Procedure for Granting, Refusing, Maintaining, Extending, Suspending, Withdrawing or Reducing of Client Certificates
1.0 OBJECTIVE: To ensure compliance to requirements of ISO/IEC 17021-1:2015 and related for Granting, Refusing, Maintaining, Extending, Suspending, Withdrawing or Reducing of Client Certificates.
2.0 SCOPE: Covers certification to management system standards for which IBMS is approved for Granting, Refusing, Maintaining, Extending, Suspending, Withdrawing or Reducing of Client Certificates.
3.0 RESPONSIBILITY: Certification Manager
4.0 DETAILED PROCEDURE:
4.1 Certification Process
The Certification process shall consist of the following key stages:
1. Application: Enquiries may be received in several forms, by telephone, e-mail or online as available on the website under the Tab Application. In case client need the physical copy of the application form then client can write us on info@ibmscert.com and demand a copy of an application.
2. Application Review: After getting the complete application, the Operation Manager will send the application-to-application review and after application review, a work order shall be sent to client including the copy of client agreement.
3. Quotations: If scopes available with IBMS and prepares the quotation
4. Certification Agreement: Certification agreement is signed by parties and IBMS Certification and submitted by the client.
5. Audit Planning: Certification audit contract received, Operation manager plans the audit on the basis on audit time allocation and audit assignment, which is defined as below and raise the audit plan in duplicate, which should narrate the requirements of the relevant management system standard size and complexity, name, address and scope of the client, date of audit and the constitution of the audit team and send it to the auditors before fifteen working days. After getting the consent from auditor, audit assignment register will be filled and the statement of confidentiality and no conflict of interest will be obtained. The Audit plan shall be sent to the client there after. The operational manager will confirm the date then about the auditor, lead Auditor and technical expert detail with the client.
6. Audit Intimation: Audit plan shall reach the client before ten working days of audit. The receptionist shall confirm the dates of audit and the constitution of the auditors and mark the same on the office copy of audit plan.
7. Audit: The stage 1 audit shall be performed to audit the clients management system documentation. After the stage one audit the auditor shall submit his finding and advise by written report. The purpose of the stage 2 audit is to evaluate the implementation, including effectiveness, of the clients management system. The stage 2 audit shall take place at the site of the client. Stage 2 audits is an assessment audit, which is carried out after phase one audits inadequacies have been removed and the organization is all set to demonstrate the compliance to the selected international standard. Auditors will plan and conduct the assessment audit.
8. Surveillance Audit: The date of the first surveillance audit following initial certification shall not be more than 12 months from the last day of the stage 2 audit. Surveillance audits are carried out bi-annually/annually to ensure that the certified management system is in compliance and demonstrates continual improvement in terms of Systems products and resource management.
9. Re-certification Audit: Re-certification audit shall be conducted in every 3 year and shall be audited within valid date of certification. Conduct Recertification audit prior to certification period for continuation of Certificate of registration and subsequently followed up by Surveillance audits as per the accepted proposal. Recertification audit shall be completed, preferably prior to one month of expiry of the present certificate of registration including the provision of adequate time to close any NCRs.
4.2 Granting Certification: Granting certification means the state that the compliance to the Certification requirements has been confirmed by the IBMS Certification. Responsibility for the Granting of Certification is Certification Committee Member. The following conditions have been met by the applicant organization:
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• One Internal Audit and Management Review cycle has been completed and non- conformities, if any, have been corrected.
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• The applicant meets the criteria of certification and all Major non-conformities, if any found during assessment have been closed. For minor NC’s corrective action taken or planned has been received.
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• There are no adverse reports/ information/ complaints with the IBMS about the applicant regarding the quality and effectiveness of implementation of system as per IBMS certification criteria.
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• If the certification is granted, the certificate is issued in the language and for the activities according to the application and is sent to the client and recorded into the IBMS Citification list of certificated organizations & details will be updated on web pages also.
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• Certification is valid only for the certificated organization, i.e. for the system recorded in the certificate applicable for the products / services recorded in the certificate. Any transfer of the certification and the certificate is explicitly for bidden.
