PURPOSE

The purpose of this Instruction is to provide relevant information about UK Certification and Assessment Ltd certification process, In View of Public Interest to make aware to Interested Party, Certified Client, Potential Clients (Those who are interested in Certification of Management System). UK Certification and Assessment Ltd is conducting an impartial and independent assessment of a company’s management system for issue and maintenance of certification to the management System standards.

SCOPE OF ACTIVITIES

The certification scheme regulation provided by UK Certification and Assessment Ltd Certification Services Pvt Ltd is a third party system certification scheme with an objective of giving recognition to companies who have effectively implemented and maintained the documented system. Scope of activities follows as below:

• Receipt of Application from Potential Client for Management System Certification or certified client for Scope Extension/ Reduction or Certification of New Standards.
• Conduct of independent assessment for Management System certification.
• Review of Audit File and Issue of certification
• Conducting Surveillance Audit for verification of continuing compliance management systems to certification standard
• Conducting Re-Certification Audit -within the validity of the certificate
• Supplementary/ Re-assessments (required where major non-conformities have been identified or major changes in the organization or its system have been identified/ notified or any complain from Interested Party.

APPLICATION PROCEDURE

Inquiry and Request for proposal: Upon receipt of an inquiry, the Form F 11 & F 13 Company Profile Questionnaire is required to be completed by the applicant company. Based on the information provided, a detailed offer is submitted for the client’s consideration and acceptance.

Application: Upon confirmation of acceptance of UK Certification and Assessment Ltd Application. The UK Certification and Assessment Ltd Marketing Team will send complete 3 Years certification Fess Structure (proposal). After Receipt of acceptance of Proposal from Applicant client organization, the process of Initial/Scope Extension certification commences with the scheduling of audits on mutually agreeable dates.

INITIAL CERTIFICATION PROCESS

Audit Plan and Schedule (For Stage-1 Audit)

UK Certification and Assessment Ltd will send the Audit Plan and schedule for Stage-1 Audit (at Least one-week advance) to Client organization for acceptance of Audit Date and Audit Team acceptance. After receipt of Acceptance from Client organization, the Stage-1 Audit shall be Planed.

STAGE – 1 Audit

An onsite review of the client’s management systems documentation is conducted to verify that the requirements of the management standard are satisfactorily implemented and documented. Audit report (Stage – 1) is issued listing any non-conformity against which corrective actions are required to be taken. UK Certification and Assessment Ltd expects its clients to implement their Management System at least 3 months prior to an onsite Registration Assessment which needs to be confirmed at this stage.

During the Stage-1 Audit – The Audit Team will find the Compliance / Non-Compliance/ Opportunity for Improvements. The Audit Team Shall Communicate the same to Auditee organization during the closing meeting for the Acceptance of Audit findings.

Audit Plan and Schedule (For Stage-2 Audit)

UK Certification and Assessment Ltd will send the Audit Plan and schedule for Stage-2 Audit (at Least one-week advance) to Client organization for acceptance of Audit Date and Audit Team acceptance. After receipt of Acceptance from Client organization, the Stage-2 Audit shall be Planed.

STAGE – 2 AUDIT

The purpose of Stage-2 audit is to the determination of conformity of the client’s management system against the audit criteria and the ability of management system to meets applicable statutory, regulatory and contractual requirements. So that the objective of Stage-2 Audit shall be clearly identified in Stage -2 Audit Plan (F-0020) according to the purpose of Audit.

In line with the stage -1 audit, UK Certification and Assessment Ltd will conduct the Stage-2 Certification Audit either at all sites or sampled (as needed) to assess conformity with the requirements of the applicable standard. The Stage2 Audit is a Full System Audit.

During the Stage-2 Audit – The Audit Team will find the Compliance / Non-Compliance/ Opportunity for Improvements. The Audit Team Shall Communicate the same to Auditee organization during the closing meeting for the Acceptance of Audit findings.

CORRECTIVE ACTIONS AND FOLLOW-UP

If during the Audit Non-Compliance against the Audit Criteria is found and Auditee organization accepted the Same.

Auditee Client is required to submit a corrective action plan - where minor lapses is found is categories as Minor Non-Compliance. At the condition of Minor Non-Compliance, the Auditee Client organization is required to Submit the Corrective Action along with supporting evidence for implementation -within 30 days from Date of Issue of minor-NC.

