Purpose :-

 

This Quality Procedure established for issue of Certificate to the client’s management system, Suspending, Withdrawing and reducing the scope of certification against the agreed audit standard, and its control.

Scope :-

 

This procedure is applicable over all type of certificate issued by DUV.

Responsibility :-

 

Managing Director/ Quality Manager and DUV‘s Technical Committee.

Authority :-

 

This procedure has been authorized by the Managing Director and can be amended only by him.

Purpose: This Quality Procedure established for issue of Certificate to the client’s management system, Suspending, Withdrawing and reducing the scope of certification against the agreed audit standard, and its control.   

 

Scope: This procedure is applicable over all type of certificate issued by DUV.

 

Responsibility: Managing Director/ Quality Manager and DUV‘s Technical Committee.

 

Authority: This procedure has been authorized by the Managing Director and can be amended     only by him.

Sec.

Sub Sec.

Description

1

1.1

Receipt and review of Audit report

 

1.1.1

The team leader is responsible for submission of audit report documents. This contains at least client signed audit report, corrective action plan for non-conformances and assessor notes. All audit reports (Stage 1, Stage 2, routine surveillances, follow-up, special audit, recertification etc) are reviewed at multiple stages.

 

1.1.2

  1. DUV ensures that certificate of conformity is issued only on the basis of evidence based recommendation received from a competent audit team. The audit reports are reviewed at multiple stages, as described below-
  2. A competent Technical committee constituting one or more members is convened by the Quality Manager/Managing Director to review the submitted audit report and to take appropriate decision about certification and also ensured that the auditor who has carried out the audit, or the Application reviewer/ audit programmer does not participate in certification decision as a member of the Technical committee.
  3. The submitted set of documents is reviewed for completion by Report reviewer. Audit report review checklist (DUV_F-034 Certificate issue checklist) is used to record the review and submits his/her findings to Quality Manager/Managing Director.
  4. The audit report (corrected if possible) along with audit report review checklist (DUV_F-034 Certificate issue checklist) is submitted to Certification committee member for technical review which includes review of the information provided by the audit team is sufficient with respect to certification requirements, scope of accreditation and effectiveness of corrections and corrective actions are effective for all non conformances raised during the audit. The audit report carried out by the auditor qualified for the specific sector, provided he has not participated in the audit and has not declared any conflict w.r.t. the client. The person responsible for technical review is identified during the contract review (DUV_F-002 Contract Review). It is the responsibility of the auditor to pro-actively declare of any conflict. All auditors are trained for the review process. In cases where technical expert is used for the audit, the technical reviewer may discuss with the technical expert on the NC / observations used. The reviewer may also discuss any particular part of the report with the team leader / specific auditor. In case the audit report does not require review by certification committee chairman, the report is returned to Quality Manager for further process.
  5. The Technical committee recommended issuing the certificate on the basis of audit report and recommendation submitted by the audit team leader. If the committee feels that the audit report does not provide sufficient information required to make certification decision, additional audit, with specific objectives, by another audit team may be ordered. The Technical Committee & certification decision maker confirms, prior to making a decision on the following basis-
  • the information provided by the audit team is sufficient with respect to the certification requirements and the scope for certification
  • it has reviewed, accepted and verified the effectiveness of correction and corrective actions, for all major nonconformities that represent failure to fulfill one or more requirements of the audit standard.
  • it has reviewed, accepted and verified the effectiveness of correction and corrective actions, for all major nonconformities that represent a situation that raises significant doubt about the ability of the client's management system to achieve its intended outputs.
  • it has reviewed and accepted the client's planned correction and corrective action for all minor nonconformities.
  • Closure of some of the minor non conformities may be verified by perusal of documentary evidence submitted to the DUV office/ audit team leader.
  • Closure of some of the minor non conformities may be verified during subsequent surveillance audit.

 

1.2

Action prior to making a decision- The Technical Committee/Audit report reviewer & certification decision maker confirms, prior to making a decision, that –

 

1.2.1

The information provided by the audit team is sufficient with respect to the certification requirements and the scope for certification.

