MANAGEMENT SYSTEMS IN BBBEE MANAGEMENT SYSTEMS IN BBBEE MANAGEMENT SYSTEMS IN BBBEE MANAGEMENT SYSTEMS IN BBBEE ACCREDITATION AND VERIFICATIONACCREDITATION AND VERIFICATIONACCREDITATION AND VERIFICATIONACCREDITATION AND VERIFICATION

Mandla Mandla Mandla Mandla SitholeSitholeSitholeSithole

Manager : Knowledge Transfer DepartmentManager : Knowledge Transfer DepartmentManager : Knowledge Transfer DepartmentManager : Knowledge Transfer Department

ECICECICECICECIC

NRCSNRCSNRCSNRCS

SABSSABSSABSSABS

SANASSANASSANASSANAS

NMISANMISANMISANMISA

CIPCCIPCCIPCCIPC

NCTNCTNCTNCT

NGBNGBNGBNGB

NLBNLBNLBNLBNCRNCRNCRNCR

NCCNCCNCCNCC

CTCTCTCT

COTIICOTIICOTIICOTII

NEFNEFNEFNEF

1111. COUNCIL OF TRADE AND INDUSTRY INSTITUTIONS. COUNCIL OF TRADE AND INDUSTRY INSTITUTIONS. COUNCIL OF TRADE AND INDUSTRY INSTITUTIONS. COUNCIL OF TRADE AND INDUSTRY INSTITUTIONS

Development Finance and Small Development Finance and Small Development Finance and Small Development Finance and Small Business Development InstitutionsBusiness Development InstitutionsBusiness Development InstitutionsBusiness Development Institutions

Technical Infrastructure InstitutionsTechnical Infrastructure InstitutionsTechnical Infrastructure InstitutionsTechnical Infrastructure InstitutionsStandardisationStandardisationStandardisationStandardisation, Quality Assurance, , Quality Assurance, , Quality Assurance, , Quality Assurance,

Accreditation and Accreditation and Accreditation and Accreditation and MetrologyMetrologyMetrologyMetrology

Regulatory InstitutionsRegulatory InstitutionsRegulatory InstitutionsRegulatory Institutions

COTTIICOTTIICOTTIICOTTII

NRCS NRCS NRCS NRCS Act No. 5, 2008Act No. 5, 2008Act No. 5, 2008Act No. 5, 2008

Standards Standards Standards Standards Act No. Act No. Act No. Act No. 08080808, , , , 2008200820082008

Measurement Measurement Measurement Measurement Units and Units and Units and Units and Measurement Standards Measurement Standards Measurement Standards Measurement Standards ActActActAct, No. 18 of , No. 18 of , No. 18 of , No. 18 of 2006200620062006

Accreditation for Conformity Accreditation for Conformity Accreditation for Conformity Accreditation for Conformity Assessment, Calibration Assessment, Calibration Assessment, Calibration Assessment, Calibration and Good and Good and Good and Good

Laboratory Laboratory Laboratory Laboratory PracticePracticePracticePracticeAct, No. Act, No. Act, No. Act, No. 19 19 19 19 of of of of 2006200620062006

2. TECHNICAL INFRASTRUCTURE INSTITUTIONS2. TECHNICAL INFRASTRUCTURE INSTITUTIONS2. TECHNICAL INFRASTRUCTURE INSTITUTIONS2. TECHNICAL INFRASTRUCTURE INSTITUTIONS

• Ac credit <Latin> To give trust to; to believeAc credit <Latin> To give trust to; to believeAc credit <Latin> To give trust to; to believeAc credit <Latin> To give trust to; to believe

• Accreditation: Accreditation: Accreditation: Accreditation:

Third party attestation (confirmation) related to conformity assessment body (accredited body) conveying formal demonstration of its competencecompetencecompetencecompetence to carry out specific conformity assessment tasks specific conformity assessment tasks specific conformity assessment tasks specific conformity assessment tasks (ISO/IEC 17000:2004 - clause 5.6).

