical, Economic and Social Research and Training Centre for Islamic Countries (SESRIC), Islamic Centre for Development of Trade (ICDT) and the SEG Secretariat. The first edition has been dully considered and adopted OIC/SMIIC 2:2011 - Guidelines for Bodies Providing Halal Certification by the SMIIC Technical Committee Meeting on Halal Food Issues which was held in Yaoundé, Republic of Cameroon on 16-17 May 2011. The second edition of this standard was developed by SMIIC Committee on Standards for Conformity Assessment (SMIIC/CCA) and adopted by SMIIC as OIC/SMIIC 2:2019 - Conformity Assessment – Requirements for Bodies Providing Halal Certification. SMIIC/CCA was established with the BOD Resolution 16/2015 of the 11 th SMIIC Board of Directors Meeting which was held on 30 November 2015 in İstanbul, Republic of Turkey. Main objectives of the SMIIC/CCA are the preparation of policies and standards (including guidelines, criteria, technical specifications etc.) for bodies involved in testing, calibration, certification, inspection, accreditation, and other related standards especially halal conformity assessment and accreditation. This standard is based on sources of Islamic Rules and Laws. In this standard, Islamic Rules and Laws refer to those commonly accepted rules and schools of the Islam, regardless of variations in different countries. iv Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited INTRODUCTION Certification of a halal product or service or process or management system of an organization is one means of providing assurance that the product or service or process or management system in question complies with specified standards and other normative documents and the organization has implemented a system for the management of the relevant aspects of its activities, in line with its policy in conformity with Islamic rules. This standard specifies requirements for halal certification bodies. Observance of these requirements is intended to ensure that halal certification bodies operate halal product or service or process or management system certification in a competent, consistent and impartial manner, thereby facilitating the recognition of such bodies and the acceptance of their certifications on a national, OIC and international basis. This standard serves as a foundation for facilitating the recognition and acceptance of halal certification in the interests of international trade. This standard mainly draws on ISO/IEC 17065 with normative references to ISO/IEC 17021-1 and ISO/TS 22003 and aims at defining requirements for halal certification bodies, rules for the execution of halal certification activities at national and international level, and the rules and procedures for the use of certificates and mark granted as a result of halal certification. For the purposes of this standard, the terms “Management system standard” or “Requirements” found in the relevant clauses of ISO/IEC 17021-1 and herein referred to shall be taken to mean “OIC/SMIIC halal standards or halal requirements” and/or “Management system standard” or “Requirements”. v Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited REQUIREMENTS FOR BODIES PROVIDING HALAL CERTIFICATION 1 SCOPE 1.1 This standard specifies the rules that the halal certification bodies shall satisfy and the requirements for the execution of halal certification activities. 1.2 The halal certification system used by the halal certification body may include one or more of the following, which could be coupled with production surveillance or assessment and surveillance of the supplier's management system like food safety management system (FSMS) and/or both, as described in ISO/IEC TR 17026: a) type testing or examination; b) testing or inspection of samples taken from the market or from supplier's stock or from a combination of both; c) testing or inspection of every product or of a particular product, whether new or already in use; d) batch testing or inspection; and e) design appraisal. This standard contains principles and requirements for the competence, consistency and impartiality of the audit and certification of halal product/service/process and/or management systems for bodies providing these activities. Certification of halal product/service/process and/or management systems (named in this standard “halal certification”) is a third-party conformity assessment activity. Bodies performing this activity are therefore third-party conformity assessment bodies (named in this standard “halal certification body/bodies”). NOTE 1 A halal certification body can be non-governmental or governmental. NOTE 2 This OIC/SMIIC Standard can be used as a criteria document for accreditation (comply with OIC/SMIIC 3) or peer assessment or other audit processes. 2 NORMATIVE REFERENCES The following referenced documents are indispensable for the application of this standard. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. − ISO/IEC 17021-1, Conformity assessment - Requirements for bodies providing audit and certification of management systems – Part 1: Requirements, − ISO/IEC 17065, General requirements for bodies operating product certification systems, − ISO/IEC 17000, Conformity assessment - Vocabulary and general principles, 1 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited − ISO/IEC 17020, General criteria for the operation of various types of bodies performing inspection, − ISO/IEC 17025, General requirements for the competence of testing and calibration laboratories, − ISO 9000, Quality management systems - Fundamentals and vocabulary, − ISO/TS 22003, Food safety management systems - Requirements for bodies providing audit and certification of food safety management systems. 3 TERMS AND DEFINITIONS For the purposes of this document, the terms and definitions given in OIC/SMIIC 1, ISO/IEC 17000, ISO/IEC 17021-1 and ISO/IEC 17065 and the following shall apply. 3.1 halal certification activities conducted by halal certification bodies to certify halal products/service/process and/or management systems 3.2 halal competent authority (Islamic Authority) an entity supervising matters relating to halal issues on the basis of Islamic values of OIC/SMIIC related standards designated by the member countries 3.3 contract (Halal certification agreement) a legally enforceable arrangement signed between the applicant that has proven to conform to the halal requirements and the halal certification body/scheme owner, governing the rules for the right of use of logo granted to halal product/service/process and/or management systems 3.4 technical auditor a person technically competent in auditing halal procedures and requirements in a particular processing technology or field, formally appointed by the halal certification body 3.5 technical expert a person technically competent in a particular processing technology or field, formally appointed by the halal certification body 3.6 Islamic affairs expert a Muslim with profound and comprehensive knowledge of Islamic rules in the subject of halal and non-halal whose competency has been approved and authorised by the relevant organization (the halal competent authority) and appointed by the halal certification body 2 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 3.7 halal symbol approved symbol, the right of use of which has been granted by the halal certification body for the halal product/service/process and/or management system in question 3.8 applicant private person or legal entity that applies for the halal certification 3.9 certificate owner/certified client/supplier legal entity that supplies halal product/service/process and/or management system certified according to halal requirements 3.10 traceability ability to follow movement of a product (e.g. food or feed) from its initial state or source to ultimate state through specified stage(s) of production, processing, packaging, storage or exposition, distribution