Certification Process

Version 3.1. Date: 21/10/2010. Document Type: Procedure

Purpose

To define and detail the methodology for Assessment, Granting, Maintaining, Renewing, Extending, Reducing, Transferring, Suspending and Withdrawing of Certification.

Scope

This applies to all audits performed by DQS Certification.

Audit Planning

Audit planning activity starts when order/ quote confirmation/ order-recertification is received from client for certification services. In case of surveillance audit planning starts one month prior to surveillance due date.

Manager Operations assigns the audit team for each audit. One of the audit team members must have scope qualification for IAF code of the clients business. Each audit team must have a DQS Certification Approved Lead Auditor for the certification standard. Auditor grade & scope matrix for QMS & EMS provides guidance for formulating an audit team.

Audit team is communicated about the assignment to provide them with an opportunity to inform, whether they have any relationship with the client or they have provided any consultancy service. If auditor confirms any unacceptable threat to impartiality, the audit team is changed by Manager Operations.

While deciding size & composition of audit team, Manager Operations considers following:

Audit objectives, scope, criteria and estimated duration of audit.
Whether audit is combined or joint audit. In case of such audits, agreement with participating auditing organization is established as who is going to be the Lead Auditor.
Overall competence of the team needed to achieve audit objectives.
Statutory, regulatory, contractual and accreditation/certification requirement as applicable.
Independence of the audit team from the activities to be audited and to avoid conflict of interest. No audit team member should have provided consultancy to the client in last 02 years.
Ability to interact audit members to interact effectively with the auditee and work together.
Language of the audit
Understanding of auditee’s particular social & cultural characteristics.

Audit team is required to carry out following task in order to reach to a conclusion for recommendation of registration/ certification:

To examine the structure, policies, processes, procedures and related documents (records) of the client organization relevant to management system under assessment.
To determine that these meets all the requirements relevant to the intended scope of certification.
To determine that the processes and procedures are established, implemented and maintained effectively to provide a basis of confidence in the management system in client organization.
To identify the client organization for its action in any inconsistencies between the client organization’s policy, objectives and targets, and results.

These tasks which are assigned to Audit Team, is included in General Business Terms & Conditions and provided to client organization along with contract.

These tasks are clearly communicated to Audit Team, through Guidelines for Performance of QMS/EMS Audit.

Manager Operations maintains an Monthly Audit Schedule for all the internal & external Auditors & Technical Experts.

Manager Operations communicates the Audit Dates and name of audit team members for Stage 1 and Stage 2 & take agreement from the client. If client requests for background information on audit team members the same shall be provided in form of a short CV.

The number of audit days are taken from Contract/ Technical Review as identified during client contract review. For multi-site audits, Procedure for sampling of multi-site management system is referred for audit planning which is based on IAF MD1:12007

Application Form & (Technical Annex. for EMS Application form- in case of EMS) , along with Contract/ Technical Review is handed over to identified Lead Auditor for preparation and conduct of assessment.

Following Guidelines are issued to all the auditors. All auditors shall confirm to the instructions provided in guidelines.

Guidelines for performance of EMS assessment
Guidelines for performance of QMS assessment

Managers Operations take Audit Plan before each audit from assigned Lead Auditor and sends it to client for their information and adjustment, if required, mutually between client and Lead Auditor.

Stage 1 Audit

Objective of carrying out Stage 1 to:

To audit the client’s management system documentation;
Evaluate the applicant organization’s location and site specific conditions and to undertake discussions with the client organization’s personnel to determine the preparedness for Stage 2 Audit;
Review the clients organization status and understand regarding requirements of the standard, in particular with respect to identification of key performance or significant aspects, processes, objectives and operation of management system;
Collect necessary information regarding the scope of management system, processes and location(s) of the client organization, and related statuary regulatory aspects and compliance e.g. quality, environmental, legal aspects of the applicant organization’s operation, associated risks etc;
Review the allocation of resources for Stage 2 and agree with the client organization on the details of Stage 2 Audit;
Provide focus for planning of Stage 2 Audit by gaining sufficient understanding of the management system, site operations in the context of possible significant aspects of the applicant organization’s management system;
Evaluate if the internal audits and management review are being planned and performed effectively and that the level of implementation of the management system substantiates that the client organization is ready for Stage 2 Audit.