• Competence/yCompetence/yCompetence/yCompetence/y to carry out SSSSpecific pecific pecific pecific CCCConformity onformity onformity onformity AAAAssessment ssessment ssessment ssessment TTTTasks asks asks asks (Equivalent of BBBEE Verification Scope)

• Competency: Competency: Competency: Competency: Ability to demonstrate application of knowledge, understanding acquired through qualification, training and experience through practical skills as objectively prescribed in a set of performance criteria/ standards

3333. . . . SANAS SANAS SANAS SANAS MANDATE & CORE MANDATE & CORE MANDATE & CORE MANDATE & CORE BUSINESS BUSINESS BUSINESS BUSINESS

Enabling Act: “Accreditation Enabling Act: “Accreditation Enabling Act: “Accreditation Enabling Act: “Accreditation for Conformity Assessment, Calibration and Good for Conformity Assessment, Calibration and Good for Conformity Assessment, Calibration and Good for Conformity Assessment, Calibration and Good Laboratory Practice Laboratory Practice Laboratory Practice Laboratory Practice Act Act Act Act No. 19 of No. 19 of No. 19 of No. 19 of 2006”2006”2006”2006”

� SANAS is the sole national accreditation body in its scope of activities ( Conformity Assessment)

� Accreditation of calibration, testing and verification laboratories, certification bodies, inspection bodies, BBBEE Verification agencies BBBEE Verification agencies BBBEE Verification agencies BBBEE Verification agencies and other bodies within its scope of activities.

� Approval, Approval, Approval, Approval, competence competence competence competence and equivalence of and equivalence of and equivalence of and equivalence of Good Laboratory Practices (GLP) (GLP) (GLP) (GLP) compliant compliant compliant compliant organisations in line with Organisation for Economic Cooperation and Development (OECD) requirements.

� ParticipateParticipateParticipateParticipate::::• In formulating international and regional guidelines and standards to facilitate

the accreditation process.• Formulate and implement national guidelines and standards to facilitate the

accreditation process

3.1 3.1 3.1 3.1 SANAS SANAS SANAS SANAS MANDATE & CORE MANDATE & CORE MANDATE & CORE MANDATE & CORE BUSINESS BUSINESS BUSINESS BUSINESS

� Liaison withLiaison withLiaison withLiaison with:• International, International, International, International, Regional Regional Regional Regional and National standard and National standard and National standard and National standard bodiesbodiesbodiesbodies regarding accreditation

related activities. • Technical Technical Technical Technical regulatory and metrology regulatory and metrology regulatory and metrology regulatory and metrology organisationsorganisationsorganisationsorganisations regarding accreditation

related activities.• National National National National regularegularegularegulators in respect of any matter related to accreditation

� PromotePromotePromotePromote: : : : • AccreditationAccreditationAccreditationAccreditation as a means of facilitating international tradefacilitating international tradefacilitating international tradefacilitating international trade and enhancing the enhancing the enhancing the enhancing the

RepublicRepublicRepublicRepublic’’’’s economic performance and s economic performance and s economic performance and s economic performance and transformationtransformationtransformationtransformation.• Accreditation of calibration, testing and verification laboratories, certification

bodies, inspection bodies, BBBEE Verification agencies and other bodies within its scope of activities.

• Recognition and protection of the use of the SANAS Accreditation Symbol SANAS Accreditation Symbol SANAS Accreditation Symbol SANAS Accreditation Symbol nationally and internationally

• Competence, equivalence and acceptance of accredited bodies nationally and internationally

3.2 SANAS MANDATE & CORE 3.2 SANAS MANDATE & CORE 3.2 SANAS MANDATE & CORE 3.2 SANAS MANDATE & CORE BUSINESS BUSINESS BUSINESS BUSINESS

• THE SABS is a founding member of the International Organisation for Standardisation (ISO)