and serving 3.11 transparency openness about decisions and activities that affect certification, society, the economy and the environment, and willingness to communicate these in a clear, accurate, timely, honest and complete manner. Transparency can be the result of processes, procedures, methods, data sources and assumptions used by the Halal Certification Body that ensure appropriate information is made available to all customers and other interested parties 3.12 Islamic work ethics IWE the set of Islamic principles that command Muslim virtuous behaviour and prevent misconduct Note 1 to entry: Islamic work ethics is an essential component for every company and employees; and staff can get virtue through Islamic work codes. The IWE is an orientation that shapes and influences the involvement and participation of believers in the workplace. Islamic work ethics give more emphasis on social aspect at workplaces, stressing on positive values such as preserving human respectability, prioritizing work commitment, and diligence. Islamic work ethics also involve cooperation and discussion when facing any obstruction and problem. Generally, the IWE is built on four primary concepts: effort, competition, transparency and morally responsible conduct. 3.13 Islamic entity the legal entity which is wholly owned by Muslims, and at the same time managed and operated by Muslims. 3 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 4 PRINCIPLES 4.1 General The principles given in Clause 4 of ISO/IEC 17021-1:2015 and Annex A of ISO/IEC 17065:2012 are the basis for the subsequent specific performance and descriptive requirements in this standard. These principles should be applied as guidance for the decisions that may need to be made for unanticipated situations. Principles are not requirements. 4.2 Islamic sensitivity 4.2.1 The halal certification body (HCB) shall adhere to the basic principles of Islam or Islamic rules. ‘Adherence’ and ‘approaching the Islamic sensitivities and concerns with utmost respect’ imposes upon the party different emphasis and compulsion for compliance. 4.2.2 The halal certification body shall demonstrate a high standard of Islamic values in terms of its office environment, management members, staff, general conduct and public interaction. 4.3 Commitment to Islamic values The halal certification body and all of its employees shall be committed to all Islamic values especially to those related to halal. 4.4 Risk based approach Certification bodies need to take into account the risks associated with providing competent, consistent and impartial certification. Risks may include those associated with: − Halal/Islamic requirements − the objectives of the audit − the sampling used in the audit process − real and perceived impartiality − legal, regulatory and liability issues − the client organization being audited and its operating environment − impact of the audit on the client and its activities − health and safety of the audit teams − perception of interested parties − misleading statements by the certified client − use of marks 5 GENERAL REQUIREMENTS 5.1 General 4 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited All the requirements given in Clause 5.1 of ISO/IEC 17021-1:2015 and Clause 4.1 of ISO/IEC 17065:2012 shall apply. 5.1.1 Legal and contractual matters and Islamic responsibility All the requirements given in Clause 5.1.1 of ISO/IEC 17021-1:2015 and Clause 4.1.1 of ISO/IEC 17065:2012 and the following shall apply. The halal certification body shall be an Islamic entity and shall have profound belief in the necessity of proper supply of halal product/service/process and/or management system for Muslims and take all relevant steps to ensure Islamic responsibility has been observed in all activities. The halal certification body shall have the responsibility for conformity with all Islamic requirements. 5.1.2 Halal certification agreement All the requirements given in Clause 5.1.2 of ISO/IEC 17021-1:2015 and Clause 4.1.2 of ISO/IEC 17065:2012 shall apply. 5.1.3 Responsibility for halal certification decisions All the requirements given in Clause 5.1.3 of ISO/IEC 17021-1:2015 and Clause 7.6.1 of ISO/IEC 17065:2012 shall apply. 5.1.4 Use of license, certificates and marks of conformity All the requirements given in Clause 4.1.3 of ISO/IEC 17065:2012 and the following shall apply. 5.1.4.1 The name or brand name of the halal certification body shall not cover any irrelevant item related to Islam or against Islamic values or rules. 5.1.4.2 The halal certification body shall ensure that its client organizations cannot use any name, logo/mark/symbol or brand name or advertisement or slogan against Islamic values beliefs. This shall be guaranteed in Halal certification agreement. 5.1.4.3 The halal certification body shall not be part of or use any other non-Muslim organization’s logo/mark/symbol/slogan and or any other ones reminding non- Muslims’ beliefs or organizations. 5.2 Management of impartiality All the requirements given in Clause 4.2 of ISO/IEC 17065:2012 and Clause 5.2 of ISO/IEC 17021-1:2015 and the following shall apply: 5.2.1 The halal certification body and any part of the same legal entity shall not offer or provide halal consultancy or management system consultancy. 5.2.2 The term “management system consultancy” mentioned in Clause 4.2 of ISO/IEC 17065:2012 shall be replaced in the context of this standard by “halal consultancy, hazard analysis consultancy or management system consultancy”. 5 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 5.3 Liability and financing All the requirements given in Clause 4.3 of ISO/IEC 17065:2012 and Clause 5.3 of ISO/IEC 17021-1:2015 shall apply. 5.4 Operations 5.4.1 The halal certification body shall take all steps necessary to evaluate conformance with the relevant halal product standards according to the requirements of specific halal product certification system. The halal certification body shall specify the relevant standards or parts thereof and any other requirements such as sampling, testing and inspection requirements which form the basis for the applicable halal certification system. 5.4.2 In conducting its halal certification operations, the halal certification body shall observe, as appropriate, the requirements for the suitability and competence of body (ies) or person(s) carrying out testing, inspection and halal certification as specified in ISO/IEC 17025, ISO/IEC 17020, ISO/IEC 17021-1, ISO/IEC 17065 and/or ISO/TS 22003. 5.5 Non-discriminatory conditions All the requirements given in Clause 4.4 of ISO/IEC 17065:2012 shall apply. 5.6 Traceability 5.6.1 A secure tracking and traceability system should be used for traceability. In this system, each product should be marked separately. This marking mechanism shall include non-copiable security features. The system shall ensure that the product/process/service is original and Halal at both stages of the supply chain, and that it can be accessed by both customers and consumers. At the same time, the system should also allow the relevant authority to make more detailed checks for market surveillance. 5.6.2 Halal certification bodies shall make it mandatory for all unit packages of halal products and outer shipping packages to be marked with a unique identifier. 5.6.3 Exclusive identifiers shall be secure, stamped/glued, inaccessible and indelible, and shall not cause any or all of the opening of the package, including the product identifier label and the price tag, to be completely or partially covered by the identifiers. 5.6.4 With respect to imported products, it is not possible to use halal marks for products that do not comply with the obligations set forth in OIC/SMIIC standards and other Halal related normative documents. If the manufacturer or exporter has used a suitable marking mechanism with these rules, no further marking shall be required for the import of these products. 