Rules for Certification
- The Client facilities specified in the Certification Contract must have an effectively implemented and documented its ISO management system, which complies with the standard as specified in the Certification Agreement.
- Complete Internal audits followed by management reviews of the client’s quality management system should be conducted at least once in a year. At least one complete cycle of Internal Audit and Management review shall be completed before Certification Audit.
- All records pertaining to the implementation of the quality management system must be made available to authorized Global Compliance Service personnel including records of external complaints and remedial actions taken.
- Access to all business and production areas must be made available to authorized Global Compliance Service personnel to ensure an effective and efficient audit including all documentation relating to the quality management system for which Certification is being undertaken.
- The Client must appoint a designated individual to be responsible for ensuring that the quality management system requirements are observed.
- For any Management System, the Client must comply with the Certification Program requirements, mandatory legal or regulatory requirements, statutory requirements which apply to the Client’s production processes or services. The Client must maintain a manual register of regulatory requirements that are applicable and shall comply with the same. In the event of Client (organization) conducting a violation of the legal / regulatory / statutory requirement, the client will inform Global Compliance Service on its own, proactively, and voluntarily. In case a violation of legal/ regulatory/ statutory requirement is observed during Certification (stage 2) and surveillance Audit, the audit team will notify the client’s management of the violation. The client shall ensure and provide evidence to Global Compliance Service that the appropriate authorities have been notified of the violation as per the prescribed procedures of the relevant authorities.
- All significant changes to the Client’s organization, products, processes, or services which may affect the Certification or compliance to the audited standard must be communicated to Global Compliance Service within 30 calendar days. This may require Global Compliance Service to undertake further Audit to review the impact of these changes on the Certification.
- Global Compliance Service will provide to its clients, any changes to its certification requirements and the same will be verified by Global Compliance Service for all its clients within 30 days.
- The frequency and duration of surveillance visits may be increased if a significant number of non-conformances or complaints are reported.
- Original management system documentation held by the Client must be produced and made available to authorized Global Compliance Service personnel at each visit.
- Appeals against any decision taken by Global Compliance Service regarding the Client’s Certification are covered by a documented appeals procedure which is available upon request.
- The Client must inform Global Compliance Service of any significant non-conformances of which they are aware, through internal audit or other means. The Client is responsible for the adoption of sound quality policies to maintain the reliability of their quality management system. Global Compliance Service is assessing the quality management system and is not in any way certifying the effectiveness of the quality of any product or service. The Client cannot use the Certification of its quality management system as “proof” that it offers quality products or services.
- If the Client’s ISO management system is registered by Global Compliance Service, the Client is entitled to use the service mark of Global Compliance Service in conjunction with the appropriate accreditation body logo subject to the logo conditions attached. The Client agrees not to misrepresent the Certification by Global Compliance Service, nor to modify or alter the Certification certificate in any way, including Global Compliance Service’s logo.
- If the Client fails to maintain compliance with the requirements for Certification, Certification may be suspended or withdrawn at the discretion of Global Compliance Service. A copy of the suspension and cancellation procedure is available upon request. Upon suspension or cancellation of the Certification the client will discontinue all advertising matter and stationery that contain any reference to the Certification and on cancellation, will return all the Certification documents including the Global Compliance Service and accreditation body logo material.
- Client shall initiate actions against the non-conformities raised by Global Compliance Service for suspending the certification. The client shall submit the evidence for actions taken to close out all the non-conformities raised. Failure to comply with the suspension conditions shall escalate the suspension to withdrawal / cancellation of certification.
- Global Compliance Service cannot guarantee the same auditor for subsequent visits. The client can request in writing for change of auditors / team identifying the appropriate reasons.
- The client must only claim that it is certified with respect to those activities for which it has been granted certification.
CANCELLATION, REFUND, & TERMINATION POLICY
Global Compliance Service maintains a cancellation, refund, and termination policy in relation to its certification activities which includes the following.
- A request for cancellation of certification activities must be sent in writing to the GCS country office representative prior to starting the Stage 1 Audit. The reason for audit cancellation must be included and a request for refund shall be initiated.
