GCS Policies and Procedures
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Global Compliance Service, its Directors, Managers, Staff and others involved in the Certification of Organizations fully understand the importance of impartiality in undertaking its Certification Activities.
Global Compliance Service will therefore ensure that in its dealings with clients or potential clients, all employees or other personnel involved in Certification Activities are, and will remain, impartial.
To ensure that impartiality is both maintained and can be demonstrated, Global Compliance Service has identified and risk assessed all relationships which may result in a conflict of interest or pose a threat to impartiality.
STEP 1: Clients & customers can apply online by completing the “Request a Quote” tab on the GCS website https://www.gcsregistrar.com/quotation-request and complete the online questionnaire.
STEP 2: You will receive a customized proposal, quotation and a pre-populated application form to validate, sign and return to email@example.com
STEP 3: The assigned auditor will make contact will the client to arrange for conducting the Stage 1 Audit
STEP 4: The Auditor conducts the Stage 1 audit at the client’s premises, this audit is focused on the design of the Management System in meeting the requirements of the ISO standard and the company’s readiness for the stage 2 audit.
STEP 5- The assigned auditor conducts the Stage 2 Audit in alignment of the specified audit plan, which is submitted to the client prior to the audit, the purpose of the stage 2 audit is to verify the “Effectiveness” or Implementation of the Management System in alignment of its design & purpose. Any non-conformance at this stage will be communicated to the client prior to recommending certification
STEP 6- Certification. GCS will deliver the ISO certification package to successful clients which will identify the scope of services under the ISO standard.
STEP 7- Annual Surveillance Audits “GCS will conduct 2 annual surveillance audits every 12 months within the certification cycle. These audits are miniature audits, shorter in duration which focuses on continual improvement”
STEP 8- Re-certification Tri-annual. “The certification cycle will begin again starting from Step 2 to 7 above”
Rules governing use of Certification (GLOBAL COMPLIANCE SERVICE Shield) and Accreditation Mark
GLOBAL COMPLIANCE SERVICE issues marks corresponding to the relevant standard for which approval has been given, by way of a current Certificate of Registration. The certification mark (GLOBAL COMPLIANCE SERVICE Shield) used must correspond to the standard against which the company has been audited and achieved registration (i.e. ISO 9001 or ISO 45001).
NOTE: Any misuse of marks may result in withdrawal of certificates. Further information is contained in GLOBAL COMPLIANCE SERVICE’s Rules of Registration and initial Proposal document.
To ensure that the correct markings are used the following rules shall be observed by all companies who receive certification through GCS.
The marks shall be displayed only in the appropriate form, size and color detailed in this Section.
The organization’s certificate number is printed under the mark.
When the mark is printed on an unfolded portion of A4 size stationery, it shall be displayed in a size no larger than 30 mm high. On larger portions of unfolded stationery, the size may be proportionately increased.
Accreditation marks shall normally have a minimum height (excluding the certificate number) of 20 mm. Any enlargement or reduction shall retain the same proportions. The accreditation mark and the certificate number shall be considered as a single entity for purposes of enlargement or reduction.
In exceptional circumstances, which are usually dictated by reason of space limitation or cost, the marks may be reproduced at a reduced height, provided that irrespective of the height of reproduction, the mark must be legible, with no infilling.
Embossed, relief, or die-stamped versions may be used. The marks may be reproduced as water marks.
Electronic reproduction of the marks is permitted (including Internet web sites) provided that the requirements are met and
the organization’s certificate number is printed under the mark
the mark is reproduced so that infilling does not occur
degradation and/or distortion of the mark graphic is avoided
computer files of the marks shall be prepared from mark masters. Redrawn approximations may not be used.
Reversed-image versions of the accreditation marks are available, and artwork masters are available on request. The organizations’ certificate number shall be printed centrally underneath the accreditation mark. All other conditions for use of accreditation marks apply to these versions.
9. Accreditation marks / logo shall not be used in any way that might mislead the reader about the status of a certified organization, activities outside the scope and imply that product, process or service is certified. Holders of Certificate shall not make, use or permit any misleading statement and certification document.
10. Holders of certificates issued by GLOBAL COMPLIANCE SERVICE may use the appropriate mark in the manner prescribed, on stationery and publicity material or other items relevant to their certificate. The accreditation mark shall always be used in conjunction with the GLOBAL COMPLIANCE SERVICE Shield. Holders of accredited certificates may use the GLOBAL COMPLIANCE SERVICE Shield without accreditation mark if they wish.
Holders of certificates should not use its certification in such a manner that would bring the certification body and / or system into disrepute and loose public trust.