3.3 ISO/IEC STANDARDS ,SABS & SANS STANDARDS3.3 ISO/IEC STANDARDS ,SABS & SANS STANDARDS3.3 ISO/IEC STANDARDS ,SABS & SANS STANDARDS3.3 ISO/IEC STANDARDS ,SABS & SANS STANDARDS

Standards Division

Technical Committees

Certification Laboratories

Training

Working Groups

The relationship between SANAS and other Stakeholders

International Organization

For Standardization (ISO)

International Accreditation

Forum (IAF)

[ISO9001,14001,Product Cert]

International Laboratory

Accreditation Cooperation (ILAC)

ISO 17025

Accredited

Certification bodiesAccredited

Laboratories

Accredited Inspection

Bodies Verification Labs

SABS, TUV, ZASTESTING,

CALIBRATION ,

MEDICAL &

LABORATORIES

GOVERNMENT

REGULATORS

INSPECTION BODIESCertified ISO 9001, 14001

Product Certification

BEE

Verification agencies

Entities

� Based on ISO/IEC 17011:2004Based on ISO/IEC 17011:2004Based on ISO/IEC 17011:2004Based on ISO/IEC 17011:2004

� SANAS Management System Document Types applicable to BBBEE Verification SANAS Management System Document Types applicable to BBBEE Verification SANAS Management System Document Types applicable to BBBEE Verification SANAS Management System Document Types applicable to BBBEE Verification AgenciesAgenciesAgenciesAgencies

A A A A ----Advisory Documents Advisory Documents Advisory Documents Advisory Documents PMPMPMPM ----Policy ManualPolicy ManualPolicy ManualPolicy ManualOP OP OP OP ----Operational Procedures Operational Procedures Operational Procedures Operational Procedures PPPP ----ProceduresProceduresProceduresProceduresRRRR ----Accreditation RequirementsAccreditation RequirementsAccreditation RequirementsAccreditation RequirementsFFFF ----FormsFormsFormsForms

� SANAS R47SANAS R47SANAS R47SANAS R47----02: 02: 02: 02: Based on the Principles and Requirements of ISO/IEC Based on the Principles and Requirements of ISO/IEC Based on the Principles and Requirements of ISO/IEC Based on the Principles and Requirements of ISO/IEC 17011 and ISO 1702117011 and ISO 1702117011 and ISO 1702117011 and ISO 17021

RRRR ----Document TypeDocument TypeDocument TypeDocument Type47474747 ----Document NumberDocument NumberDocument NumberDocument Number02020202 ----Revision/Version NumberRevision/Version NumberRevision/Version NumberRevision/Version Number

6666. . . . SANAS SANAS SANAS SANAS MANAGEMENT SYSTEM MANAGEMENT SYSTEM MANAGEMENT SYSTEM MANAGEMENT SYSTEM

� SANAS Management System Document applicable to BBBEE Verification AgenciesSANAS Management System Document applicable to BBBEE Verification AgenciesSANAS Management System Document applicable to BBBEE Verification AgenciesSANAS Management System Document applicable to BBBEE Verification Agencies� Accreditation Act Accreditation Act Accreditation Act Accreditation Act No. 19 of 2006No. 19 of 2006No. 19 of 2006No. 19 of 2006� Documents relating to BBBEE Accreditation Documents relating to BBBEE Accreditation Documents relating to BBBEE Accreditation Documents relating to BBBEE Accreditation � SANAS A01 SANAS A01 SANAS A01 SANAS A01 � SANAS P20SANAS P20SANAS P20SANAS P20� SANAS P24SANAS P24SANAS P24SANAS P24� SANAS P41SANAS P41SANAS P41SANAS P41� SANAS R03SANAS R03SANAS R03SANAS R03� SANAS R04SANAS R04SANAS R04SANAS R04� SANAS R05SANAS R05SANAS R05SANAS R05� SANAS R47SANAS R47SANAS R47SANAS R47----02020202� SANAS R51SANAS R51SANAS R51SANAS R51� SANAS R76SANAS R76SANAS R76SANAS R76� SANAS Forms F01,F02,F03,F04, F18, F163,F164,SANAS Forms F01,F02,F03,F04, F18, F163,F164,SANAS Forms F01,F02,F03,F04, F18, F163,F164,SANAS Forms F01,F02,F03,F04, F18, F163,F164,