- Global Compliance Service shall refund the total amount paid, less 15% for administrative and processing charges in alignment with item (a) above.
- Fifty percent (50%) of the total initial certification cost is non-refundable on start or first day of the Stage 1 Audit.
- Remaining (50%) of the initial cost is non-refundable on start, or first day of the Stage-2 Audit.
- No refund will be issued for cancellation after certification is granted, or during a certification cycle.
- Either party may terminate this agreement by written notice to the other, at least three months prior to the next scheduled service assignment date.
- If this agreement is terminated, the registration certificate shall be deemed to be cancelled and the client must immediately cease using the certification and registration marks with immediate effect.
These rules have been prepared against criteria for competence outlined below. The Scope of Accreditation issued by IAS is an acknowledgement that Global Compliance Service has the necessary expertise and ability to manage audits in those sectors. Details of all accredited scopes held are available on request to Global Compliance Service. If a particular sector is outside the present accredited scope of Global Compliance Service, then an IAS accredited certificate will be offered at the discretion of Global Compliance Service.
Certification of a management system is not a statement by the certification body guaranteeing that the product or services meet specified requirements. Certification does not imply a view on the specification of a product or service. It does not guarantee a good product or service. Global Compliance Service is a privately owned independent organisation.
Global Compliance Service undertakes the audit, evaluation and certification of management systems operated by companies to the respective management system standards applied for. The client must agree to supply all necessary information to Global Compliance Service
Global Compliance Service undertakes to provide suitably qualified personnel for all audit and surveillance work using their own staff or suitable qualified subcontractors. All members of Global Compliance Service (full-time employees or sub-contractors) are required to sign confidentiality agreements concerned with all confidential information to which they may be exposed at client premises.
The client has right to object to any auditor if he perceives conflict to his interest. He can raise his objection to Quality Manager, who shall review the potential impartiality threat and take necessary actions; however, the change cannot be guaranteed.
4 Certification Contract
On acceptance of this contract, the client will sign and forward it with the PO to Global Compliance Service The project will then be allocated by the Operations Director to a suitable audit team who will then conduct the audit in line with Global Compliance Service’s procedures.
- Audit Methodology
- The first stage of the audit as conducted by Global Compliance Service is to carry out Stage 1 audit, a review of the client’s documentation with respect to the appropriate standard(s). This can be performed onsite or offsite at the client’s premises in conjunction with the client’s management representative.
- On satisfying the auditor on the compliance of the documentation and site requirements (if applicable), a report is produced, and Stage 2 audit date is agreed, and an audit is conducted by the auditor(s). If further visits are required due to non-compliances found, these will be undertaken, and extra charge will be incurred by the client. The on-site audit is conducted using client manuals and procedures and by interviewing relevant members of staff regarding their working practices.
- After certification, if the client changes anything which significantly affects the registration, then Global Compliance Service must be informed. Global Compliance Service reserves the right to re-audit if necessary.
- Triennial / Renewal audit is required by Global Compliance Service All non-conformances if any must be closed prior to Triennial / Renewal audit
On completion of the on-site audit, the Lead Auditor reports to the Director Operations. On receiving a report stating that the client’s management system meets the requirements of the relevant Standards and approval by Certification Committee, the certificate is issued. The certificate remains the property of Global Compliance Service Providing the client maintains the management system to the required standard, the certificate is valid for three years. Triennial / Renewal audit must be conducted at least three months prior to the expiry of the certificate at extra cost.
After the issue of a certificate, to maintain annual registration, surveillance visits will be conducted at the client’s premises (announced visits) at least once per year. If areas of concern are identified, more visits may be conducted at the discretion of the Director Ops. The client agrees to meet the extra costs relating to such increased surveillance. Any changes to scope, products or manufacturing processes must be communicated to Global Compliance Service
The First Surveillance Audit needs to be conducted within twelve months from the date of the Stage 2/ Certification/ Renewal Audit. Failure to comply with this will lead to certificate withdrawal and client deregistration.