On the basis of information available in Application Form & Contract/ Technical Review and the information about 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, Lead Auditor prepares for Stage 1 Audit.

Stage 1 is carried out always on site. In exceptional cases whenever decision of carrying out Stage 1 off site is taken, Lead Auditor shall record the justification in Contract/ Technical Review Form and take approval from Manager Registration Services.

Audit team conducts Stage1 as per the schedule already communicated to client organization. Auditor may change schedule on the basis of site conditions and availability of client’s organization personnel. Whenever any change in schedule is done, the schedule shall be updated by Lead Auditor. Whenever Stage 1 is carried out by a Co-Auditor, the Stage 1 audit report and proposed plan for Stage 2 audit is reviewed by Lead Auditor before issuing to client.

In the beginning of Stage1, Audit team conducts the brief Introductory Meeting with Client’s Management & states the objective of Audit.

During the final stage of Stage 1, Audit Team Conducts Final Meeting with the Management of Client’s organization. Lead Auditor explains the finding and conclusion of audit including all those findings which can be identified as non conformance during Stage 2. Lead auditor also finalizes the Stage 2 Audit Plan.

On the basis of status of results of Stage 1, Lead Auditor co-ordinates with Manager Operations & Client’s Management Representative to agree on dates of Stage 2 if there are no of areas concern to be resolved by client identified during the stage 1 audit and that can be a non conformity during stage 2.

The maximum interval between stage 1 & stage 2 audit can be 03 months from the date of stage 1 audit, which means that stage 1 audit findings have to be resolved within 03 months by the client.

If gap between the stage 1 and stage 2 audit is exceeding 03 months then stage 1 audit is conducted again on request by the client for the registration.

On completion of Stage 1, Lead Auditor prepares following reports and send to client:

Stage 1 audit report Form_24
Audit Plan for Stage 2 Form_23

Stage 1 audit report shall be prepared off site describing the adequacy of the client’s management system and readiness of the Auditee’s organization for stage 2. Stage 1 report shall be forwarded to the client with stage 2 plan.

On request from client, stage 2 audit can be conducted immediately after conducting the stage 1, if readiness to conduct the stage 2 audit can be concluded during stage 1 audit. All applicable procedures will be followed in this case.
Note: In the situation of client having stabilized/certified Management Systems, accepting the audit offer of DQS Certification to receive a Non-accredited Certificate, Stage 2 audit can be conducted immediately after Stage 1 audit (i.e., back to back), if the readiness to conduct the stage 2 audit can be concluded during stage 1 audit.

Initial / Reassessment ( Stage 2 Audit)

Stage 2 always takes place at applicant organization’s site(s) without any exception. The purpose of Stage 2 to evaluate the implementation and effectiveness of client’s management system.

Lead Auditors prepares Audit Plan in case of reassessment and sends to the client organization. During preparation of schedule, Lead Auditor shall ensure that the Audit Team planned to audit sufficient number of examples of activities of client organization in relation to the management system and activities to get a sound appraisal of the implementation, including effectiveness, of the management system. If preparation of schedule is delegated to one of the team members, Lead Auditor must reviews and approves the schedule before issuance to client.

In the beginning of the Stage 2, Lead Auditor conducts an Introductory Meeting with Management & Key Personnel of client organization. Lead Auditor to ensure that the Introductory Meeting achieves following purpose:

Introduction of audit team & key personnel of client organization;
Confirmation of audit plans;
Summarization of audit methodology including sampling approach;
Confirmation of communication channels
Providing an opportunity for the auditee to seek clarifications.

The record of attendance of Introductory Meeting is maintained by Lead Auditor in Audit Attendance record

Audit team conducts audit as per audit schedule, any change in schedule due to site conditions shall be updated in audit schedule. Audit team shall address a sufficient number of the staff, including Top Management and the Operational Personnel of the site under audit, to provide assurance that the system is implemented and understood throughout the client organization. Number of personnel interviewed during audit shall be included in audit report.