When the Non Compliance categorized as Major NC- (i.e ) Lapses of Implementation of Requirements of Audit Criteria or Similar Nature of minor NC found in many processes of the organization or Lapses of implementation of Legal / Regulatory body requirement. In this situation, the Auditee Client organization is required to implement the Corrective action and submit the Corrective action report along with supporting evidence within 90 Days to UK Certification and Assessment Ltd Audit Team Leader for verification. If the Audit Team Leader Satisfy with CAR submitted. Audit Team Leader will recommend for Certification and Submit the audit report for Review and making the certification decision.

If Audit Team Leader is not satisfying with CAR a Supplementary Audit shall be planned for verification of implementation. The same shall be notified to the client in advance. After supplementary Audit and verification of implementation of CAR , Audit Team Leader will recommend for Certification and Submit the audit report for Review and making the certification decision.

RECOMMENDATIONS

Audit Team Leader shall recommend for the granting of Certification, refusing, maintaining of certification, expanding or reducing the scope of certification, renewing, suspending or restoring following suspension, or withdrawing of certification, are only recommending authorities based on the Audi findings and review of CAR. These recommendations are impartially verified through Review of Audit Report by the competent person or Team and the certification decision shall be made.

CERTIFICATION DECISIONS

• An Impartial Competent Auditor/Technical Reviewer reviews the Audit Report submitted by Lead Auditor and if found satisfactory, then reviewer will recommend CEO for the Certification Decision, related to certification for granting, refusing, maintaining of certification, expanding or reducing the scope of certification, renewing, suspending or restoring following suspension, or withdrawing of certification.
• The certification shall not be granted until there is sufficient evidence to demonstrate that the organization’s Management System is complying with the requirements of Audit Criteria /standards.

ISSUE OF CERTIFICATE

Upon completion of the review of audit report documentation and acceptance of corrective action, UK Certification and Assessment Ltd will issue the Certification to Registration of the Client organization. This will be subject to the full Audit fee payments against the invoice(s) issued to the client that has been received at UK Certification and Assessment Ltd.

VALIDITY AND RENEWAL OF CERTIFICATES

Certificates issued by UK Certification and Assessment Ltd remain valid for a period of three years from the date of Certification Decision. The first surveillance Audit shall be conducted with the 12 months from date of certification decision and successive periodic surveillance Audit shall be conducted on the calendar year basis. The Recertification Audit shall be conducted within the validity of the certification period.

SURVEILLANCE ASSESSMENT

The certified organization will be subjected to a surveillance audits (either six monthly or annually). The first surveillance visit being scheduled on a suitable date, six months or twelve months from the date of Stage-2 Audit. The UK Certification and Assessment Ltd will provide the complete Three Year Certification Cycle Audit Program Plan at the time of Contract Review with UK Certification and Assessment Ltd. For the acceptance to the client organization. So that Surveillance Audit and Re-Certification Audit shall be conducted on time.

In case of delay for more than a month from the surveillance Audit / Re-certification Audit, as per the agreed audit plan date. It is a certified client organization to provide the valid justification for delay for not allowing for the conduct of Audit, without a valid justification that will lead to the conduct of a reassessment. UK Certification and Assessment Ltd reserves the right to conduct such reassessment. In case the Re-Certification Audit is delayed more than a month, as per the Agreed Audit program, the UK Certification and Assessment Ltd reserves a right to either suspend the certification or conduct a full assessment again, as per Initial Certification Audit program/Process.

SPECIAL AUDITS

EXPANDING TO SCOPE

When the certified client organization applied for an extension to the scope of a certification already granted, the Application shall be reviewed as per UK Certification and Assessment Ltd documented procedure and application reviewer determine any audit activities necessary to decide whether or not the extension may be granted. If decided to for extension of scope, the audit shall be conducted in conjunction with a surveillance audit.

SHORT-NOTICE AUDITS

The Short Notice or unannounced Audit of certificate client site shall be conducted in the Following Situations, considering the significant to certification

1. For Investigation of Complaint.
2. Follow up on Suspension.
3. The change to legal, commercial, organizational status or ownership
4. The changes of organization and management (e.g. key managerial, decision-making or technical staff),
5. Changes to contact address and sites,
6. Changes to Scope of operations under the certified management system.
7. major changes to the management system and processes

IN SUCH CASES OF SHORT NOTICE AUDIT

1. UK Certification and Assessment Ltd shall update to Client organization in advance and the conditions under which these short-notice visits are to be conducted.
2. UK Certification and Assessment Ltd shall update the client about the Audit team members in advance and after acceptance of Audit Team combination, the Audit shall be planed.
3. UK Certification and Assessment Ltd shall 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.