The term ‘publicity material’ shall not include notices, labels, documents or written announcements affixed to or otherwise appearing on goods or products, unless the goods or products have been manufactured under an accredited product conformity scheme. This restriction shall also apply to primary (e.g. blister packs) packaging, promotional products and test certificates / certificate of analysis.
Upon suspension or withdrawal of its certification, the use of GLOBAL COMPLIANCE SERVICE mark or logo shall be discontinued from all advertising matter, stationery etc that contains a reference to certification. The use of logo on all stationer / advertising material shall be amended if the scope of certification is reduced.
Upon reduction in scope, advertising matter shall be amended.
OTHER RESTRICTIONS ON THE USE OF THE MARKS
The accreditation marks shall not be displayed on vehicles, except in publicity material containing an accreditation mark as part of a larger advertisement, provided the mark is used in the publicity material in accordance with the conditions detailed elsewhere in this information sheet.
The accreditation marks shall not be displayed on buildings and flags.
Accreditation marks may be displayed on internal walls and doors, and on exhibition stands.
Accreditation marks shall not be used in such a way as to suggest that GLOBAL COMPLIANCE SERVICE has certified, or approved, any product or any service supplied by a licensee of a mark, or in any other misleading manner.
Accreditation marks shall not be used in such a way as to imply the Accreditation body accepts responsibility for activities carried out under the scope of accreditation and/or certification.
All quotations for work that contain an accreditation mark shall clearly indicate those activities that are not accredited.
Any use of an accreditation mark that might contravene the conditions laid down in this publication shall be referred to.
Certification bodies shall ensure that they audit the use of national accreditation marks by their certificate holders. Conditions for the use of the marks by such certificate holders are given in these rules.
Reproduction of the marks shall be based on master versions supplied at the time of certification, to which certificate holders must add their certificate number.
Do not use its certification in such a manner that would bring the certification into disrepute and lose public trust.
Accreditation logo shall not be used on visiting cards.
GLOBAL COMPLIANCE SERVICE will take action and deal with incorrect references to certification status or misleading use of certification documents, marks or audit reports. The action may include requests for correction and corrective action, suspension, withdrawal of certification, publication of the transgression and if necessary legal action.
The purpose of this procedure is to describe handling of incident, complaint and appeals received from the client, in house and from other parties.
This procedure covers all complaint and appeal received at Organization by any means, like written, verbal, e–mail etc. It also includes adverse findings during audits.
The Quality Manager is responsible for receiving the complaint and appeal from the clients / other parties. They in consultation with the office staff and auditors are responsible for handling, validating and analysis of the complaint and appeal to the satisfaction of the clients / other parties
For the purposes of this document “Quality System Incidents” are defined as complaints, suggestions, observations and opportunities for improvement. Quality System Incident data is entered into the Corrective Action System for proper treatment (QP-04). This procedure describes the methodology by which Global Compliance Service collects and processes incident reports; and communicates the impact to staff members.
Global Compliance Service recognizes that incidents occur in daily operation that collectively have an impact on the Quality Management System. In order to properly analyze and address system issues a consistent and thorough process for collection of information is vital.
Complaints are incidents of grievance or dissatisfaction with Global Compliance Service. service. Complaints may be:
- internal in nature – raised by a Global Compliance Service staff member with regard to internal service, operations or employee performance
- external in nature- raised by Global Compliance Service clients, suppliers or other affiliated organizations
- complaints raised by client’s customers or stake holders
Global Compliance Service recognizes that positive feedback is as important as negative feedback. Suggestions are vital in identifying risk and system improvement. As with complaints, suggestions may be internal or external in nature, written or verbal.
Global Compliance Service recognizes that the client may have some reservations or may not agree with the conduct of auditor, audit findings, certification committee decision and / or overall interaction with Global Compliance Service staff. Client is free to communicate the same to Global Compliance Service Appeal subcommittee and this is treated as an appeal from the client.
Observations are witnessed incidents of service/operational deficiency, malfunction and or failure. Observations are often made by individuals independent of the activity witnessed and therefore objective in nature . Observations also play important role in identification of risk and system improvement
3. Opportunities for Improvement
Opportunities for Improvement are incidents where the system has not failed, yet greater operational efficiency may be obtained in analyzing current practice. Opportunities for Improvement are often collected internally, but input from external sources is also beneficial
Receipt of Incidents
The quality incident may be reported by any means – verbal or written. In case of an external source, the incident report may be received by any staff member. The staff member shall fill the Incident report recording all the information and details of the complaint. The filled report shall be submitted to Quality Manager for further action. In case of internal source, the incident report shall be filled by the staff member and submit to Quality Manager.
The Quality Manager shall contact (telephone, email, letter) the external source to acknowledge the receipt of information within 5 working days of receipt. He shall understand the issue in details from the source (to avoid any error in writing the report). He may decide to personally meet the initiator, depending on the gravity and seriousness of issue.