5.6.5 The exclusive identifiers shall enable the determination of: 6 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited a) the date and place of production, b) expiration date, c) allergens, d) the contents, e) product description; (Brand, etc.), f) laboratory test results (if applicable and available), g) certificate authority and certificate number, h) importer, i) the validity of the label, j) label serial number or unique identification number. 5.7 Transparency 5.7.1 The Halal certification body shall make its services accessible to all applicants whose activities fall within the scope of its operations. 5.7.2 The Halal certification body shall make its fee policy publicly available. 5.7.3 The Halal certification body shall make its account records accessible when requested by Halal Accreditation Body. Halal Certification Body shall keep income and expense report related to Halal Certification activities including all income, profit/loss statements and personnel and other type of payments and where those are going to. 6 STRUCTURAL REQUIREMENTS 6.1 Organizational structure and top management All the requirements given in Clause 5.1 of ISO/IEC 17065:2012 shall apply. 6.2 Mechanism for safeguarding impartiality All the requirements given in Clause 5.2 of ISO/IEC 17065:2012, Clause 5.2 of ISO/IEC 17021-1:2015 and the following shall apply. 6.2.1 The Islamic authority recognized in the country in which the halal certification body operates shall be represented in the mechanism for safeguarding impartiality. It shall play an active role in reviewing in the light of Islamic principles the impartiality of the halal certification activities that are executed by the halal certification body and in 7 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited determining rules, procedures and policies with regard to Islamic aspects of the halal certification. 6.2.2 The Islamic authority should take due regard of and analyse any concerns that arise(s) out of the discrepancies in Islamic knowledge, practices and understanding that is likely to compromise the impartiality. 6.3 Operational Control All the requirements given in Clause 6.2 of ISO/IEC 17021-1:2015 shall apply. 7 RESOURCE REQUIREMENTS 7.1 Competence of management and personnel All the requirements given in Clause 7.1 of ISO/IEC 17021-1:2015 shall apply. Additionally, the halal certification body shall have processes to ensure that personnel have appropriate knowledge relevant to the categories (see Annex A) in which it operates and halal certification body shall define competence criteria with regard to the requirements halal standard or specification, for each technical area, and for each function in the certification process. Table C.1 in Annex C specifies the knowledge and skills that a certification body shall define for specific functions. 7.2 Personnel involved in the halal certification activities 7.2.1 General 7.2.1.1 All the requirements given in Clause 7.2 of ISO/IEC 17021-1:2015 and the following shall apply. 7.2.1.2 The halal certification body shall ensure that all personnel involved in the audit and certification activities are Muslims and they are technically competent and ethically committed to Islamic work ethics. 7.2.1.3 In order to ensure that audit and certification are carried out effectively and uniformly, the minimum relevant criteria for the competence of personnel shall be defined by the halal certification body considering Annex C. These criteria shall include training on OIC/SMIIC related documents for halal certification, OIC/SMIIC halal standards and related documents, quality management system, product certification and food safety management system (FSMS) and any other relevant management systems. 7.2.1.4 The personnel of the halal certification body can include individual auditors who work for the halal certification body on a contract basis, or other external resources. The halal certification body shall be in a position to manage, control and be responsible for the performance of all its personnel and maintain comprehensive records controlling the competence of all the staff it uses in particular areas, whether they are employees, employed on contract or provided by external bodies. 8 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 7.2.1.5 The halal certification body shall require its personnel involved in the halal certification to sign a contract or other documents by which they commit themselves: a) to comply with the rules defined by the halal certification body, including those relating to confidentiality and independence from commercial and other interest, b) to declare any prior and/or present association on their own part, or on the part of their employer, with a designer, producer or supplier of products to the halal audit or certification of which they are to be assigned. 7.2.1.6 Records on the relevant qualifications, training and experience of each member of the personnel involved in the halal certification process shall be maintained by the halal certification body. 7.2.2 Personnel carrying out contract review 7.2.2.1 Education The halal certification body shall ensure that personnel carrying out contract review have the knowledge corresponding to at least secondary education. 7.2.2.2 Food safety and/or halal related training The halal certification body shall ensure that personnel carrying out contract review have successfully completed training (s) in; a) OIC/SMIIC halal standards and related documents for halal certification, b) quality management system and product certification, c) relevant management system standards (e.g. ISO 22000, ISO 22716). 7.2.2.3 Audit training The halal certification body shall ensure that personnel carrying out contract review have completed training in audit processes based on the guidance given in ISO 19011 and any other suitable recognized Halal auditing program. NOTE It is not mandatory for personnel carrying out contract review to have or to maintain audit experience. 7.2.2.4 Competences The halal certification body shall ensure that personnel carrying out contract review demonstrate the ability to apply knowledge and skills in the following areas: a) classification of applicants in food chain categories and other sectors, b) assessment of applicant products and/or services, processes and practices, 9 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited c) deployment of halal certification auditor competences and requirements, d) determination of audit time (see Annex B) and duration requirements, e) halal certification body's policies and procedures related to contract review. 7.2.3 Personnel granting halal certification 7.2.3.1 General The halal certification body shall ensure that the personnel who take the decision on granting certification have the same education, training on halal certification, audit and work experience as required for an auditor in one category (see Annex A). The personnel taking the certification decision shall consist of a minimum of three (3) persons, at least one to be employed by the halal certification body and at least one of whom is an Islamic affairs expert. Decisions shall be taken unanimously, not by majority of votes. 7.2.3.2 Competences The halal certification body shall ensure that team granting certification demonstrate the ability to apply knowledge and skills in the following areas: a) current principles of SMIIC for halal certification, b) Islamic rules related to halal certification, c) current principles and understanding of relevant management systems, d) identification and assessment of risks for halal requirements, e) corrections and corrective actions to be taken with regards to halal matters, f) any laws and regulations relevant to the halal product/service/process, g) products, processes and practices, h) assessment and review of an audit report for accuracy and completeness, i) assessment and review of the effectiveness of corrective actions, j) the certification process, k) good understanding of the fundamental rules and conditions related to halal foods especially the slaughter of animals according to Islamic rules and the requirements of OIC/SMIIC standards and guidelines and other relevant standards. 