 

1.2.2

It has reviewed, accepted and verified the effectiveness of correction and corrective actions, for all major nonconformities that represent –

  1. failure to fulfill one or more requirements of the audit standard
  2. a situation that raises significant doubt about the ability of the client's management system to achieve its intended outputs

 

1.2.3

It has reviewed and accepted the client's planned correction and corrective action for all minor nonconformities.

  1. Closure of some of the minor non conformities may be verified by perusal of documentary evidence submitted to the DUV office/ audit team leader.
  2. Closure of some of the minor non conformities may be verified during subsequent surveillance audit.

 

1.2.4

On each certificate to be issued, fill in the client organization's name, base office, address, standard (including issue year of standard), and scope, based on the information on the audit report. Be sure to check for any changes indicated on Comment Sheets included in the audit report.

 

1.2.5

Have the Quality Manager review the certificate for any errors. The certificate with all attachments like logo rules, cover letter etc is submitted to Managing Director for his signature.

 

1.2.6

This involves preparation and review of certificate, certificate signature by Managing Director and ensure that the availability of the certificate detail on the DUV’s website (www.duvindia.com).

 

1.2.7

The signed certificate is sent to the client at his address or any other address he has specifically requested. The certificate shall not be issued to any other person without a written approval from the client. The certificate docket shall contain at least the following-

  • Covering letter from DUV.
  • Rules accompanying the logo
  • CD containing soft copy of the logos
  • Certificate

2

 

Change in Certificate

 

2.1

The client may request for change in certificate. This may be due to-

  1. Change in ownership
  2. Change in name of the company
  3. Change in location
  4. Increase or decrease in scope (products, services offered etc.)
  5. Increase or decrease in locations

 

2.2

Client may request for change in certificate or reduction / expansion in scope to Quality Manager shall review the request and decide for a special audit if the next audit is not due in near future or if the next audit cannot be proposed. Quality Manager also determines if the changed scope is within accreditation scope of DUV.

 

2.3

In case of change in name of company or location without any change in management, the client shall submit ROC approval for the change. Where the management has changed, the details of MOA and ROC approval shall be submitted along with the request.

 

2.4

The duration for the special visit shall be decided by Quality Manager and communicated to the client. The lead auditor submits a descriptive report detailing the changes, justification for reduction / expansion of scope and review of the impact of change in the scope (use of logos etc). Where expansion of scope is requested, the compliance to QMS for the respective activities and impact on other processes is verified. In case the special visit is carried out as a part of routine surveillance, the descriptive report is added to the surveillance report.

3

 

Certification document

 

3.1

DUV provides certification documents to the certified clients normally by courier. When requested scanned copy is also mailed to the client.

 

3.2

The certification document identifies the following:

  • The name and geographical address/ location of the certified organization.
  • The name and location of the headquarter and any site/s within the scope of a multi-site certification) In case where the site addresses or scope details can’t be accommodated in one page, these are documented as schedules to the certificate and are referenced in the certificate.
  • Dates of granting, extending or renewing certification/Planned surveillance audit dates and the expiry date or recertification due date consistent with the recertification cycle.

4

 

DUV exercises proper control of ownership over use of certificate, marks/ logo and audit reports. We make this clear in our contract/ agreement with clients that DUV will take action to deal with incorrect references to certification status or misleading use of certification documents, marks (including accreditation symbol if applicable) or audit reports. This action could include requests for correction and corrective action, suspension, withdrawal of certification, publication of the transgression and, if necessary, legal action.

5

 

Maintaining certification: DUV has established a system which requires that for any nonconformity or other situation that may lead to suspension or withdrawal of certification, the Technical Committee appropriately decides the line of action, to determine whether certification can be maintained. DUV maintains certification based on demonstration that the client continues to satisfy the requirements of the audit standard. It maintains a client's certification based on a positive conclusion by the audit team leader.