Lead Auditor shall ensure that, audit team covers the examination of organization’s processes which addresses at least the following:

Information and evidence about conformity to all requirements of the applicable management system standard or other normative document;
performance monitoring, measuring, reporting and reviewing against key performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document);
the client’s management system and performance as regards legal compliance;
operational control of the client’s processes;
internal auditing and management review;
management responsibility for the client’s policies;
links between the normative requirements, policy, performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document), any applicable legal requirements, responsibilities, competence of personnel, operations, procedures, performance data and internal audit findings and conclusions.

Audit team shall conduct evaluation of audit evidences on daily basis before closure of the days audit and de brief the client’s representative about audit findings.

In the final stages of audit, audit team analyses all the information & audit evidences gathered during Stage 1 & Stage 2 to determine the extent of fulfilment with all certification requirements and decide on any non conformity. In case of disagreement among audit team members on any issue during assessment, the Lead Auditors decision shall prevail.

Audit Findings are classified into three categories namely major, minor and observations. The criteria for categorizing non conformances is as under:

Major Nonconformity – non-fulfillment of a requirement of the reference standard affecting the organization, application or formalization of the Management System and resulting in a proved risk (i.e. based on objective elements) of non-compliance, recurrent or unique in the case of substantial risk, of a specified requirement. Depending on the reference standard, the risks to be taken into account concern different interested parties:
- for quality it will primarily concern the customers, – for environment it will concern the community in the wide sense,
- for safety it will concern the personnel.
- non-fulfillment of a requirement calling into question the effectiveness or the improvement of the Management System.
Minor nonconformity
- non-fulfillment of a requirement of the reference standard affecting the organization, application or formalization of the Management System and which does not result in a proved risk of non-compliance of a specified requirement.
- non-fulfillment of a requirement calling into question the effectiveness or the improvement of the Management System. For each finding relating to non-fulfillment of a requirement (discrepancy), the auditor should:
  - recall on the discrepancy from the requirement of the standard (or of the reference document) which is partially or entirely non-fulfilled,
  - indicate clearly either the paragraph number or even the sub-paragraph number and not simply the chapter of the given reference standard, or the customer or self-specified requirement,
  - indicate clearly the type(s) of the reference standard(s) in case of an audit covering several reference standards.
  Observations – Point for which factual observations show that the organization may risk no longer fulfilling the requirements of the reference standard in the short or medium term.

The maximum time limit for the proposed target date of completion or confirmation and verification of the corrective action shall not exceed three months in both cases for Major / Minor non conformances. the time frame of taking corrective actions and effectiveness evaluation shall be as follows:

Major Nonconformity – Time frame for confirmation of corrective action by client 30 Days Time frame for verification of effectives by DQS Certification Auditor 90 Days
Minor Nonconformity– Time frame for confirmation of corrective action by client 30 Days Time frame for verification of effectives by DQS Certification Auditor next Surveillance assessment

Audit team raises non-conformance in Corrective Action Form and take acknowledgement from client representative as a token of accepting and having clearly understood the non conformance. Client’s representative establishes a corrective action plan with a target date of completion for each non conformance and mentions it on Action Plan. Audit team reviews the correction and proposed corrective action and signs it as a token of acceptance, if found suitable. One copy of action plan is left with organization for carrying out root cause analysis and corrective actions.

Lead Auditor conducts a Final Meeting with Management & Key Personnel of client’s organization. Lead Auditor makes sure that final meeting archives following purpose:

Confirmation of scope of audit
Summarization of positive findings and opportunities for improvements
Formally communicating the non conformances
Agreeing on suitability & time frame for correction & corrective actions
Summarization of conclusion of audit
Confirm follow up activities

The record of attendance of Final Meeting is maintained by Lead Auditor in Attendance Record.

An audit report is prepared by Lead Auditor, which have following attachment:

Audit Attendance record Form 22
Audit Plan Form 23
Stage 1 audit report Form 24
Main Audit Report Form 25
Appendix to Main Audit Report Form 25A
CAR Form 26
Three years program Form 27

This audit report is submitted to Manager operations in maximum 15 days from the date of the closing meeting of stage 2 audit, for onward submission to Manager Registration Services for review by Registration Approval Committee.

If there is Major Conformance open during the time of closure of Stage 2, Auditor requests for corrective actions in agreed time frame as mentioned in Action Plan.