10 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 7.2.4 Technical auditors 7.2.4.1 General Halal certification technical auditors shall normally have relevant knowledge of Islamic rules with regard to halal certification and have received training on the OIC/SMIIC halal certification documents and studying specifications and technical documentation. 7.2.4.2 Education The halal certification body shall ensure that technical auditors have the knowledge, the higher or corresponding to a post-secondary education that includes courses in the related industry categories (in Table A1, see Annex A) in which they conduct halal certification audits. 7.2.4.3 Special trainings 7.2.4.3.1 The halal certification body shall ensure that technical auditors have successfully completed training in; a) relevant management principles, b) regulations on relevant sector, c) OIC/SMIIC halal standards and guidelines, d) sector specific training. 7.2.4.3.2 The training course(s) related to Halal issues should be recognized by the halal competent authority as being appropriate and relevant. The approval or certification of the training courses by an independent body with the relevant expertise can provide some assurance that the course meets specified criteria of OIC/SMIIC halal certification. 7.2.4.4 Audit training The halal certification body shall ensure that technical auditors have completed training in audit techniques based on ISO 19011 or any other internationally recognized training or personnel certification scheme. Besides have successfully completed training in; a) relevant management or GMP standards (e.g. ISO 22000, ISO 22716), b) halal certification based on OIC/SMIIC halal standards. 11 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 7.2.4.5 Work experience For being technical auditor, at least 4 years of work experience is required and at least 2 years shall have been carried out in the field of halal certification or halal conformity assessment. 7.2.4.6 Audit experience For a first qualification, the halal certification body shall ensure that within the last three (3) years the technical auditor has performed at least ten (10) certification audit days (like FSMS or product/service/process certification systems) in at least three (3) organizations as a third party auditor or under the leadership of a qualified auditor acting as a third party or as second party auditor. NOTE FSMS audit days include audit days dealing with ISO 9001 in the food industry or other FSMS audits (like FSSC). 7.2.4.7 Competences 7.2.4.7.1 The competences of technical auditors shall be recorded for each category and sector (see Annex A). The halal certification body shall provide evidence of a successful evaluation. 7.2.4.7.2 The halal certification body shall ensure that technical auditors demonstrate the ability to apply knowledge and skills in the following areas. a) Audit principles, procedures and techniques: to enable the auditor to apply those appropriate to different audits and to ensure that audits are conducted in a consistent and systematic manner. A technical auditor shall be able; − to apply audit principles, procedures and techniques, − to plan and organize the work effectively, − to conduct the audit within the agreed time schedule, − to prioritize and focus on matters of significance, − to collect information through effective interviewing, listening, observing and reviewing documents, − records and data, − to understand the appropriateness and consequences of using sampling techniques for auditing, − to verify the accuracy of collected information, − to confirm the sufficiency and appropriateness of audit evidence to support audit findings and conclusions, − to assess those factors that can affect the reliability of the audit findings and conclusions, − to use work documents to record audit activities, − to prepare audit reports, − to maintain the confidentiality and security of information, and − to communicate effectively, either through personal linguistic skills or through an interpreter. 12 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited b) Product/service/process certification and/or management system and other reference documents i.e. OIC/SMIIC Halal Standards and other OIC/SMIIC Standards: to enable the auditor to comprehend the scope of the audit and apply audit criteria. c) Organizational situations: to enable the technical auditor to comprehend the organization's operational context. d) Applicable laws, regulations, and other legal and halal requirements relevant to the discipline: to enable the technical auditor to work within, and be aware of, the requirements that apply to the organization being audited. 7.2.4.7.3 The halal certification body shall ensure that technical auditors demonstrate the ability to apply terminology, knowledge and skills in sector specific and the following areas: a) products, processes and practices of the specific sector(s) (see Annex A), b) relevant management system requirements if applicable, c) relevant product/service standards; d) relevant halal requirements. 7.2.5 Technical experts 7.2.5.1 Education The requirements in Clause 7.2.4.2 shall apply. 7.2.5.2 Work experience The halal certification body shall ensure that technical experts have at least four (4) years work experience in their technical area. 7.2.5.3 Competences The halal certification body shall ensure that technical experts demonstrate the ability to provide expertise in their technical area. 7.2.6 Islamic affairs experts 7.2.6.1 Education The halal certification body shall ensure that Islamic affairs experts have the knowledge corresponding to at least post-secondary education in the Islamic rules. These experts shall be recognized by the halal competent authority. 13 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 7.2.6.2 Work experience The halal certification body shall ensure that Islamic affairs experts have at least two (2) years work experience in the Islamic work area. 7.2.6.3 Competences The halal certification body shall ensure that Islamic affairs experts demonstrate the ability to provide expertise in the Islamic rules related to halal certification area. 7.2.7 Selection of the audit team 7.2.7.1 The halal certification body shall ensure that the halal certification audit team have competences in the specific sector required by the audit (see Annex A). 7.2.7.2 The audit team shall consist of at least two (2) personnel. One of them shall be technical auditor who has lead auditor qualification and competence or authorization and the other one shall be an Islamic affairs expert. 7.3 Use of individual external technical auditors and external technical experts/Islamic affairs experts All the requirements given in Clause 7.3 of ISO/IEC 17021-1:2015 shall apply. Additionally, all requirements for individual technical experts shall also apply for Islamic affairs experts. 7.4 Personnel records All the requirements given in Clause 6.1.2.2 of ISO/IEC 17065:2012 shall apply. 7.5 Outsourcing All the requirements given in Clause 7.5 of ISO/IEC 17021-1:2015 and the following shall apply. 