In case of Complaints and Observations, it may be against Global Compliance Service (a system / procedure or a person) or a Global Compliance Service certified companies (client). In case of suggestion / opportunity for improvement, it is for Global Compliance Service to study the suggestion and decide.
All such incidents received by any means or by any one is first of all recorded in the Incident report with the details of;
- Complaint and appeal sr. No.
- Mode of receipt,
- Received by,
- Name of client / other parties,
- Description of complaint and appeal,
- Reference of services against, which complaint and appeal is raised along with the reference, date and other details, Client / other parties’ complaint and appeal incident report are issued to the Quality Manager for analysing the root cause.
- Quality manager validates the complaint after checking necessary back–up records or personal interview of auditor’s / staff members (who were involved in to job).
Handling of Client Complaint and Observation
In case of a complaint / observation against Global Compliance Service, Quality manager analyses the issue to determine if there is system error or person error. He shall determine the root cause and determine correction, corrective action. The possible complaints are
- Administration – problems with appointments, certification files, certificates issued or issued late,
- Auditor / subcontractor problems with incomplete audit or surveillance documentation
- Agents – problems with general compliance with Global Compliance Service administration or audit procedures
The correction is effected immediately to satisfy the complainant. This may include training / counseling the person involved. The CAPA is discussed with management during next Management Review. Appropriate action is taken based on discussions (change in procedure / formats, training to all personnel etc). An email is sent out to all staff detailing the issue and remedial action (for information). A copy of the complaint and investigation details is maintained in the respective individual’s personnel file for reference at the performance appraisals.
In case of a complaint / observation against a certified client, the Quality Manager studies the complaint and discusses with the auditor (last audit). If the complaint is found genuine and valid i.e. indicates a system failure, the complaint is sent to the client for a response. No confidential reports or information will be sent to complainants without written permission from the client. Adequate time is given to the client for response. If required, Quality Manager follows up with the client for the response. Depending on the response, Quality manager may decide to –
- Write to the complainant about the response and asks for his response.
- Ask further clarification from the client
- Depute an auditor to personally visit the client and investigate for system failure. Such visit shall be considered as special visit and charged to client.
- Request a joint meeting with client, complainant and Global Compliance Service
The Quality manager shall communicate with the complainant at the end of the process detailing the findings and to formally close the complaint. A copy of the correspondence is kept in the client file for records and the same is passed to auditor during next audit. The details of all complaints and action taken (Correction, CAPA) are discussed in Management Review and IC meeting.
Handling of Appeals
Any company or organization who fails to satisfy an audit or surveillance may appeal against the decision. Where an appeal is received the following procedure will be followed.
The MD will appoint the members of the appeals committee under the leadership of MD who will hear the appeal and determine the outcome. In case, MD are part of the audit/ certification team, MD shall decide the investigating officer for the appeals process. In such a scenario MD shall approach Impartiality Committee and/or Global Compliance Service team to provide decision on the appeal. The decision on the appeal shall be taken based on the decision by Global Compliance Service committee and the Impartiality committee. Results of the appeal will be reported to the board of directors.
- All appeals shall be received by the Technical Manager and details of appeals shall be recorded in the Appeals Register maintained by the Technical Manager.
- Technical Manager shall investigate the appeal made and inform the client about its plan of action for investigation and action there upon.
- An investigation report (Incident Report) for each individual appeal shall be maintained by the Technical Manager. In case, any further corrective action is required post actions identified and taken based on Incident report – Corrective action procedure QP04 is implemented.
- A copy of the investigation report shall be sent to the client.
- In case of any further ambiguity, the same shall be reviewed by the board of directors and appropriate decision arrived at.
- In case the issue still remains open; the same shall be intimated to the accreditation board for its valuable comments.
- All appeals made are collated and analyzed on a yearly basis.
- Necessary corrective actions shall be taken based on the appeal trend.
- Appeal trends and corrective action taken shall also be reviewed as part of the Management committee meeting and Impartiality committee meeting.
- Technical Manager shall ensure that details with respect to the appellant and actions there upon is not shared with the audit team members.
- Technical Manager shall ensure that no discriminatory action is taken against the appellant
The client is made aware of the appeals process and is available to him on request.
- In case of an appeal made by a client against a decision made by auditor, Lead auditor or certification committee, the appeal shall be recorded by Quality Manager and forwarded to Appeal Subcommittee. Appeal subcommittee shall review the appeal, investigate (which may include discussion with concerned client, respective auditor / lead auditor and review of audit report). Appeal subcommittee may also direct any other lead auditor to visit the site and determine the validity of the appeal. The decision taken by Appeal subcommittee shall be communicated to the client and to Quality Manager for necessary action. The case is also discussed during the next MRM and Impartiality Committee meeting. In special cases, the case may be discussed with Impartiality Committee members on one-to-one basis.