Lead Auditor clearly mentions to the management of client organization in Final Meeting, the requirement of a follow up audit in case of major non-conformance after the corrective actions have been taken. Lead Auditor also mentions that, the recommendation for registration / certification shall be done only after successful verification of effectiveness of corrective actions taken.

Assessment report clearly mentions the follow up actions to be taken by client organization.

Follow up Assessment

Follow up assessment at site is done to verify the effectiveness of corrective actions taken for major non-conformances by the client organization.

Off site verification of corrective actions taken is done through evaluation of evidences of action taken for minor non-conformances.

Lead Auditor or one of the team members conducts follow up assessment on site for major non-conformances and offsite evaluation for minor non-conformances.

During follow up assessment, auditor verifies the effectiveness of corrective actions and also any related operations or processes, which may be impacted due to corrective actions.

If the corrective actions are not found to be effective during follow up assessment, then the assessment process has to be re started from Stage 1.

On successful completion of follow up assessment, Auditor makes revision in the following documents and again submits Manager operations in maximum 15 days from the date of the closing meeting of stage 2 audit, for onward submission to Manager Registration Services for review by Registration Approval Committee:

Main Audit Report Form 25
Appendix Main Audit Report Form 25A
CAR Form 26

Assessment Report Review

Stage 1, Stage 2, Surveillance, Recertification, Scope Change and Special Audit reports are submitted to Manager Registration Services for technical review.

Manager Registration Services assigns a reviewer who is the member of Registration Approval Committee based on the competence required in the particular sector. Reviewer should be independent of Audit Team. All reports and base documents are forwarded to Reviewer to facilitate effective review of reports.

Reviewer uses the Assessment Report Review check list for review of reports. As a minimum requirement of registration/certification or extending the registration / certification following conditions must be fulfilled:

The information provided by Audit Team in assessment reports and attachments is sufficient with respect to the registration/ certification requirements and scope of registration/ certification;
It has reviewed and accepted that the performance of satisfactory correction and corrective action, including actions to eliminate the cause in order to prevent recurrence, for all major non conformances;
It has accepted the client organization’s correction & corrective action plan including actions to prevent recurrence.

On un-successful review, reviewer sends the comments to Lead Auditor for taking appropriate actions to fulfil the requirements raised by reviewer.

On successful review, Completed Assessment Report Review Check List is forwarded to Manager Registration Services for formal approval of assessment report & processing of registration/ certification.

Copy of approved assessment report is forwarded to the client organization in maximum 15 days of the date of approval of the report by Manager Registration Services. Original assessment report is maintained with Manager Registration Service.

Registration/ Certification and Issuance of Certificate

On receipt of approved Assessment Report Review Check List from reviewer, Manager Registration Services signs the audit Stage 2 Report & sends a copy of report to the client.

DQS Certification issues a certificate to the client organization, as an evidence of registration / certification of client’s management system.

As a minimum, certificate contains following information:

The name and identifiable physical location(s) of each site of the client organization whose management system is certified;
The dates of granting, extending, or renewing registration/certification and the basis of continued validity;
The expiry date consistent with recertification cycle;
A unique identification number (Certificate number);
The standard and/or normative document including issue and/or revision used for audit of the certified client;
The scope of certification with respect to product, process, service, etc., as applicable
The name, address and/or certification mark of DQS Certification;
Any other information required by the standard used for certification.
In the event of issuing any revised certification documents, certificate number would be suffixed with English Alphabets (a,b,c,…) in sequential manner for each revision of certificate.

The effective date on certificate shall be the date of assessment report approval. Certificates are issued either on the day of review and decision or at date later to it and in no circumstance certificate is issued before the date of decision.

Manager – registration Services prepares the certificate on the basis of approved Assessment Report with recommendations of the Lead Auditor and Confirmation of Certification Wording provided.

Certificate is then presented for Apex Management signature along with template certificate & approved assessment report. Apex Management reviews the information provided on certificate matches with information available in Template Certificate and signs the certificate.

Certificate is sent to client organization along with Rules for Usage of Logos

Registration/ Certification Maintenance

Frequency of conduct of (surveillance audits) is identified at the time of client engagement process and mentioned in Contract/Technical Review Form. Surveillance assessments are conducted at least once in year.