6.1 6.1 6.1 6.1 SANAS MANAGEMENT SYSTEM SANAS MANAGEMENT SYSTEM SANAS MANAGEMENT SYSTEM SANAS MANAGEMENT SYSTEM

7777. . . . BBBEE VERIFICATION AGENCY ACTIVITIES BBBEE VERIFICATION AGENCY ACTIVITIES BBBEE VERIFICATION AGENCY ACTIVITIES BBBEE VERIFICATION AGENCY ACTIVITIES

Core Business : Core Business : Core Business : Core Business : BBBEE VerificationBBBEE VerificationBBBEE VerificationBBBEE Verification

BBBEE Codes of PracticeBBBEE Codes of PracticeBBBEE Codes of PracticeBBBEE Codes of PracticeCharters Verification Charters Verification Charters Verification Charters Verification

Manual Manual Manual Manual

Competency Competency Competency Competency Verification Verification Verification Verification

BBBEE status BBBEE status BBBEE status BBBEE status Competency Competency Competency Competency

AspectsAspectsAspectsAspects

Management System Management System Management System Management System Based on SANAS Based on SANAS Based on SANAS Based on SANAS R47R47R47R47----02020202

ValidityValidityValidityValidity

Reliability Reliability Reliability Reliability

Consistency Consistency Consistency Consistency

Final ProductFinal ProductFinal ProductFinal ProductBBBEE BBBEE BBBEE BBBEE

Scorecard & Certificate Scorecard & Certificate Scorecard & Certificate Scorecard & Certificate

Primary focusPrimary focusPrimary focusPrimary focus

Secondary focusSecondary focusSecondary focusSecondary focus

7.1 7.1 7.1 7.1 COMPETENCY AND COMPETENCY ASPECTS COMPETENCY AND COMPETENCY ASPECTS COMPETENCY AND COMPETENCY ASPECTS COMPETENCY AND COMPETENCY ASPECTS

Core BusinessCore BusinessCore BusinessCore BusinessBBBEE BBBEE BBBEE BBBEE

Verification ScopeVerification ScopeVerification ScopeVerification Scope

� Personnel Personnel Personnel Personnel � Verification Verification Verification Verification Environment & Environment & Environment & Environment & Location Location Location Location

� Verification Verification Verification Verification Methodology Methodology Methodology Methodology Codes, Codes, Codes, Codes, Charters, Verification Charters, Verification Charters, Verification Charters, Verification Manual Manual Manual Manual Practice Practice Practice Practice Instructions, MethodsInstructions, MethodsInstructions, MethodsInstructions, Methods

� Verification Hardware Verification Hardware Verification Hardware Verification Hardware & & & & Software ValidationSoftware ValidationSoftware ValidationSoftware Validation

� Verification PlanningVerification PlanningVerification PlanningVerification Planning� SamplingSamplingSamplingSampling

� Decision Decision Decision Decision MakingMakingMakingMaking

� Reporting Reporting Reporting Reporting & & & & CertificatesCertificatesCertificatesCertificates

CONTENTSCONTENTSCONTENTSCONTENTS

1. Introduction 1. Introduction 1. Introduction 1. Introduction 2. Objectives 2. Objectives 2. Objectives 2. Objectives 3. Background 3. Background 3. Background 3. Background 4. References 4. References 4. References 4. References 5. Definitions 5. Definitions 5. Definitions 5. Definitions 6. The role of BEE Verification Agencies 6. The role of BEE Verification Agencies 6. The role of BEE Verification Agencies 6. The role of BEE Verification Agencies 7. The accreditation role of SANAS on behalf of the 7. The accreditation role of SANAS on behalf of the 7. The accreditation role of SANAS on behalf of the 7. The accreditation role of SANAS on behalf of the dti dti dti dti 8. Responsibilities of BEE Verification Agencies 8. Responsibilities of BEE Verification Agencies 8. Responsibilities of BEE Verification Agencies 8. Responsibilities of BEE Verification Agencies 9. Principles 9. Principles 9. Principles 9. Principles