MAINTENANCE OF CERTIFICATION

Certification / Registration remain valid in case of:

• Maintaining an effective Management System
• All Surveillance / Reassessments getting conducted as per schedule
• All corrective actions getting resolved in case of major Non-conformity or Complaint in the stipulated time frame and to the satisfaction of the Lead Auditor/ Auditor.
• Any major change in the organization/Management System is handled satisfactorily and promptly communicated to UK Certification and Assessment Ltd
• All the fee payable has been paid to UK Certification and Assessment Ltd in time.

NOTICE OF CHANGES BY A CLIENT:

To ensure that the certified client informs the UK Certification and Assessment Ltd, without delay, of matters that may affect the capability of the management system to continue to fulfill the requirements of the standard used for certification. These include changes relating to:

• The legal, commercial, organizational status or ownership,
• Organization and management (e.g. key managerial, decision-making or technical staff)
• contact address and sites,
• Scope of operations under the certified management system, and
• Major changes to the management system and processes.

SUSPENSION OR WITHDRAWAL (CANCELLATION) OF CERTIFICATION

Any certificate issued by UK Certification and Assessment Ltd may be suspended or withdrawn (based on severity of breach) in the event of any of the following defaults by a certificate holder. _ If a surveillance assessment is not arranged within 3 months of the due date in response to notice issued by UK Certification and Assessment Ltd Certification Services

Major lack of effective implementation corrective actions within agreed time limits in respect of nonconformities identified during Surveillance Assessment. _ Failure to pay appropriate fees. _ Continued misuse of Accreditation mark/logo e.g. misleading publications, advertisement or contravention of the stipulated conditions for the use of Accreditation Body Logo/ UK Certification and Assessment Ltd logo. _ Major changes in the organization leading to the breakdown of the relevant management system as per application standard.

Any Proven Conflict of Interests become known to the Management of UK Certification and Assessment Ltd in due course after the release of Certification in such a way that Impartiality to the certification recommendation had been compromised and the certified organization declines the UK Certification and Assessment Ltd request to undergo an additional Audit/Special Audit.

All the certificates issued by UK Certification and Assessment Ltd are the property of UK Certification and Assessment Ltd and an organization is liable to return all original and copied sets to UK Certification and Assessment Ltd in the event of any of the above defaults. Upon Withdrawal the Client shall discontinue its use of all advertising matter that contains any reference to a certified status /use of Logo (UK Certification and Assessment Ltd & Accreditation Body).

VERIFICATION ON UK Certification and Assessment Ltd CERTIFIED CLIENT STATUS THROUGH UK Certification and Assessment Ltd WEBSITE

The client/ Interested party who want to verify the certification status, kindly visit UK Certification and Assessment Ltd website www.ukascert.co.uk and go to verify your certificate link (Provided on Home Page) place the unique certificate number (only numeric value) and click to search button to check the status of certification of a particular client.

If the certificate number is not known, kindly request us.

INFORMATION SHALL BE PROVIDED UPON REQUEST

The UK Certification and Assessment Ltd can provide the Following Information upon request

• The geographical areas in which UK Certification and Assessment Ltd operates
• The status of a given certification.
• The name, related normative document, scope and geographical location (city and country) for a specific certified client.

AVAILABILITY OF UK Certification and Assessment Ltd DOCUMENTS OR INFORMATION

The following information and UK Certification and Assessment Ltd policy, Procedure and Rules are available at UK Certification and Assessment Ltd website, without request. for the Interests of Public / Certified Client / Potential clients / Interested Party.

• Information about the authority under which UK Certification and Assessment Ltd operates
• Information on UK Certification and Assessment Ltd Certification Process
• Information about certified Clients/ Suspended Clients /withdrawn Clients
• Information about UK Certification and Assessment Ltd scope services
• Information about Right & Duty of Clients
• Information about Rules of Use of Logo
• Information about Appeal and Complain Handling procedure.

APPEALS/ COMPLAINTS

UK Certification and Assessment Ltd in certification scheme endeavors to provide a prompt, competent and impartial service to its clients. In case, an applicant, a certified company or any other interested party wishes to make a complaint in respect of the operation of UK Certification and Assessment Ltd or appeal against a decision of the UK Certification and Assessment Ltd which is considered to be unfair and prejudicial to the interests of the complaint UK Certification and Assessment Ltd will consider the complaint or appeal in accordance with procedure UK Certification and Assessment Ltd-P-10. The copy of the Appeal / Complaint Handling Procedure is publicly available on www.ukascert.co.uk .

