1              Product conformance overview

Product conformance issues are becoming increasingly mandated by regulators or expected by consumers.  Due diligence is also expected for in most product related litigation.  Point of sale legislations in some states or countries require that products be tested, and certified before they can be offered to the market, or connected to a network or infrastructure.

CodeMark™ certification available for products needed to comply with the BCA.  CodeMark™ certification is delivered by an independent organisation, like Global-Mark and based on a (or a number of) test report issues by an Approved Laboratory.  The on-going factory/site surveillance activities allow an on-going monitoring of design change or competence changes, and provide the manufacturer or supplier the ability to continue to evolve the design of the product.

2              CodeMark Workflow overview

3              The CodeMark™ Scheme

The CodeMark Scheme is managed by the ABCB in Australia, and the competence of the third-party certification bodies is assessed and monitored by the Joint Accreditation System of Australia and New Zealand (JAS-ANZ).

The ABCB is a joint initiative of all levels of Australian Government, in co-operation with the building industry. The ABCB was established by an inter-government agreement signed by the Australian Government and State and Territory Ministers responsible for building regulatory matters.

The ABCB is responsible for:

The ABCB or JAS-ANZ may from time to time change, clarify, and update the rules of the scheme and/or its associated requirements (including relevant State and Territory variations and additions which apply.

• Global-Mark will notify Certificate holders of changes
• Certificate holders are responsible for implemented and complying with the changes.
• Global-Mark shall ensure that all certification are reviewed and appropriate action taken to ensure compliance with the BCA, and CodeMark Scheme Rules is maintained within 3 months of the amendments coming into effect.

Certification under the CodeMark Scheme shall rely on the combined evidence of Product conformity through testing and the existence and maintenance of a Product Quality Plan. The method of evaluation shall include testing of a sample or samples that are representative of the Product as used or installed, with factory and/or construction site inspections, sufficient to ensure that compliance is being achieved and is capable of being maintained.

The BCA often refers to Australia, New Zealand or other published Standards: Certification to the CodeMark program, may include certification of the product to the relevant Standard, as presented in Global-Mark’s Certified Product Program (refer to G-64 Certified Product - Program Information Brochure).

4              Responsibilities of the Certificate Holder (i.e. Client)

The Certificate holder shall:

• comply with the CodeMark Scheme Rules, and Global-Mark requirements;
• maintain a Product Quality Plan (or Product Support Plan) that details the procedures and associated resources that are applied by whom and when to a specific Product and its manufacture, and is consistent with ISO 10005:1995 (AS/NZS 9004.5:1998);
• ensure the certified Product is manufactured in accordance with the Product Quality Plan and any conditions associated with the Certificate of Conformity and that it is materially the same as any sample that was evaluated;
• notify Global-Mark of any intended change, modification or alteration to the certified Product (or its method of manufacture, Product Quality Plan, installation instructions, etc);
• notify Global-Mark of any reason to suspect the certified Product may not comply with the BCA;
• notify Global-Mark in writing of any intended change to the name, address or contact details of the Certificate holder place(s) of Product manufacture;
• issue public disclosure statements through means acceptable to Global-Mark and the ABCB where certified Product that is found not to comply with the BCA has been released on to the market;
• if certification has been suspended or withdrawn – notify existing customers of this change in status and immediately cease the use of the Certificate of Conformity, Mark of Conformity and Certificate of Conformity number;
• reproduce the Certificate of Conformity only in its entirety; and
• use the Mark of Conformity in accordance with the conditions.

5              Certification process

This approval involves:

- Initial assessment (the following is not necessary chronologically)

- Client makes formal application by completing the client agreement form.

- Global-Mark will organise a visit (factory and/or site) or teleconference to discuss the Client’s product, manufacturing, testing and installation conditions. The aim of this step is to verify that the specification and claims are capable of being evaluated, and to assist in determining the appropriate method of evaluation.  The outcome of this step will be the completion of a preliminary evaluation plan (this document must be reviewed by the Global-Mark Program Manager)

- Client presents a product technical file for the product (using the product technical file checklist)

- Laboratory report (acceptable test report) to be presented and reviewed by Global-Mark

- Global-Mark will prepare an evaluation plan

- Global-Mark will prepare a risk assessment to assess the surveillance level needed for the product

- Review of the manufacturer’s production control system, which needs to comply, as a minimum to Global-Mark’s production control requirements (G-11) and presented in a product support plan

- Subject to the above review, Global-Mark will issue a certificate of conformity and schedule (valid for 3 years)

- The certificate of conformity and schedule are valid for the product or a range of product of similar characteristic, material and production processes, as tested.