Lead Auditor mentions the tentative date of Surveillance assessment in Stage 2 Report, Hence client is informed about the tentative time of Surveillance assessment. For scheduling of Surveillance Assessment, the interval between initial audit and surveillance audit is calculated from last day of Stage 2.

Management system requirement & processes to be covered in the Surveillance assessment is predefined in Three years program Form_27

Manager -Operations maintains a Client Surveillance Calendar Form_31 & Monthly Audit schedule and communicate the dates of Surveillance assessment to the client organization and Audit Team.

Manager Operations ensures that audit team consist of an DQS Certification approved Lead Auditor & a person having IAF / NACE scope qualification for industrial or economical sector of client organization. Auditor grade & scope matrix provide guidance for formulating an audit team.

Lead Auditors prepares Audit Plan in case of Surveillance Assessment and sends to the client organization. During preparation of schedule, Lead Auditor shall ensure that the Audit Team planned to audit sufficient number of examples of activities of client organization in relation to the management system and activities to get a sound appraisal of the implementation, including effectiveness, of the management system. If preparation of schedule is delegated to one of the team members, Lead Auditor must reviews and approves the schedule before issuance to client.

Audit Team completes the Surveillance assessment as mentioned under Stage 2. Effectiveness of corrections & corrective actions on non-conformance raised during previous assessment is verified. Surveillance Assessments are always conducted on site.

Audit team shall verify any changes in Structure and management system of the client organization and shall necessarily carryout review of activities / operations likely to be affected by such changes.

Audit Team shall carryout review of following aspects of management system during each Surveillance assessment:

Internal audits and management review;
Complaints;
Effectiveness of the management system with regard to achieving the objectives;
Review & verification of continued effective implementation of corrective action for every non-conformity from present Surveillance Assessment & previous assessments.
Progress of planned activities aimed at continual improvement; and
Use of certification marks, logo or any other reference to certification.

If there is any non-conformance detected during Surveillance assessment, the time frame of taking corrective actions and effectiveness evaluation shall be as follows:

Major Nonconformity Time frame for confirmation of corrective action by client 30 Days Time frame for verification of effectives by DQS Certification Auditor 90 Days
Minor Nonconformity Time frame for confirmation of corrective action by client 30 Days Time frame for verification of effectives by DQS Certification Auditor next Surveillance/recertifcation assessment

Audit Team submits its report to Manager Registration Services. Assessment report contains following attachments:

Audit Attendance record Form 22
Audit Plan Form 23
Main Audit Report Form 25
Appendix to Main audit Form 25A
CAR Form 26

Assessment report is reviewed by reviewer for completeness of assessment report and for continued compliance of client management system with certification requirements.

Manager Registration approves the Surveillance assessment report in maximum 15 days of the date of approval of the report and sends to client organization.

Clients certification is maintained on the basis of successful review of Surveillance Assessment Report.

Surveillance Audit Report is sent to client by Manager Registration Services.

Manager Operations maintains the Surveillance Assessment Schedule and Three years program Form_27 is updated to monitor the timely conduct of assessments, submission & approval of reports.

Recertification / renewal / Reassessment

Recertification requirements are applicable when the time interval between Stage 2 and re-certification audit or between two re-certification audits is 3 years or less.

Manager- Operation gives information in advance before the 02 months of date of Expiry of the Certificate of Registration to the client.

On receipt of request from client for a recertification. Manager Operations notifies the request and carries out the Contract Review over the phone or by email with the client representative and completes Contract/Technical Review Form (Form_02) and submitted to manager- Registration Service for approval. The information is passed to Lead auditor for planning of Stage 2 audit.

In case there are significant changes the client is requested to fill and submit the Application form (Form_01). On receipt of Application form Contract/Technical Review Form (Form_02) is completed and submitted to manager- Registration Services for approval. The information is passed to Lead auditor for planning of stage 1 audit.

Lead Auditor interacts with client and establish the status of the organization with respect to significant changes, products, process, structure & management system, on the basis of the application form and Contract/Technical Review Form.

Planning of re-certification assessment is done to keep focus of assessment in such a manner, which confirms the continued conformity and effectiveness of management system as a whole, and its continued relevance and applicability to the scope of certification. For multiple certification, locations would be covered as per multi-site sampling procedure.