7.5.1 When a halal certification body decides to outsource work related to halal certification (e.g. audit, testing or inspection) to an external body or person, a properly documented agreement covering the arrangements including confidentiality and conflict of interest shall be drawn up. 7.5.2 The halal certification body shall; a) take full responsibility for such outsourced work and maintain its responsibility for granting, maintaining, extending, suspending or withdrawing halal certification, b) ensure that the outsourced body or person is competent and complies with the applicable provisions of this standard and the other related documents relevant to testing, inspection or other technical activities, and is not involved either directly or through the person's employer with the design or production of the halal product/service in such a way that impartiality would be compromised; 14 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited c) obtain the applicant's consent on outsourcing; and d) maintain a list of approved providers of outsourced services including their info and subcontracted scope(s), and related record of evidence on their competences. 8 INFORMATION REQUIREMENTS The certification documents shall identify in detail what process, service or product is certified, referring to sectors (see Annex A). 8.1 Publicly accessible information All the requirements given in Clause 4.6 of ISO/IEC 17065:2012 shall apply. 8.2 Halal certification documents All the requirements given in Clause 7.7 of ISO/IEC 17065:2012 shall apply. 8.3 Directory of certified clients In addition to requirements of Clause 7.8 of ISO/IEC 17065:2012, the following shall apply: a) scope of certification, b) production and service site of client (geographical location (e.g. city and country)). NOTE The directory remains the sole property of the halal certification body. 8.4 Reference to halal certification and use of halal marks/licences All the requirements given in Clause 8.3 of ISO/IEC 17021-1:2015 and the following shall apply. 8.4.1 The halal certification body shall exercise proper control over ownership, use and display of licences, halal certificates and halal marks of conformity. 8.4.2 Guidance on the use of halal certificates and halal marks permitted by the halal certification body may be obtained from related SMIIC documents. 8.4.3 Incorrect references to the halal certification system or misleading use of licences, halal certificates or marks, found in advertisements, catalogues, etc., shall be dealt with by suitable action. 8.4.4 Halal certificate owners who failed to renew their halal certificates will not be allowed to use the halal mark at the premises or on the manufactured halal products/services or inside the grocery shop or supermarkets corridors. 15 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 8.4.5 The halal mark should meet the required specifications which are approved by the SMIIC. 8.4.6 The halal mark should be printed clearly on all certified halal products and labelled on each box/package. 8.4.7 Companies are allowed to print the colour of the mark suitable to its packaging as long as it does not change the original specification of the mark. 8.4.8 The halal mark/certificate for certified halal services should be exhibited only at the entrance of the establishment which has been certified. 8.4.9 The certificate holder shall not reproduce a halal certificate granted in part and/or in a way that would hinder the legibility, nor shall be tamper with the original copies or photocopies of the halal certificate; he shall not translate the certificate and/or test reports in other languages without the control and consent of the halal certificaton body. 8.5 Confidentiality All the requirements given in Clause 8.4 of ISO/IEC 17021-1:2015 shall apply. 8.6 Information exchange between a Halal certification body and its clients All the requirements given in Clause 8.5 of ISO/IEC 17021-1:2015 shall apply. 9 PROCESS REQUIREMENTS 9.1 General requirements 9.1.1 The halal certification body shall precisely define the scope of certification in terms of halal product/service categories (e.g. primary (raw material or intermediate product) production, food processing, packaging material production etc.), category(- ies) and sectors according to Annex A. The halal certification body shall not exclude part of the processes, sectors, products or services from the scope of certification when those processes, sectors, products or services have an influence on the halal requirements of the end products. 9.1.2 The halal certification body shall have a process for choosing the audit day, time and season so that the audit team has the opportunity of auditing the organization operating on a representative number of product lines, categories and sectors covered by the scope. If the subject of the certification is halal product certification, the halal certificaton body shall review the results of all laboratory analysis in regards to halal status for the product that is produced or offered. 9.1.3 The audit programme shall include a two-stage initial audit, surveillance audit in the first and the second year, and a recertification audit in the third year prior to expiration of certification. The three years certification cycle begins with the certification or recertification decision. The determination of the audit programme and 16 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited any subsequent adjustments shall consider the size of the client organization, the scope and complexity of its management system, products and processes as well as demonstrated level of management system effectiveness and the results of any previous audits. Where a halal certification body is taking account of certification or other audits already granted to the client, it shall collect sufficient, verifiable information to justify and record any adjustments to the audit programme. The validity of certificate is determined by the halal product, process and services certification scheme and will be suspended or cancelled at any time when the certified organization is found to contravene the OIC/SMIIC halal standards and related requirements. 9.1.4 All the requirements given in Clause 9.1.3, 9.1.4 and 9.2.2 of ISO/IEC 17021- 1:2015 shall apply. 9.1.5 The halal certification body shall have documented procedures for determining audit time, and for each client the halal certification body shall determine the time needed to plan and accomplish a complete and effective audit of the client’s product/service and/or FSMS. The audit time determined by the halal certification body, and the justification for the determination, shall be recorded. In determining the audit time, the halal certification body should consider Annex B and shall consider, among other things, the following aspects: a) requirements of the OIC/SMIIC halal standards, b) size and complexity of the organization, c) technological and regulatory context, d) any outsourcing of any activities included in the scope of the production or process or FSMS, e) results of any prior audits, f) number of sites and multi-site considerations. 9.1.6 Each site of a multisite organization to be certified needs a separate assessment and certification. 9.1.7 All the requirements given in Clause 9.2.3.3, 9.2.3.4, 9.2.3.5, 9.4.1 to 9.4.7 of ISO/IEC 17021-1:2015 and Clause 7.2 to 7.4 of ISO/IEC 17065:2012 shall apply. 9.1.8 The halal certification body shall provide a written report for each audit. The report shall be based on relevant guidance provided in ISO 19011. The audit team may identify opportunities for improvement but shall not recommend specific solutions perceived as consultancy. Ownership of the audit report shall be maintained by the halal certification body. If the product/service is in the food-chain operations, the report shall include references to issues relevant to the FSMS. 17 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 9.1.9 For the certification decision, all the requirements given in Clause 9.4.9, 9.4.10, 9.5.1 to 9.5.3 of ISO/IEC 17021-1:2015 and Clause 7.5 and 7.6 of ISO/IEC 17065:2012 shall apply. 