- Under this program, the CodeMark can be affixed to the product, its packaging or supporting literature

- If any of the product critical components is changed, a new test report is required, and Global-Mark needs to be notified and approval granted (using the design lock change form).

- Business review at the manufacturer of the production system to ensure that production process is stable and capable

- Selection of a sample (by Global-Mark or authorised representative), including random visit to a site(s)

- Sample to be tested by an approved laboratory

On-going assessment

- On-going review (minimum yearly)

- Review and approval of changes during the life cycle of the product (using the design lock change form)

- On-going sampling and testing of the product (as the product changes, as defined in the BCA or relevant State or Territory variation, standard or when approved test reports expire)

6              Program specific definitions

6.1         General

• Accredited certification body (CodeMark certification body) An organisation accredited by JAS-ANZ under the CodeMark Scheme to issue Certificates of Conformity, like Global-Mark.

• BCA: Building code of Australia
• ABCB: Australian Building Codes Board
• Mark of Conformity: The CodeMark™, which is a trademark of the ABCB
• Certificate of Conformity: A document issued by Global-Mark, in accordance with the requirements of this program, which certifies that the properties and performance of a Product complies with the requirements of the BCA.
• Certificate holder: The party to whom a Certificate of Conformity has been issued in relation to a Product. A Certificate holder may be a manufacturer, assembler, distributor, retailer of the Product or any part thereof. The Certificate holder is responsible for ensuring the Product meets, and continues to meet, the requirements on which the certification is based. For the purpose of the CodeMark program the Certificate holder must have, and be able to demonstrate, effective control over the manufacture, testing, packaging, branding, delivery, installation and commissioning, as appropriate, of the Product in question.

·         CodeMark Committee: A Committee comprising representation from all State/Territoriy building control administrations, chaired by the ABCB.

Global-Mark will make an assessment and reserves the right to accept or reject the evidence provided from such organisations.

• Mark of Conformity, The (CodeMark) certification mark applied by or issued under the CodeMark Scheme Rules for a Product which has been issued with a Certificate of Conformity.
• Non-Conformances: there are three levels of nonconformity:
  • Critical nonconformity, where the potential impact warrants immediate corrective action.
  • Major nonconformity where the potential impact is likely to compromise compliance if no remedial action is taken to correct the nonconformity within a specified period.
  • Minor: a nonconformity where the potential impact of the nonconformity is not likely to compromise compliance. An example is where aspects of the Product Quality Plan are not being followed, but because of other factors compliance is not compromised.

We take into account the nature and significance of any nonconformity when determining whether the relevant requirements of the BCA have been met.  If any there is one or more critical or major nonconformity, we cannot recommend certification (on-going or re-certification) until the non-conformity has been cleared or downgraded.

• Notices: Communications sent to Certificate holders or CodeMark certification bodies shall be deemed to have been received if sent by appropriate technology to one or more of the most recently received contact details for that recipient.
• Product: Any building material, method of construction or design used in building work including systems, processes and services.
• Product Quality Plan: A document specifying which procedures and associated resources shall be applied by whom and when to a specific Product and its manufacture and is consistent with ISO 10005:1995 (AS/NZS 9004.5:1998).
• Register of Certificates of Conformity, a central register of all Certificates of Conformity that have been issued by CodeMark certification bodies.
• Standard: For the purposes of the program, where the word “standard” appears in ISO/IEC Guide 65 or any other document associated with this program, it is taken to mean the BCA.

6.2         Equivalence to Global-Mark Product Certification Program:

The following table provides equivalence between the rules and terms of the CodeMark scheme, and the Global-Mark Product Certification program:

7              Specific program conditions

7.1         General

• Tests reports need to be no older than 5 years.
• Global-Mark requires to be present when selecting a sample(s), and maintaining a duplicate of the sample.
• Other conditions are presented in G-11.

7.2         Independent testing of products

Global-Mark reserves its right to select additional samples and completed independent tests. The results of the test will be presented to the manufacturer.  Costs associated with the additional sampling and testing must be paid by the Global-Mark client.

7.3         Changes to Type 1 vs. Type 5 certification as stipulated in relevant certification standard

Global-Mark will not accept that a product which standard requires or recommends Type 5 approval (or similar) be certified under Type 1 (type testing).  This applies in cases where the standard recommends rather than prescribes the type of certification.

7.4         Notification to ABCB

• Within 7 days of the issue or renewal of a Certificate of Conformity, Global-Mark must provide a copy to ABCB.
• Within 7 days of the withdrawal or suspension of a Certificate of Conformity, Global-Mark must notify ABCB.

