Policy & Procedure
ICERT requires the customers to have documented management system that meets applicable standard.
After each periodic on-going surveillance, ICERT reviews the on-going surveillance report and takes decision on maintaining certification, expanding and reducing scope of certification, renewing, suspending of certificate.
ICERT has the responsibility and authority for decision of maintaining, extending, and reducing, suspending and withdrawing certification.
· Granting certification: - that the compliance to the Certification requirements has been confirmed by the ICERT as per its Certification Procedures.
· Maintaining Certification: that demonstrate that the client continues to fulfil the requirements of the management system standard based on the documentary evidence gathered by audit team.
· Suspending Certification: temporary suspension due to non-fulfilment of requirement, which can be restored only successful implementation of corrective action.
· Reducing the scope of certification: When it is found that client management system does not have capability for the scope of certification.
· Withdrawing certification: - When it is found that client is fulfilling requirement of standard and failed to implement proposed corrective action in given time certificate may be withdrawn.
· Refusal of certification: When during application review it is found that client activity is not in consistent with the ICERT procedures or due to unavailability of scope/scheme under particular accreditation the client is refused certification. The reasons for refusal will be documented.
· Audit package: The complete documentation of an audit visit. The specific content of an audit package vary according to the type of audit as described in the relevant procedure.
· Hold log: A record maintained by the ICERT of audit files placed on hold. The log identifies the client information, job number, reason for hold, hold date and release date.
· The certification management council (The certification Decision Committee): It is a committee authorized by the top management to review the audit pack after the technical review and take the certification decision. The members of this committee are supported as appropriate by experts who can provide specific information on critical issues , when they arise any member of this committee participates in specific audit as an auditor/ lead auditor will not share the committee in taking the decision for that audit to ensure independence of the certification decision taken.
· Designated Technical Reviewer: An individual identified as having thorough knowledge of ICERT systems and being qualified to support the certification decision committee in reforming technical reviews of audit packages. For some scopes and schemes, additional qualifications for the technical reviewer apply.
• The action and responsibilities described below cover initial certification, recertification, changes to the scope of certification and continuation of certification through surveillance visits. For simplicity, the wording generally assumes an initial certification.
• The decision on certification is not taken by the persons having performed the audits. As a matter of principle, certification is assigned, confirmed, extended, suspended or withdrawn by ICERT delegation to external personnel or organization is not permitted.
• Completed audit package from the field are routed to the technical reviewer who assigned by the head of certification, where they are reviewed technical and the certification decision is taken by the certification decision committee.
• Both the designated technical reviewer and the certification decision committee shall cooperate together to take the right decision and shall not have participated in the audit for which the audit package is being reviewed.
That ICERT based on the documentary evidenced found that client fulfil all the requirement of management system information as per the required scope of certification.
The certification is granted and recorded in List of customers on the website provided:
· Customer has documented management systems that fulfil the requirement of applicable standard or other normative documents.
· That Internal Audit and Management Review cycle has been completed.
· The Client has taken effective implementation of all corrective action identified taken due to Non-conformance raised by the audit team.
· There are no adverse reports/ information/ complaints with the ICERT about the applicant regarding the quality and effectiveness of implementation of system as per ICERT certification criteria.
· If an already certified client wishes to transfer his certificate from other CB to ICERT the ICERT will treat as a new client until unless the client is certified by a CB having same accreditation in applied QMS/EMS/OHSMS system certification scheme.
· The applicant has paid all the fees.
Maintaining Certification is allowed when in during subsequent surveillance client has demonstrated that is continued to fulfil all requirement of standard and scope of certificate.
The certification is maintained provided.
· The certified organization continues to meet the criteria of certification and effective implementation of corrective action taken due to any non-conformity found during surveillance assessment has verified.
· There are no adverse reports/ information/ complaints with the ICERT about the applicant regarding the quality and effectiveness of implementation of certification system as per ICERT certification criteria.
· The client has paid all the outstanding dues.
Certification manager monitors its surveillance activities, including monitoring the reporting by its auditors, to confirm that the certification activity are operating effectively.
Suspending Certification when the scope of certificate is Suspended provided:-
· Customer does not accept surveillance or recertification audits to be conducted at the required frequencies (the date of first surveillance audit cannot be more than 12 months from date of certification decision. Surveillance audits are conducted at least once a calendar year).
· ICERT determines that Customer does not have resources to meet the requirements of the scope of certificate and/or standard.
· Excessive or serious complaints by interested parties and social conflicts.
· The required actions against the changes of Certification system and requirements have not been taken by Customer during the specified period.
· No/ ineffective corrective action in response to the non-conformities observed during surveillance/ recertification.
· Any willful misuse of logo of ICERT or Accreditation board.
· Not correcting misuse of certification mark, within one (1) month.
· Nonpayment of outstanding due within one month after completion of audit.
· Client used and applied the certificate (certification) to activities beyond scope of certification.
· It is proved that the information and/or materials provided by client during assessment are misleading.
· ICERT determines that Customer does not comply with the agreement(s) and/or contract(s) concluded with ICERT.