10. General requirements 10. General requirements 10. General requirements 10. General requirements 11. Management system requirements for Verification Agencies 11. Management system requirements for Verification Agencies 11. Management system requirements for Verification Agencies 11. Management system requirements for Verification Agencies 12. Structural requirements 12. Structural requirements 12. Structural requirements 12. Structural requirements

8888. SANAS R. SANAS R. SANAS R. SANAS R47474747----02 02 02 02 REQUIREMENTSREQUIREMENTSREQUIREMENTSREQUIREMENTS

Informative Informative Informative Informative Requirements/ Clauses Requirements/ Clauses Requirements/ Clauses Requirements/ Clauses

Mandatory Mandatory Mandatory Mandatory Requirements/ClausesRequirements/ClausesRequirements/ClausesRequirements/Clauses

CONTENTS…CONTENTS…CONTENTS…CONTENTS…

13131313. Human resource requirements . Human resource requirements . Human resource requirements . Human resource requirements 14. Information requirements 14. Information requirements 14. Information requirements 14. Information requirements 15. Document control 15. Document control 15. Document control 15. Document control 16. Confidentiality 16. Confidentiality 16. Confidentiality 16. Confidentiality 17. Information exchange between a BEE 17. Information exchange between a BEE 17. Information exchange between a BEE 17. Information exchange between a BEE VA and VA and VA and VA and its its its its customerscustomerscustomerscustomers18. Process requirements 18. Process requirements 18. Process requirements 18. Process requirements 19. Appeals 19. Appeals 19. Appeals 19. Appeals 20. Complaints 20. Complaints 20. Complaints 20. Complaints 21. Records on BEE21. Records on BEE21. Records on BEE21. Records on BEE----verified clients verified clients verified clients verified clients 22. Internal verification process 22. Internal verification process 22. Internal verification process 22. Internal verification process auditauditauditaudit23. Corrective action 23. Corrective action 23. Corrective action 23. Corrective action 24. Management review 24. Management review 24. Management review 24. Management review

8888.1 SANAS R47.1 SANAS R47.1 SANAS R47.1 SANAS R47----02 REQUIREMENTS02 REQUIREMENTS02 REQUIREMENTS02 REQUIREMENTS

Mandatory Mandatory Mandatory Mandatory Requirements Requirements Requirements Requirements

1.1.1.1. SHALLSHALLSHALLSHALL---- MINIMUM REQUIREMENTS MINIMUM REQUIREMENTS MINIMUM REQUIREMENTS MINIMUM REQUIREMENTS to be implemented2.2.2.2. ESTABLISHESTABLISHESTABLISHESTABLISH - Design and document (hard/soft copy) the requirement3.3.3.3. IMPLEMENTIMPLEMENTIMPLEMENTIMPLEMENT- Put documented requirements into PRACTICEPRACTICEPRACTICEPRACTICE4.4.4.4. MAINTAIN MAINTAIN MAINTAIN MAINTAIN - REVIEW , REVISE REVIEW , REVISE REVIEW , REVISE REVIEW , REVISE and UPDATE UPDATE UPDATE UPDATE the documents5.5.5.5. POLICY/IESPOLICY/IESPOLICY/IESPOLICY/IES -A statement of INTENTIONINTENTIONINTENTIONINTENTION and DIRECTIONDIRECTIONDIRECTIONDIRECTION as formally

expressed by top management of the VA. Rules to be implementedin running the VA business