In case of significant changes, Stage 1 is carried out as mentioned in Stage 1 Audit for the person-days mentioned in Contract/Technical Review Form (Form_02).

If there are no significant changes then only Stage 2 is carried out as mentioned in Initial / Reassessment ( Stage 2 Audit) for man-days already identified during initial certification in Contract/Technical Review Form (Form_02).

For multi-site audit scheme Procedure for sampling of multi-site management system as per GD 07 is referred for audit planning. Lead auditor shall ensure adequate on site audit coverage to provide confidence in certification.

Audit planning & execution happens in similar fashion as of Stage 1(if applicable) and Stage 2. While preparing audit plan results of recent surveillance audit is also considered by Lead Auditor.

Lead Auditor plans its audit in such a manner that adequate focus on reviewing the performance of the management system over the period of previous certification cycle can be performed. In addition, Audit Team carries out review of following aspects of management system:

Internal audits and management review;
Complaints;
Effectiveness of the management system with regard to achieving the objectives;
Review of previous surveillance audit reports;
Review & verification of continued effective implementation of corrective action for every non conformity from present Surveillance Assessment & previous assessments.
Progress of planned activities aimed at continual improvement; and
Use of certification marks, logo or any other reference to certification.

On the basis of audit evidences, Audit Team makes specific references of following factors in its assessment report:

The effective interaction between the processes of the management system;
The effectiveness of the management system in the light of internal and external changes;
Demonstrated commitment to maintain the effectiveness and improvement of the management system in order enhance overall performance;
That the operation of certified management system contributes to the achievement of the organizations policy and objectives.

If there is any non-conformance detected during recertification assessment, the time frame of taking corrective actions & effectiveness evaluation shall be as follows:

Major Nonconformity Time frame for confirmation of corrective action by client 30 Days Time frame for verification of effectives by DQS Certification Auditor 90 Days
Minor Nonconformity Time frame for confirmation of corrective action by client 30 Days Time frame for verification of effectives by DQS Certification Auditor next Surveillance assessment

Note: If the timeline specified above is later than validity date of certificate , then an early date is specified for closure to ensure corrective actions are implemented and verified for major non conformances and corrective action plan evaluation for minor non conformances prior to expiration of existing certificate.

Lead Auditor submits assessment report along with attachments as mentioned below:

Audit Attendance record Form 22
Audit Plan Form 23
Stage 1 audit report Form 24
Main Audit Report Form 25
Appendix to Main Audit Report Form 25A
CAR Form 26
Three years program Form 27

Review of reports takes place exactly as per the review procedure of Stage 2 reports. Additionally, performance of management system over the certification cycle and complaints received from the users of certification also considered during review and recertification decision.

On approval of assessment report, certificate is prepared on the basis of Template certificate by Manager Registration Services and Signed by Apex Management.

Audit Report is sent to client by Manager Registration Services.

Special Audits

Extensions to scope: In response to an application for extension to the scope of a certification already granted, Manager – Operations undertake a review of the application and determine any audit activities necessary to decide whether or not the extension may be granted. This may be conducted in conjunction with a surveillance audit. This review is recorded in Contract/ Technical Review form

Short-notice audits: The special audit may be required to be conducted on a short notice in the event of following:

Investigation of complaint
Significant changes in the client organization
as follow up on suspended clients

The decision to conduct such special audit is taken by Manager Registration Services on the basis of nature of complaint or changes.

Provision of special visit is made known to client through including requirement of such special audit in DQS Certification General Business Terms & Conditions.

Manager Operations exercises additional care in the assignment of the audit team due to lack of opportunity for the client to object to audit team members. Preferably, senior & experienced auditors who have very limited exposure of client under audit are assigned for such special audit.

Manager Operations informs in advance to the certified clients in writing the conditions under which these short notice visits are to be conducted and exercise additional care in the assignment of the audit team because of the lack of opportunity for the client to object to audit team members.

Audit team prepares assessment reports of such audits and submits to Manager operations in maximum 15 days from the date of the closing meeting of stage 2 audit, for onward submission to Manager Registration Services for review by Registration Approval Committee.

Audit Report is sent to client by Manager Registration Services.