· ICERT determines that Customer does not comply with “Obligations of Certified Customer”.
· Any other condition deemed appropriate by ICERT management according to standards.
· The certified client has voluntarily requested a suspension
Process of suspension
· ICERT informs the customer in writing of likely suspension of certification identifying the reason thereof as per suspension letter through postal mail/ courier extending an opportunity to correct the reason for suspension within 15days. If the customer doesn’t
· take adequate action, the certificate is cancelled ‘cancellation letter is sent with a time frame (one month for nonpayment of dues and three to six months for delay in surveillance and other reasons or as deemed necessary by ICERT) for removal of reasons for suspension. ICERT make the suspended status of the certification publically accessible through its website WWW.ICERTDAS.COM
· If the issue/ reason for suspension is resolved then the suspension is removed, its certification is restored. The expense incurred shall be recovered from client before revoking suspension. and restoring the certificate.
· In the event ICERT determines that the actions taken by the customer are not satisfactory, the certification shall remain suspended. Failure to resolve the issue within time established by ICERT shall result in withdrawal or reduction of the scope of certification.
· The period of suspension in most of the cases will not be more than six months. However on merits of the case, this can be extended and justification for the same will be recorded in the client file.
· Special short notice audits are planned as necessary depending upon the reason for suspension in accordance with ICERT procedure for special audit.
Withdrawing certification means the state that the customer’s certification is withdrawn under the following condition(s):-
· Failure to correct suspension within time established by ICERT (one month for nonpayment of dues and three to six months for delay in surveillance and other reasons).
· Customer’s request.
· The certified customer is no longer identified because of its dismantlement or communication disconnecting, etc.
· The suspension of Customer’s Certification is more than 2 times during the term of validity of its Certification.
· After receipt of ICERT request to return the certificate(s), Customer didn’t return its certificate(s) to ICERT within one (1) month
Process of Withdrawing Certification
· ICERT informs the customer in writing of likely withdrawal of certification through Notice for certificate cancellation letter.
· The termination of withdrawal of certification means that certification is no longer valid. The customer may re-apply to ICERT for Initial Certification when all the reasons for the withdrawal have been removed and communicated to ICERT. Any application received from a withdrawn client is processed as for new client.
Scope extension audits shall be conducted upon request from client organization under following conditions.
· 5.6.1. Inclusion of process in the system which was earlier excluded. Example: Design and Development
· 5.6.2 Inclusion of additional product(s)
Process of extension to scope
When ICERT is informed that changes occur in the customer’s Management System, and client require extension to scope, ICERT sent Extension to scope application then ICERT review the application for extension to the scope of certification and shall determine the need of any audit activities. Depending on the complexity of their change this may require a special visit or may be conducted in conjunction with a surveillance audit.
ICERT refuses application in the following cases:
· Due to Unavailability of Competent Auditor.
· If related scope not comes under the accreditation scope of certification.
· Some ambiguity in legal or clients will to get & maintain certification.
Process Refuse certification
When ICERT cannot accept the certification for certain reasons, ICERT sent letter for refusing to client’s certificates to client with explaining the reasons for rejection.
To recognize of an existing and valid management system certification, granted by one accredited certification body (Issuing certification body), by another accredited certification body (accepting certification body) for the purpose of issuing its own certificate. ICERT require from client following documents for review:
· Copy of certificate of compliance from the previous certification body.
· Copy of assessment report of previous certification body.
· Compliance status to applicable legal requirements.
· Copy of last internal audit report and management review. Review for meeting the requirement of the contractual standard.
Process transfer of certificate
ICERT sent transfer of certificate checklist to client to fill it and ICERT require from client Attach the above documents.
When ICERT is informed that changes occur in the customer’s Management System, certification manager provide the Change Request Form to the customer to complete the form and submit it to ICERT.
After review of the Application submitted by the customer,
Certification Manager determines the necessary action in accordance with Modification.
When change is approved by ICERT, ICERT shall retrieve the previous certificate and shall issue a new certificate. The list of customers is revised accordingly. He/ she shall report the changes to Accreditation body, if required.
If applicable, Certification Manager shall perform the assessment for modification in accordance with Certification System Procedure.
If the Certification requirements are changed, followings shall be processed within specified period;
· ICERT shall inform Customer about changed requirements in detail and one (1) month of transitional period shall be observed.
· Customer shall submit documented Implementation plan of changed requirements or its result in detail.
· Through on-going surveillance, ICERT shall verify Customer’s implementation and compliance of changed system based on Certification requirements changed, within 12 months.
In the event that Director/CEO decides for the extension of assessment scope, ICERT will fulfill the requirements for extension and apply to applicable accreditation body.
Client may appeal against a decision of ICERT. The appeal may be forwarded to ICERT on the contact mentioned on web site or May forward directly to Head system certification, ICERT shall respond to the appeal according to internal procedure for handling Appeals & Complaints SP-013
In case of any complaint against the service of ICERT, or against the client certified by ICERT, the interested party/ client shall communicate on contact mentioned on the web site WWW.ICERTCERT.COM, ICERT shall respond to the complaint according to internal procedure for handling Appeals & Complaints