9.2 Initial audit and halal certification 9.2.1 Application a) All the requirements given in Clause 9.1.1 of ISO/IEC 17021-1:2015 shall apply. b) The halal certification body shall require the applicant organization to provide detailed information concerning legal status/entity, raw materials, process lines, FSMS related issues i.e. HACCP studies, the number of shifts and employee numbers in each shift etc. 9.2.2 Application review All the requirements given in Clause 9.1.2 of ISO/IEC 17021-1:2015 shall apply. NOTE In case of non-conformities found during the audit, the producer/service shall make a declaration that he has completely removed all the non-conformities detected in the audit, before he can renew its application. Following an unsuccessful certification process, the new application shall only be accepted if the client makes such a declaration. If the first application for certification which resulted unsuccessfully was made to a different certifying body, then the applicant shall make available detailed information regarding this first application for certification. 9.2.3 Initial halal certification audit The initial certification audit of halal product/service/process and/or management system shall be conducted in two stages: stage 1 and stage 2. 9.2.3.1 Stage 1 audit 9.2.3.1.1 All the requirements given in 9.3.1.2.1 and 9.3.1.2.2 of ISO/IEC 17021- 1:2015 and the following shall apply. Where an organization has implemented an externally developed combination of control measures, the stage 1 audit shall review the documentation included in halal requirements and/or the FSMS to determine if the combination of control measures is suitable for the organization, and if they were developed in compliance with the requirements of OIC/SMIIC halal standards, and is kept up to date. The availability of relevant authorizations should be checked when collecting the information regarding the compliance to national or international regulatory aspects. 9.2.3.1.2 The objectives of the stage 1 audit are to provide a focus for planning the stage 2 audit by gaining an understanding of the FSMS or Halal production or manufacturing in the context of the organization’s food safety hazard or Halal identification, analysis, HACCP or Halal Controls plan and PRPs, policy and objectives, and, in particular, the organization’s state of preparedness for audit by reviewing the extent to which 18 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited a) whenever applicable, the organization has identified PRPs that are appropriate to the business (e.g. regulatory and statutory requirements), b) whenever applicable, the FSMS or Halal management system includes adequate processes and methods for the identification and assessment of the organization’s food safety hazards, and subsequent selection and categorization of control measures (combinations), c) food safety legislation is in place for the relevant sector(s) of the organization, if applicable, d) the FSMS or Halal management system is designed to achieve the organization’s food safety policy, if applicable, e) the FSMS or Halal management system or relevant Halal standard implementation programme justifies proceeding to the audit (stage 2), f) the validation, verification and improvement programmes conform to the requirements of the FSMS or Halal management system standard, if applicable, g) the FSMS or Halal management system documents and arrangements are in place to communicate internally and with relevant suppliers, customers and interested parties, and h) additional documentation needs to be reviewed and/or what knowledge needs to be obtained in advance. NOTE The relevant Halal standard can be OIC/SMIIC 1 or other OIC/SMIIC standards or any Halal standards adopted by SMIIC. 9.2.3.1.3 For halal certification, the stage 1 audit can be carried out at the premises of halal certification body or at the applicant’s organization premises according to complexity of production or service in order to achieve the objectives stated above. a) In categories A, B, E, F, G, H, and J (see Annex A), it is not necessary that the stage 1 audit is an on-site audit. However, it is at the discretion of the audit team to decide to carry out an on-site audit. In categories C, D, I, K, and L (see Annex A) it is obligatory that the stage 1 audit is on-site. b) Where the stage 1 audit has not been performed on-site, the duration of stage 1 audit may not exceed 20% of the total audit duration (see Annex B). Where it covers an on-site work, then the duration of the stage 1 audit may not exceed 30% of the total audit duration (see Annex B). 9.2.3.1.4 Stage 1 audit findings shall be documented and communicated to the client, including identification of any areas of concern that could be classified as nonconformity during the stage 2 audit. The applicant shall be informed that the results of the stage 1 audit may lead to postponement or cancellation of the stage 2 audit. 19 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 9.2.3.1.5 Any part of the FSMS or Halal management system or relevant Halal standard that is audited during the stage 1 audit and determined to be fully implemented, effective and in conformity with requirements, may not need to be re- audited during the stage 2 audit. However, the halal certification body shall ensure that the already audited parts of the FSMS continue to conform to the certification requirements. In this case, the stage 2 audit report shall include these findings and shall clearly state that conformity has been established during the stage 1 audit. 9.2.3.1.6 All the requirements given in Clause 9.3.1.2.4 of ISO/IEC 17021-1:2015 shall apply. The interval between stage 1 and stage 2 audits is reasonably expected to be not longer than 6 months. The stage 1 audit should be repeated if a longer interval is needed. 9.2.3.2 Stage 2 audit All the requirements given in Clause 9.3.1.3 of ISO/IEC 17021-1:2015 shall apply. 9.2.4 Initial halal certification audit and its conclusions All the requirements given in Clause 9.3.1.4 of ISO/IEC 17021-1:2015 shall apply. 9.2.5 Information for granting initial halal certification All the requirements given in Clause 9.5.3 of ISO/IEC 17021-1:2015 shall apply. 9.2.6 Sampling 9.2.6.1 Where necessary, the audit team shall take samples in sufficient quantities from production/service premises for the performance of the required inspections and tests. 9.2.6.2 If certification of halal products is based on testing/inspection of batches of the halal product, it shall be in accordance with a defined sampling schedule utilising statistically proven techniques with stated confidence levels. In specifying any requirements for sampling, the halal certification body shall establish documented procedures for the selection and control of samples to ensure traceability, and that they are representative of halal production. 9.2.6.3 Samples taken by the audit team shall be sent for analysis to the laboratory accredited under ISO/IEC 17025 or recognized upon the approval of halal competent authority. 9.2.7 Inspections and tests 9.2.7.1 Inspections and tests on the halal product/service shall be determined in accordance with the requirements of the halal product/service and the national and/or regional or international legal provisions. 20 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 9.2.7.2 Laboratories that undertake inspections and/or analyses shall be accredited under ISO/IEC 17025 or shall be recognized upon the approval of halal competent authority. 9.2.7.3 Where independent testing facilities are not available, the halal certification body should ensure that specified controls are in place at the supplier’s testing facilities, that they are managed in a manner which provides confidence in the results obtained from that records are available to justify the confidence. 