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• Certification is valid for one year how ever total validity is 3 years subject to surveillance audits are performed and the certification is not suspended or withdrawn by IBMS Certification.
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• The surveillance audit represents a visit of an auditor, nominated by IBMS to ensure the maintaining of the system level. Surveillance audits will be performed every 12 months. However, this number could be changed if it is imposed by any official regulation or based on the recommendation of the auditor.
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• IBMS can perform follow-up audits out of the regular cycle, if the system amendment is considered by IBMS to be the principal or if the scope of the application is changed.
4.3 Refusing:
Scope of the certification will be reduced to exclude the part scope in the event of not meeting the requirements. The auditor concerned should report to IBMS after a thorough assessment. Based on the report submitted, IBMS shall take decision to reduce the scope and accordingly re-issue the certificate.
• Legal Requirements not fulfill by Client
• Due to Unavailability of Competent Auditor
• If related scope not comes under the accreditation scope of certification
4.4 Maintaining Certification
Maintaining Certification means the state that demonstrate that the client continues to satisfy the requirements of the management system standard based on the positive conclusion/ recommendation by the audit team leader during on-going surveillance. The certification is maintained after the following conditions have been met by the customer
a. The certified organization continues to meet the criteria of certification and any Major non-conformity found during surveillance assessment has been closed within the time period.
b. There are no adverse reports/ information/ complaints with the IBMS about the applicant regarding the quality and effectiveness of implementation of certification system as per IBMS certification criteria.
c. The certified customer complies with the ‘Certification Agreement’ and ‘Obligations of Certified Customer.
d. The client has paid all the outstanding dues.
4.5 Extending the scope of Certification
Upon client’s request for extending the scope of IBMS has to ensure the availability of scope and competence level and advise for Audit considering the Auditor time. The Audit time may be extended after seeing the actual process of the extended part of scope. The certificate will be re-issued incorporating the new scope. This type of scope extension may be clubbed with surveillance audit or it can be carried out separately through Special Audit. Upon request by any client, IBMS correctly update and state the status of certification of a client`s management system as being suspended, withdrawn, reduced or extended.
4.6 Suspension
IBMS may be suspend the certification of the organization under the following circumstances;
• If surveillance audit / follow up audit plans if applicable have not been complied with as per certification continuation requirements
• If improper use of the certification, certification documentation, or certification mark-logo is not remedied to the IBMS certification condition;
• If the certified client has made a change to the Management System that is not accepted by the IBMS against the existing certification conditions and contract
• If payment of invoiced fees is not made in time as per contract condition Prior to issuing a notice of suspension of certification
• The certified organization’s management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management systems,
• The certified organization does not allow Surveillance or Recertification audits to be conducted at the required frequencies,
• The certified organization has voluntarily requested suspension of its certification,
• The certified organization fails to take corrective actions for non-conformity(ies) raised within the specified timeframe,
• The certified organization has incorrectly making references to its certification status or misleading use of certificate, marks or audit reports.
• The certified organization infringed the requirements of the certification contract.
The organization whose certification is suspended is required to take the necessary corrective action before the end of the suspension period. Failure to resolve the issues satisfactorily will result in withdrawal of certification. The organization may appeal if it is dissatisfied with the decision to suspend or withdraw the certificate.
4.7 Withdrawal/Cancellation
IBMS shall cancel certification, withdraw the certificate and cancel any agreement for the use of IBMS certification. the customer’s certification is withdrawn under the following condition(s):-
• Under the relevant provisions of Suspension with time
• At the formal request of a client
• The suspension of Customer’s Certification is more than 3 times during the term of validity of its Certification.
• After receipt of IBMS request to return the certificate(s), Customer didn`t return its certificate(s) to IBMS within one (1) month
• If the client fails to meet financial obligations to IBMS
• On any other grounds specifically provided for under the certification criteria or formally agreed between the client and IBMS. If a certificate is withdrawn, the IBMS Register shall also be amended accordingly and IBMS may also publish notification on that ground including IBMS’s website (www.ibmscert.com). A client may appeal to the IBMS against a decision to withdraw certification
4.8 Reduction of scope for Certification
Reducing certification means the state that the customer does not fulfill some of the certification requirements under the scope of certification after granting.