- Extension to the scope of registration
This may be applied for in the same way as the initial audit, indicating the increased scope of registration being required. Audit will be conducted in the areas not previously audited. If successful, a new certificate indicating the new full scope will be issued by Global Compliance Service. Additional charges will be incurred for extensions to scope and re-issue of the certificates.
- Short Notice Audits
Global Compliance Service may, when necessary, conduct short notice audits to investigate complaints, or in response to changes, or as follow up to suspended clients
- Reduction in scope of Certificates issued
Global Compliance Service shall wherever applicable reduce the scope of certification if during the time of routine surveillance audits / Re approval or Renewal audits it finds that the certified client has continually / seriously failed to meet the certification requirements for those parts of the scope of certification. The reduction in scope will be approved by the Chairman of Certification Committee.
Once a certificate has been issued, the client has the right to publish this fact. The relevant logos can be used on its stationery relating only to the audited scope of registration and the relevant part of the standard. All conditions of the Logo Rules issued along with the Certificate will need to be followed.
- Certificate Misuse
Global Compliance Service will take all reasonable precautions to see that there is no misuse of the certificate in client advertising. The client undertakes to use certification marks as appropriate to its audited scope of registration and relevant Standards.
- Appeals Procedure
If for any reason a client is not in agreement with the Lead Auditor’s verdict after an audit, re-audit, or a surveillance visit, including suspension or withdrawal of a certificate, he/she is at liberty to lodge an appeal with the President of Global Compliance Service. Ltd through mail or website. All appeals will be held in the presence of an Appeal committee. The committee will evaluate evidence from the client’s representative and the relevant Lead Auditor. The decision of the committee is final and binding on both the client and Global Compliance Service No counter claims will be allowed by either party. No costs, for whatever reason, will be allowed for either party because of an appeal. Expenses of the Appeal will be met in full by the party who has the decision against them.
- Complaints against Global Compliance Service personnel
If a client has a complaint regarding any employee of Global Compliance Service, this should be sent through mail or website to the Director, Accreditation & Compliance of Global Compliance Service at the Head Office address or email email@example.com. If the complaint involves the Managing Director, then the complaint is to be addressed to the Board of Directors of Global Compliance Service. The complaint shall be managed as per Global Compliance Service’s defined complaint handling process. Chairman of the board email firstname.lastname@example.org
- Complaints against Global Compliance Service certified clients
If any interested party has a complaint against Global Compliance Service certified client, this should be sent through mail or website to the Managing Director of Global Compliance Service at the Head Office address or email email@example.com. The complaint shall be managed as per Global Compliance Service’s defined complaint handling process.
The management systems audit is based on a sampling process of the available information presented by the client, the assigned auditors neither Global Compliance Service can guarantee that all, if any, non-conformities have been discovered.
Global Compliance Service therefore accepts no liability whatsoever for the consequences to, or actions taken by, third parties because of or in reliance upon information contained in the final report or certificate.
NOTE 1: The above is standard practice for keeping in conformance with ISO 17021-1 section 126.96.36.199 a) “a statement on the conformity and the effectiveness of the management system together with a summary of the evidence”
NOTE 2: Neither party may transfer any of its rights or obligations under this agreement without the prior written consent of the other party, which shall not reasonably withhold, or delayed.
- 17. Force Majeure
Global Compliance Service shall not be liable in any respect should it be prevented from discharging such obligations because of any matter beyond its control which could not be reasonably foreseen.
The contract to which this agreement applies is governed by the laws the country where the audit was conducted, and the parties submit to the jurisdiction of the courts of said country, and all notices and proceedings served will be deemed to be duly served if sent by pre-paid registered mail to the address of the party.
- ACCREDITATION BODY WITNESSED AUDITS It is a condition of the rules of registration that all Global Compliance Service certificated clients should, if requested, allow, Accreditation Body auditors to visit the client premises / witness Global Compliance Service staff conducting their audits.
Global Compliance Service reserves the right to update these rules of registration where notice of update will be delivered within 30 calendar days.