6

 

Recertification

 

6.1

Reassessment is a requirement of ISO17021-2011 and is intended to verify overall continuing effectiveness of the organization’s applicable management system in its totality. The reassessment provides for a review of the past performance of the quality management system over the period of previous certification, including examination of the documents/records relating to the internal audits, management review and effectiveness of corrective and preventive actions, etc.

 

The process of recertification would include a reassessment of the organization’s documented quality management system including a review of the Management System, where necessary, to be conducted before the expiry of three years term of validity. The recertification audits planned and conducted to evaluate the continued fulfillment of all of the requirements of the relevant management system standard or other normative document.

 

Reassessment is normally carried out at the end of three year cycle and shall be combined with Surveillance visit if the frequency is annual. However in the case of 9 month/Six month frequency the reassessment audit can be done separately but before expiry of the certificate. The process of Re-certification is planned by the Quality Manager. Advance notice is sent to the client. If the client agrees for the recertification the sending Questionnaire, quotation and application reviewed.

 

Recertification process is initiated at least one month before the specified expiry date of the certificate. Information about any substantial change in management, machinery, and process and QMS scope is gathered, and if substantial change is reported, stage-1 audit is planned to assess suitability of the documentation with current process status of the client.

 

6.2

Objective of the recertification audit

  1. To assess the extent of the effectiveness of the management system in the light of internal and external changes with reference to the scope of the QMS certification.
  2. To assess whether the operation of the certified management system contributes to the achievement of the organization's policy and objectives.
  3. To verify that the client is following the conditions of certification.
  4. Demonstrated commitment to maintain the effectiveness of the system.
  5. This reassessment activity can be divided under following headings covering the points listed below.
  6. Summary of Previous Audit Reports.
  7. Whether all areas/ processes/ clauses have been audited at least once in the last three year cycle.
  8. Any concentration of non-conformities against particular clauses/areas and effectiveness of corrective actions taken on nonconformities identified by DUV shall be closed as earlier.
  9. Quality Objectives and Continual Improvement.
  10. Whether the operation of the certified management system contributes to the achievement of the organization's policy and objectives.

7

 

Suspension, withdrawing or Cancellation of Client Certification

 

7.1

DUV have the  authority to suspend certification in cases where on reviewing  the audit reports and subsequent verification, he arrives to a conclusion that the-

  • Client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system in the surveillance audits.
  • the client’s management system has persistently lost the effectiveness of the management system
  • The certified client does not allow surveillance or recertification audits to be conducted at the required frequencies as mentioned in the contract no.
  • The certified client has voluntarily requested a suspension in writing to DUV.

 

7.2

Under suspension, the client's management system certification is declared temporarily invalid. DUV makes enforceable agreement with its clients to ensure that in case of suspension the client refrains from further promotion of its certification.

 

7.3

Quality Manager ensures that the suspended status of the certification is publicly accessible on the website and also communicated to the client in writing.

 

7.4

DUV ensures that the suspended status of the certification is publicly accessible on the DUV’s website (www.duvindia.com). Suspension time limit set by DUV (but less than 6 months) the issues are not resolved that have resulted in the suspension Quality Manager takes decision of withdrawal.

 

7.4

DUV has established a policy to reduce the client's scope of certification to exclude the parts not meeting the requirements of the audit standard, when the client has persistently or seriously failed to meet the certification requirements for those parts of the scope of certification.

 

7.5

DUV has established a policy to reduce the client's scope of certification to exclude the parts not meeting the requirements of the audit standard, when the client has persistently or seriously failed to meet the certification requirements for those parts of the scope of certification. The scope of the certification and communicates in writing to the client and the list is updated on the website.

 

7.6

DUV has established legally enforceable arrangements with the certified client concerning conditions of withdrawal. As per this agreement, upon getting the notice of withdrawal, the client has to discontinue its use of all advertising matters that contain any reference to its certified status.

 

7.7

This Process correctly state the status of certification of a client’s management system as being suspended, withdrawal or reduced in DUV website and may publish status of certification in newspaper as necessary.

Reference:

a.    Record of courier /certificate delivery

b.    Audit files

c.    Website (List of organizations whose certificates have been suspended)

d.   www.duvindia.com