7.5         Reasons for canceling certification

• Your Global-Mark Client Manager must advise the Client in writing of the reasons for canceling certification. Copy will be forwarded to the ABCB.
• The ABCB, JAS-ANZ or Global-Mark may publish a list of cancelled Certificate Holders.

7.6         Non-Conformances

• Where more than one related minor nonconformance is raised which collectively are likely to present a high risk or potential risk, the nonconformances are to be classified as critical or major immediately.
• The applicant (or Certificate Holder) cannot gain certification until critical or major nonconformities have been corrected and the corrective action verified by Global-Mark. 
• Critical or major nonconformances will require onsite verification or verification by testing, or by examination of revised product instructions, depending on the nature of the nonconformity.  This will be conducted during a follow up review. 
• If the Certificate of Conformity has already been issued when a critical or major nonconformance has been issued the Certificate Holder must take action to clear (and verified by Global-Mark) within 3 months: if this is not met the Certificate of Conformity will be cancelled.

7.7         Dealing with Review findings (Corrective Actions under the CodeMark rules scheme):

Critical nonconformity

• A RF is to be raised requiring immediate corrective action to be taken. Further products shall not be produced until the RF is closed. Critical nonconformity will require verification of effective implementation of corrective action.
• If the RF is not closed out by the agreed date, the Client Manager in consultation with the Global-Mark Program Manager shall immediately suspend or withdraw the Certificate of Conformity.

Major nonconformity

• A RF is to be raised and a close out date set. The close out date shall not exceed 7 days. Major nonconformity will require verification of effective implementation of corrective action.
• If the CAR is not closed out by the agreed date, the Client Manager will determine that the nonconformity is now a critical nonconformity and take appropriate action.

Minor nonconformity

• A RF is to be raised and a suitable closeout date agreed with the Certificate holder. The closeout date should reflect the potential impact of the nonconformity and its ease of rectification.  Close out will normally be at the next post certification review.
• If a minor RF is not closed out by the agreed date, the Client Manager will review the reasons for non-closure with the Certificate holder and depending on the nature of the nonconformity and its potential to affect compliance, will take one of the following actions:

·         Determine that a minor nonconformity still exists, cancel the existing RF and raise a new RF with a new closeout date agreed with the Certificate holder, reporting the action in the evaluation report; or

·         Determine that the nonconformity is now a major or critical nonconformity and raise a RF with a closeout date as required for major or critical nonconformity.

7.8         BCA Updates

The BCA is updated every year.  As part of this cycle, Global-Mark asks Clients to confirm their awareness of the changes as it affects their products, and also confirm their compliance to the new BCA requirements.

Clients need to complete and submit, within 3 months of the BCA update being published a BCA Update Form, together with the support documents to demonstrate compliance with the new requirements.

8              Risk Assessment

8.1         Purpose

The purpose of the risk analysis is to assess the chance of a problem occurring that will have an impact on the performance of the Product in terms of the specific requirements of the BCA including any relevant State and Territory variations and additions.

8.2         Factors considered in the risk analysis shall include:

1. Manufacture

• nature of Product materials, variability of raw materials, history of quality, and the complexity of manufacture;
• extent and nature of sampling and testing;
• number of sites involved in manufacture, assembly, and related activities;
• issues of public safety;
• nature of Certificate holder, e.g. importer, manufacturer, etc;
• number of employees involved with production and quality control;
• packaging and distribution and
• ease of rectification.

2. Installation

• the effect and consequence of poor installation;
• the complexity of installation and the skill levels required;
• onsite conditions likely to be detrimental to installation;
• the effects of exposure (elements or physical damage) to the product before, during or after installation; and
• the importance of ‘order of construction’.

3. The level of risk is assessed in terms of the magnitude of the consequence and the likelihood of a problem occurring in either the manufacturing or installation process. The Risk Assessment Matrix shall be used to assist in determining the level of risk.

8.3         Risk assessment process:

The risk assessment should be completed using the Criteria presented in Appendix 1 and recorded in the evaluation plan.

The risk assessment determines the level of surveillance of the product.

8.4         Construction site inspections

If required, construction site inspections are to be carried out for the following as part of the certification review:

• to confirm the practicability of installing the product;
• to confirm the appropriateness and accuracy of installation instructions;
• to review the recommended methods of handling and storage;
• to identify any adverse conditions that might impact on the performance of the Product; and/or
• to confirm that compliance can be reliably achieved by appropriately competent installers following the instructions.

A further reason for construction site inspections is to evaluate the in-service performance of a Product. This acts as monitoring and confirmation of the opinions/assessment developed from laboratory testing and other means.