6.6.6.6. OBJECTIVESOBJECTIVESOBJECTIVESOBJECTIVES Something aimed to be achieved (SMART)r 7.7.7.7. PROCEDUREPROCEDUREPROCEDUREPROCEDURE -A description of detailed ACTIVITIESACTIVITIESACTIVITIESACTIVITIES to support POLICY POLICY POLICY POLICY

implementation8.8.8.8. INSTRUCTIONSINSTRUCTIONSINSTRUCTIONSINSTRUCTIONS- A description of detailed ACTIVITIESACTIVITIESACTIVITIESACTIVITIES to support

PROCEDUREPROCEDUREPROCEDUREPROCEDURE implementation9.9.9.9. RECORDSRECORDSRECORDSRECORDS---- OBJECTIVE EVIDENCEOBJECTIVE EVIDENCEOBJECTIVE EVIDENCEOBJECTIVE EVIDENCE to support policy, procedure ,

instruction implementation

9999. SANAS R47. SANAS R47. SANAS R47. SANAS R47----02 SIGNATURE 02 SIGNATURE 02 SIGNATURE 02 SIGNATURE WORDSWORDSWORDSWORDS

• Establish, implement and maintain a MMMManagement System anagement System anagement System anagement System appropriate to the scope scope scope scope of its of its of its of its activitiesactivitiesactivitiesactivities

11. MANAGEMENT SYSTEM REQUIREMENTS 11. MANAGEMENT SYSTEM REQUIREMENTS 11. MANAGEMENT SYSTEM REQUIREMENTS 11. MANAGEMENT SYSTEM REQUIREMENTS

Policies & Objectives

ProceduresPrograms/ Plans/ Schedules

BBBEE Codes of Practice, Sector Charters, Verification Manual, Practice Instructions, Methods, Forms

Records: Records: Records: Records: Management System & VerificationManagement System & VerificationManagement System & VerificationManagement System & Verification

-

-

--

-

MANAGEMENT PROCESSES

SUPPORT PROCESSES

19.

Appeals

20.

Complaints

22.

Internal

Auditing

23.

Corrective

Action

24.

Management

Review

SANAS R47-02 REQUIREMENTS

18.3.1 & 2

Request for

A BEE

Verification

18.2

Verification

Preparation

17.1

Info on

verification

process

18.1

Verification

Methodology

18.3.3

Verification

18.3.4

Verification

Decision

15.5

Verification

certificate

CLIENT

Rating

CLIENT

Request

CORE PROCESSES

10.

General

Requirements

12.2 &13.6.

Impartiality

Requirements

16

Confidentiality

Requirements

12.1

Structural

Requirements

11

System

Requirements

15

Document

Control

21

Control of

Records

13.1

Personnel

Competency

13.2

Personnel

Involved in

V Processes

13.3

External

Verification

Analysts

13.4

Personnel

Records

13.5

Outsourcing

18.4

Special

Evaluation

14

Info Req.

15.6

Ref to

Verification &

Use of Marks

SUPPORT PROCESSES

• To set the minimum standard of performance by all verification agencies irrespective of their size.

• Opportunity to formalise organisation’s best business practices• Enable drive efficiency in your business operations and client satisfaction• Minimise the effect of a disruption on an organisation• Systematic identification and management of current and future threats to your

business• Clear transmission of information within the organisation- Minimal loss of

information.• Clear transmission of expected results/effects• Platform for evaluating activities, processes, systems and their results. • Dependable information that:

# Permanent (hard Copy or electronic) # Provide basic control # Management of changes.# Eliminate uncertainty and confusion.

• Control- prevents “shortcuts”• Ensure consistency of practices.

25252525. MANAGEMENT SYSTEM BENEFITS (R. MANAGEMENT SYSTEM BENEFITS (R. MANAGEMENT SYSTEM BENEFITS (R. MANAGEMENT SYSTEM BENEFITS (R47474747----02 02 02 02 BASED)BASED)BASED)BASED)

QUESTION AND ANSWER SESSIONQUESTION AND ANSWER SESSIONQUESTION AND ANSWER SESSIONQUESTION AND ANSWER SESSION

THE ENDTHE ENDTHE ENDTHE END

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