ACCESS TO RECORDS OF COMPLAINTS TO ORGANISATIONS

UK Certification and Assessment Ltd requires each organization whose quality management system is certified to make Available, when requested, the record of all complaints and corrective action taken in accordance with the requirements of the management system standards or other normative documents.

USE OF LOGO

A certified company is entitled to use the Accreditation mark/ UK Certification and Assessment Ltd logo on its stationery, advertising, and publicity brochure etc. for promotional purposes but not on the actual product. The use of Logo is governed by the UK Certification and Assessment Ltd conditions and instructions applicable to the use of Accreditation and certification marks by certificated companies. As per the Rules for Use of Logo, which is available on UK Certification and Assessment Ltd website – www.ukascert.co.uk

GENERAL GUIDELINES

CONFIDENTIALITY

As per the Confidentiality Agreement Policy, the UK Certification and Assessment Ltd office Staff, Auditor and the person working under control of UK Certification and Assessment Ltd (Technical Experts/Contracted Auditors) shall main the confidentiality of information gained during the entire certification process and shall not be disclosed to any third party without prior consent the client organization. In case the information required by Law, the UK Certification and Assessment Ltd shall disclose the information, with prior notice and consent with the client organization. UK Certification and Assessment Ltd office staff and auditing personnel are bound by a confidentiality agreement to safeguard the client’s information. All our staff is bound by a written confidentiality undertaking, to fulfill Accreditation Requirements. UK Certification and Assessment Ltd will make available the information related to client certification status on UK Certification and Assessment Ltd website (only limited part of certification status -i.e Name of the Organization, certificate number, certified Standards and status of certification ) or the of certification status ( address , scope and contact information) shall be provided upon request, with prior consent with client organization or when requested by accreditation body.

UK Certification and Assessment Ltd CERTIFICATION SERVICES REGISTRATION OWNERSHIP

The certificate and UK Certification and Assessment Ltd registered Logo shall remain the property of UK Certification and Assessment Ltd.

SAFETY

The client is responsible for ensuring that when UK Certification and Assessment Ltd Audit Team visits client sites, the client organization should have an adequate arrangement of protective equipment for the safety and Audit Team members. Where special training is required in case matter of safety this is to be disclosed to UK Certification and Assessment Ltd before a visit to Audit Team.

LIMITATION OF LIABILITY

LAW

The UK Certification and Assessment Ltd agreement shall be governed by Indian law and the parties agree to submit to the nonexclusive jurisdiction of the courts of NEW DELHI in India.

UK Certification and Assessment Ltd liability in respect of any single event or series of events for breach of UK Certification and Assessment Ltd obligations in this Contract Terms & Scheme for certification shall be strictly limited to the amounts payable by you to UK Certification and Assessment Ltd in the 12 months preceding the date of the event or events. UK Certification and Assessment Ltd Certification Services is not liable for any other liability (including any third party liability) claim what so ever is claimed by the client to UK Certification and Assessment Ltd. UK Certification and Assessment Ltd is not liable for any claims passed by its clients in case their products or services malfunctions with their own clients or users.

All assessments undertaken by UK Certification and Assessment Ltd are conducted by Qualified Lead Auditor / Auditors/ Associates with expertise matched with the nature of an applicant company’s activities under assessment. The company is advised in advance of the composition of the Audit Team and the schedule of audit for confirmation. The Lead Auditor is responsible for planning the assessment in accordance with the requirements, assigning auditing functions to his team members and reporting with authority to take final decisions in respect of the interpretation of the applicable requirements of the standard as well as makes recommendation regarding certification for granting, refusing, maintaining of certification, expanding or reducing the scope of certification, renewing, suspending or restoring following suspension, or withdrawing of certification based upon a review of the level of compliance of the systems in operation. The client organization is responsible for providing UK Certification and Assessment Ltd Assessors, access to its relevant facilities and records, appointing a responsible person to coordinate the arrangements for assessment and to provide all resources required by the audit team for performing their duties. In case the client organization wishes to request for postponement of a scheduled assessment, then the request must be given to UK Certification and Assessment Ltd 15 days in advance or else UK Certification and Assessment Ltd may charge the full assessment fee.