9.2.8 Audit report 9.2.8.1 The certification body shall supply a written audit report for each audit to the client organization. The audit team may clarify opportunities for improvement but shall not suggest particular solutions. Possession of the audit report shall be kept by the certification body. 9.2.8.2 The audit team leader shall be responsible for its content. The team leader shall ensure that the audit report provides an exact, brief and clear record of the audit to enable an accurate certification decision to be made. It should contain or refer to the following: a) name or symbol of the Halal certification body, b) the name and address of the client and the client’s representative, c) the type of audit (e.g. initial, surveillance or recertification audit or special audits or certification audit for a batch of products), d) the type of certification e.g. for a batch, for an unique product or process, for serial production or manufacturing, e) the audit standard or normative document or criteria, f) the audit scope, particularly identification of the organizational or functional units or processes audited and the time of the audit, g) any deviation from the audit programme or plan and their reasons, h) identification of roles in the audit team e.g. the team leader, team members, technical expert(s), Islamic affairs expert and any accompanying persons (observer(s) from HAB and/or regulatory authorities and/or Halal certification scheme owner, etc.), i) the dates and locations where the actions covered by Halal certification audit (on- site or off-site, permanent or temporary sites) were done, j) remote audit activities, if applicable or available, 21 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited k) audit findings (see 9.2.4), reference to objective evidence(s) and conclusions, abide by the requirements of the audit or standard or relevant normative documents, l) a disclaimer statement indicating that auditing is based on a sampling process of the available information, m) the use of the Halal certification documents and Halal marks or symbols, if applicable, n) confirmation of effectiveness of conducted corrective actions regarding previously identified nonconformities, if applicable, o) whenever applicable a statement on the conformity and the effectiveness of the Halal management system together with a summary of the evidence relating to: − the capability of the Halal management system to meet applicable requirements and expected outcomes, − the internal audit and management review process, p) a conclusion on the appropriateness of the certification scope, q) proposals for next audit e.g. significant or critical points to be handled or concerns to be taken into account etc. r) Halal certification suggestion from the audit team including granting, maintenance, renewal, scope extension or reduction, suspension or withdrawal etc. 9.3 Surveillance activities All the requirements given in Clause 9.6.2 of ISO/IEC 17021-1:2015 and Clause 7.9 and 7.10 of ISO/IEC 17065:2012 and the following shall apply. 9.3.1 The halal certification body shall conduct surveillance at certain time intervals as it deems necessary in order to check the continuing compliance of halal product/service with the requirements of the certification, giving due regard to the requirements of the halal product/service standard to which the certification has been conducted and taking account of the nature of halal product/service in question, requirements of the certification, any nonconformities detected in the halal product/service or halal production/service premises or any complaints received with regard to certified halal product/service. 9.3.2 Where halal production/service premises are audited and where nonconformities that directly affect halal product/service safety are detected, samples may be taken for surveillance purposes. 9.3.3 In all cases, the procedures with regard to reports issued as a result of surveillance shall be determined by decision maker(s). 22 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 9.4 Recertification All the requirements given in Clause 9.6.3 of ISO/IEC 17021-1:2015 and the following shall apply. 9.4.1 The recertification activity will be renewed unless the halal certificate is suspended or withdrawn. 9.4.2 Halal certificate owners who failed to renew their certificates will not be allowed to use the halal mark at the premises or on the manufactured products. 9.5 Special audits All the requirements given in Clause 9.6.4 of ISO/IEC 17021-1:2015 shall apply. 9.6 Suspending, withdrawing or reducing the scope of halal certification All the requirements given in 7.11 of ISO/IEC 17065:2012 shall apply. 9.7 Appeals and complaints All the requirements given in Clause 9.7 and 9.8 of ISO/IEC 17021-1:2015 and the following shall apply. 9.7.1 Applications in the case of any appeals or complaints regarding halal certification services shall be made to the halal certification body. A committee for appeals and complaints shall be established and be responsible for resolving such cases and inform the related parties accordingly. 9.7.2 The members of this committee shall be independent from any phase of the halal certification related to the subject of the complaint or appeal. 9.7.3 This committee shall consist of a minimum of three (3) persons, at least one of whom is an Islamic affairs expert. Decisions regarding appeals shall be taken unanimously, not by majority of votes. 9.7.4 Complaints by consumers regarding a certified halal product/service shall be evaluated by the halal certification body, which shall be responsible for making the necessary investigations. If, as a result of such evaluations, the complaint is found to be justified, the certificate holder shall be required to compensate for the damage(s) caused under the relevant provisions of the contract. 9.8 Records of applicants and clients All the requirements given in Clause 9.9 of ISO/IEC 17021-1:2015 shall apply. 9.9 Changes affecting certification All the requirements given in 7.10 of ISO/IEC 17065:2012 shall apply. 23 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited 10 MANAGEMENT SYSTEM REQUIREMENTS FOR CERTIFICATION BODIES 10.1 General All the requirements given in Clause 10.2.1 of ISO/IEC 17021-1:2015 shall apply. 10.2 Management system manual All the requirements given in Clause 10.2.2 of ISO/IEC 17021-1:2015 shall apply. 10.3 Control of documents All the requirements given in Clause 10.2.3 of ISO/IEC 17021-1:2015 shall apply. 10.4 Control of records All the requirements given in Clause 10.2.4 of ISO/IEC 17021-1:2015 shall apply. 10.5 Management review All the requirements given in Clause 10.2.5 of ISO/IEC 17021-1:2015 shall apply. 10.6 Internal audits All the requirements given in Clause 10.2.6 of ISO/IEC 17021-1:2015 shall apply. 10.7 Corrective actions All the requirements given in Clause 10.2.7 of ISO/IEC 17021-1:2015 shall apply. 10.8 Preventive actions All the requirements given in Clause 8.8 of ISO/IEC 17065:2012 shall apply. 24 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited Annex A (normative) Classification of halal product/service/process and/or management system categories The Halal certification body shall use Table A.1 a) to define the scope that it undertakes, b) to identify the required competency and technical qualification of its auditors, experts and staff necessary for specific tasks in the Halal certification system, c) to select a suitably qualified audit team. The examples given in Table A.1 are not exhaustive but are only an indication of relevant topics. The scope of one specific client organization may cover more than one category. Table A.1 — Halal product/service/process and/or management system categories Clustera Category Subcategory Examples of included activities Farming A Farming of AI Farming of Animals for Raising animals (other than fish and Animals Meat/ Milk/ Eggs/ Honey seafood) used for meat production, egg production, milk production or honey production Growing, keeping, trapping and hunting (slaughtering at point of hunting) Associated farm packingb and storage AII Farming of Fish and Raising fish and seafood used for meat Seafood production Growing, trapping and fishing (slaughtering at point of capture) Associated farm packingb and storage B Farming of Plants BI Farming of Plants (other Growing or harvesting of plants (other than grains and pulses) than grains and pulses): horticultural products(fruits, vegetables, spices, mushrooms, etc.) and hydrophytes for food Associated farm packingb and storage BII Farming of Grains and Growing or harvesting of grains and Pulses pulses for food Associated farm packingb and storage Food and feed C Food CI Halal slaughtering & Production of animal products including processing Manufacturing Processing of perishable fish and seafood, meat, eggs, dairy and animal products fish products including cutting and packaging. CII Processing of perishable Production of plant products including plant products fruits and fresh juices, vegetables, grains, nuts, and pulses 25 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited CIII Processing of perishable Production of mixed animal and plant animal and plant products including pizza, lasagne, products(Meat based food, sandwich, dumpling, ready to-eat meals mixed products) CIV Processing of ambient Production of Halal food products from stable products any source that are stored and sold at ambient temperature, including canned foods, biscuits, snacks, oil, drinking water, beverages, pasta, flour, sugar, food-grade salt D Animal Feed DI Production of Feed Production of feed from a single or Production mixed food source, intended for food- producing animals DII Production of Pet Food Production of feed from a single or mixed food source, intended for non- food producing animals Catering E Catering Preparation, storage and, where appropriate, delivery of Halal food for consumption, at the place of preparation or at a satellite unit, restaurants Retail, F Distribution FI Retail / Wholesale Provision of finished food products to a transport and customer (retail outlets, shops, storage wholesalers) FII Food Broking / Trading Buying and selling food products on its own account or as an agent for others Associated packagingc G Provision of GI Provision of Transport and Storage facilities and distribution Transport and Storage Services for vehicles for the storage and transport of Storage Services Perishable and ambient perishable food and feed stable Food and Feed Associated packagingc GII Provision of Transport and Storage facilities and distribution Storage Services for vehicles for the storage and transport of Ambient Stable Food and ambient stable food and feed Feed Associated packagingc Auxiliary H Services HI Provision of services related to the safe services production of food, including water supply, pest control, cleaning services, waste disposal. HII Financial services Banking, insurance, investment funds, leasing, barter etc. HIII Muslim friendly tourism Resorts, Hotels, Tourism and travel and travel related services agency services, e.g., bookings etc. I Production of Food Packaging and Packaging Production of food packaging material Material J Equipment manufacturing Production and development of food processing equipment and vending machines Biochemical K Production of (Bio) Chemicals Production of food and feed additives, vitamins, minerals, bio-cultures, flavourings, enzymes and processing aids Pesticides, drugs, fertilizers, cleaning agents Others L Other materials LI Cosmetics -------------------------------- manufacturing LII Textile and textile products -------------------------------- LIII Leather and leather -------------------------------- products LIV NEC (Not elsewhere -------------------------------- classified) a Clusters are intended to be used for accreditation scope of accredited certification bodies, and for accreditation bodies witnessing certification bodies. b “Farm packing” means packaging without product modification and processing. c “Associated packaging” means packaging without product modification and processing and without altering the primary packaging. 26 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited Annex B (informative) Minimum audit time B.1 General In determining the audit time needed for each site, as required in Clause 9.1.4 of this standard similar to ISO/IEC 17021-1, the Halal certification body should consider the minimum on-site duration for initial certification given in Table B1. The minimum time includes stage 1 and stage 2 of the initial certification audit (see Clause 9.2.3) but does not include the time for preparation of the audit nor for writing the audit report. The minimum surveillance audit time should be one-third of the initial certification audit time, with a minimum of 0.5 audit days. The minimum renewal time should be two-thirds of the initial certification audit time, with a minimum of 0.5 audit days. Where there is no relevant certified Halal product/process/service or management system in place, additional time should be added for the audit. To be considered relevant, a management system certificate should cover the scope of food safety for the relevant product/process/service/process. The number of employees should be expressed as the number of full-time equivalent employees related with the scope of certification (FTEs). The use of multi-site sampling is only possible for categories A, B, E, F and G (see Table B2) and for organizations with more than 20 sites operating similar processes within these categories. This applies to the initial certification, to surveillance and to recertification audits. The certification body shall justify its decision on sampling for multi-site certification. Other factors may necessitate increasing the minimum audit time (e.g. number of product types, number of product lines, product development, number of Halal Critical Control Points (CCPs), number of operational PRPs, building area, infrastructure, in-house laboratory testing, need for a translator). The audit time for all types of audits includes the total time on-site at a client's location (physical or virtual) and time spent off-site carrying out planning, document review, interacting with client personnel and report writing. The duration of an Halal certification on-site audit should typically not be less than 70% of the audit time calculated following the methodology in Section B.2. This applies to initial, surveillance and recertification audits. The HCB can apply any reduction or increase in the audit time by using suitable and applicable justifications. This reduction rate should not exceed 30% of audit time according to section B.2. 27 Licensed to Company M/s Gitchia Institute of Global Certification (Private) Limited Order No. PSQCA/SDC/SALES/GITCHIA/18-11-22 Single user license only. copying and networking prohibited B.2 Calculation of minimum initial certification audit time B.2.1 Minimum audit time for single site, Ts: Ts = TD + TH + (TPV + TFTE)*CC where TD is the basic on-site audit time, in days; TH is the audit days for each additional HACCP/Halal CCP product group studies and applied only for products/services/processes group in food-chain. H is considered “0” when company has 1 HACCP/Halal CCP study. For each additional study, number of audit will be increased, for other type of products/services/processes it can be taken as “0”. TPV is the audit days for product variety TFTE is the number of audit days per number of employees. CC is the factor as multiplier for process or production complexity class If after the calculation of Ts, the result is a decimal number, the number of days should be adjusted to the nearest half day or (e.g.: 5.3 audit days becomes 5.5 audit days, 5.2 audit days becomes 5 audit days). or If after the calculation of Ts, the result is a decimal number, the number of days should be rounded up to the next whole or half day (e.g.: 5.3 audit days becomes 5.5 audit days, 5.7 audit days becomes 6 audit days). B.2.2 Minimum audit time for each additional site, Tasv: Tasv = Ts * 50/100 28 Licensed