8.5         Certification documents (a CodeMark requirement)

The Certificate of approval: will be developed in conjunction with the Client.  Certification Schedule (if needed) will also be developed.

9              Conditions of use of the CodeMark™ logos

The following conditions are above and beyond the conditions presented in the Welcome Pack (document G-00)

9.1         Issue of the Mark of Conformity

• The Mark of Conformity shall remain the property of the ABCB.
• The Certificate of Conformity, Mark of Conformity or reference to Global-Mark shall only be used or made during the life of Certificate of Conformity, and for products that have been Certified, and for which the Certificate is still current.
• Certified Clients under the CodeMark program shall be entitled to display the Mark of Conformity on their website or in promotional and advertising material.
• If a Client has been issued a Certificate of Conformity covering a range of products, within which 1 or more products are not certified.  Also if the Client does not use the CodeMark on the certified product, then the Client needs to clearly declare and make it visible to potential users, that the non-certified products are NOT covered by the Certificate of Conformity.

9.2         Use of the Mark of Conformity

• Clients having achieved a Certificate of Conformity shall use the CodeMark Mark of Conformity on Certified product(s), the packaging or attached documentation or labels.
• The Mark of Conformity shall be used only in association with a Global-Mark Client ID.
• The Mark of Conformity and Client ID shall only be used with a valid Certificate of Conformity.
• The Mark of Conformity may be applied directly to the Product by stamping, printing, moulding, etching, labelling, etc. The Mark of Conformity may be applied to the Product packaging, information sheet or advertising materials.
• The Mark of Conformity should be used on all Products certified under the CodeMark program.
• Any deviations from the approved format, detailed in this appendix, are required to be approved by the ABCB in writing.

9.3         Acceptable Formats

Acceptable formats for the Mark of Conformity are: Full colour, two colour and monotone reproduction.

The two colour Mark of Conformity is made up of the CodeMark blue and black. When reversed it is all in white.

(Global-Mark)-(Yr)- (Certificate#)

When the Mark of Conformity is to be used in single colour work it is to appear all in black on a light background or all in white when on a dark background.

9.4        

20 mm

Correct Use of the Mark of Conformity

To retain the integrity of the mark the following guidelines apply:

• the minimum clear space as per diagram.
• do not adjust the proportions or any part of the mark including clear space.
• it should not be reproduced smaller than 20mm wide.
• Reference the CodeMark number issued by Global-Mark

9.5         Optional Statement

In some cases Certificate holders may wish to include an additional statement, typically used on product packaging and marketing literature. Accordingly use either of the following paragraphs:

• “This product is marked with the CodeMark Scheme Mark of Conformity. This indicates that the conformity of our product is based upon technical documentation and review of our manufacturing and quality control process to monitor our ability to consistently produce the product in compliance with the requirements of Clauses xxxxx of the BCA.”
• “Compliance of this product with the requirements of Clauses xxxxx of the BCA is monitored by Global-Mark.”

9.6         Limitations for use of the Mark of Conformity or Certificate

• Failure to comply with the condition of the use of the mark of conformity will result in a critical non-conformance being issued by Global-Mark on the certificate holder.
• The Mark of Conformity may only be used in advertising that is specific to the certified Product. When more than one product is advertised, the Mark of Conformity may only be used in association with the certified Product.
• Certificate holders shall not use Product certification in such a manner as to bring the ABCB, JAS-ANZ or Global-Mark into disrepute or make any statements regarding Product certification which may be considered misleading or unauthorised.
• Upon suspension or withdrawal of a Certificate of Conformity, the use of advertising matter that contains any reference to the Mark of Conformity must discontinue immediately.
• In making reference to a Certificate of Conformity in communication media such as:

·         documents;

·         brochures; and

·         advertising,

It is the Certificate holders responsibility to ensure continued compliance with the requirements of Global-Mark and CodeMark program Rules.

Should the Certificate of Conformity be suspended or withdrawn the CertificateHolder must nofity their existing CodeMark customers of this chage of status and immediately cease using the Mark of Conformity, Certificate of Conformity and conformity number.

10        What documents/records are needed to understand this program

In order to understand our program, you should also access and be aware of the following documents:

·         G-00: Welcome Pack

·         G-11: Product conformance program – Production control requirements

·         G-64: Program Information Brochure – Certified Product Program

·         MSP-00: Introduction to our management systems

·         MSP-01: Nomenclature and definitions

·         MSP-24 Appeals

11        Appendix 1: Risk Assessment Criteria

Each risk area (manufacturing or installation) is assessed independently and both results are then used to finalise the assessment level.