Suspending, Withdrawing or Reducing Scope of Certification

Registration/ Certification provided to client organization shall be suspended in any of the following circumstances:

Certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of management system;
The certified client does not allow surveillance or recertification audits to be conducted at the required frequency;
The certified client has voluntarily requested a temporary suspension.

If effectiveness of corrective actions is not demonstrated by certified clients during follow up assessments or re-appearance of major non conformance of similar nature in Surveillance assessments or recertification assessments as indicated in assessment reports, then Manager Registration Services initiates the suspension proceedings by sending a formal Suspension Letter to client stating period of suspension.

The period of suspension in such case shall be either effective closure of major non-conformance or 6 months, whichever is earlier.

If client is not allowing follow up assessment, Surveillance assessment or recertification assessment, then manager Operations informs the status along with evidences of efforts made to schedule the assessments to Manager Registration Services. Manager Registration services then initiates the suspension proceedings by sending a formal Suspension Letter to client stating period of suspension.

The period of suspension in such case shall be either satisfactory conduct of assessment or 6 months, whichever is earlier.

In case of certified clients, If client voluntarily ask for suspension, then client is requested to send a written request letter. On receipt of written request letter Manager Registration services initiates the suspension proceedings by sending a formal Suspension Letter to client stating period of suspension.

Suspension period in such case shall be maximum 6 months.

DQS Certification maintains an enforceable arrangement with clients for refraining from further promotion of its certification, as this condition is being stipulated in DQS Certification General Business Terms & Conditions.

Suspension letter mentions condition of refraining from further promotion of certification. If there are evidences of non adherence of this condition, then DQS Certification shall consider publication of suspension in print media.

If suspension is not revoked within 6 months due non fulfilment of condition stipulated above, then Manager Registration Services starts proceedings for withdrawal or reduction in registration/ certification.

On the basis of assessment reports & status available for non conduct of assessments, Registration Approval Committee takes a decision, whether complete certification is to withdrawn or scope of certification to be reduced reducing those parts of management system which are affected.

Manager Registration Services ensures that whenever reduction in certification is done, the balance part of the scope meets all requirements of the standard used for certification.

DQS Certification maintains an enforceable arrangement with clients for discontinuing usage of all advertising matter that contains reference to certified status, as this condition is being stipulated in DQS Certification General Business Terms & Conditions.

Manager Registration Services sends a Withdrawal letter or reduction letter to the client requesting return of original certificate(s) & discontinuation of usage of all advertising matter that contains reference to certified status.

On receipt of original certificate, Manager Registration Services prepares the certificate for reduced scope, takes approval of Apex Management and sends to client organization for which certification is reduced.

Upon request of any interested party, the Manager Registration Services shall correctly inform the status of certification of client’s management system within 15days through the mode of communication used by it .

Transfer of Certification from another accredited certification body

Registration/ Certification transfer can be carried out provided that prospective client has undergone a timely audits and report is available.

Guidance for transfer of certification is provided in GD 16 and transfer is carried out as per the guidance document.

Responsibility:

It is the responsibility of the Manager – Reg. Services and the Lead Auditor assigned to the specific audit to assure that this procedure for registration and surveillance audits are adhered to.

Reference Documents

Guidelines for performance of QMS assessment (GD_13)
Guidelines for performance of EMS assessment(GD_14)
DQS Certification Policy of notification in case of legal violation (GD_15)
Guidelines for transfer of certification from another accreditated certification body (GD_16)
Guidelines for Computer Assisted Auditing Techniques(GD_17)
Auditor Competences Guidance Document (GD_18)

Quality Records

Audit Attendance record_Form_22
Stage_2_Audit_Plan_Form_23
Stage_1_audit_report_Form_24
Stage_2_Main_Audit_ Report_Form_25
Stage_2_Appendix_Form_25A
CAR_Form_26
Three years program_Form_27
Contract_Status_Monitoring_Form_28
Assessment Report Review Check List_Form_29
Monthly Audit Schedule_Form_30
Client_Surveillance_Calender_Form_31
Auditor Scope & Grade Matrix_Form_16
Transfer data_Form_46
Certificate takeover Report_Form_47
General Business Terms & Conditions
Confirmation of Certification Wording
Suspension Letter
Withdrawal letter
Reduction letter
Certificate