- Handling of Suggestions /Opportunity for improvement
- In case of suggestion / opportunity for improvement, the source is predominantly internal and the concerned staff member fills the incident report and submits to Quality Manager. The other source may be internal / external audit.
- Quality Manager studies the suggestion to determine any conflict with ISO17021, Global Compliance Service Global policy and Global Compliance Service Policy. In case the suggestion is in conflict, the same is communicated to the initiator. However, the suggestion is also discussed in Management review. In case the suggestion is found not in conflict, the suggestion is studied for benefits and the impact on other processes.
- The suggestion is accepted if found beneficial and does not adversely impact any other process. Quality Manager determines the changes in existing documentation and implements through Document Change process (QP-01).
- If any certified client or interested party asks for the appeal/complaint handling process, then it is forwarded to Quality manager. He will inform a certified client /any other interested party the appeals and complaint handling process of Global Compliance Service if any complaints / appeals are received by certified clients / interested party
Closing of complaint and appeal
Depending on the nature of the non–conformity, the Quality Manager / Technical Manager may follow up with requests for corrective actions. When the investigation of client complaint and appeal determines that remote operation or other external organizations contributed to the complaint and appeal, the Technical Manager or his delegate contacts these organizations and provides them with all relevant information.
Every client complaint and appeal is recorded. The records are maintained by the Quality Manager / Technical Manager. When there are copies of written communication, reports and other documents related to a complaint and appeal, these records are organized into a file and are identified with the complaint and appeal number and also having records of the corresponding corrective action. The records of investigations that concern product quality or other test characteristics are maintained by Technical Manager. Based on analysis of Client / Other Parties complaint and appeal, necessary actions are taken and client is replied for closing the complaint and appeal. Quality Manager identifies need for taking corrective action to prevent such complaint and appeal in future and accordingly concerned person is informed.
All the complaint and appeal received by Organization will be closed within 7 working days after receipt of the complaint and appeal. Operation Manager / Technical Manager is authorized for closing of complaint and appeal.
All Complaints and appeals can be emailed via the contact us form for action, someone will contact you within 1 business day to follow up on the appeal and/ or complaint
This procedure covers overall activity for certificate issue, suspension and withdrawal of certificate for all types of certification activities done by us.
The Quality Manager is responsible for review and approval of certificates. He is responsible for issue of certificate to client and authorized to send suspension or withdrawal letters/e mails to client. He is supported by the support staff for all routine activities.
The President is responsible for approval of certificates. certificate signature by Managing Director and updating the registrar of firms. In absence of Managing Director, his appointee can sign the certificate.
Description of Activity
Receipt and review of Audit report
The team leader is responsible for submission of audit report documents. This contains at least client signed audit report, corrective action plan for non-conformance and assessor notes. All audit reports (Stage 1, Stage 2, routine surveillance, follow-up, special audit, re-certification etc.) are reviewed at multiple stages.
Stage 1 includes administrative review. The submitted set of documents is reviewed for completion (also called administrative review) by AE. Audit report review checklist (F34) is used to record the review. AE issues a deviation note against the team leader (F35 Deviation note) if he finds one while administration review. AE submits his findings to Director Ops.
Stage 2 includes technical review. The audit report (corrected if possible) along with audit report review checklist (F34) 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 conformance raised during the audit. Stage 2 shall be carried out by the auditor qualified for the specific EAC 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 (F085). It is the responsibility of the auditor to pro-actively declare of any conflict. The technical review may lead to a deviation note (F35), which is issued against the team leader, if a deviation is found. 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. The reviewer also identifies if correction to deviation note (F35) issued needs to be completed prior to Stage 3. In case the audit report does not require review by certification committee chairman, the report is returned to AE for Stage 4.
Stage 3 includes decision making by certification committee chairman. Any audit report requiring issue of certificate (Stage 2 audit, change in scope or address, triennial audit etc.) requires review and approval by certification committee chairman. For routine surveillance, the review by certification committee chairman is not required. The technical reviewer shall decide whether the report needs submission to certification committee chairman. Certification committee chairman reviews the findings of Stage 1 and 2 in addition to review of audit report prior to taking the decision. Correspondence related to the client (e.g. Complaints received against the client, changes in scope, media reports etc.) are also reviewed during recertification decision. The decision taken is recorded on F34 form. For stage 1 audit, the stage 2 audit may be planned after technical review, however the certification committee chairman shall review the stage 1 audit report along with stage 2 audit before making his decision. The certification committee may ask for specific inputs from the client or send any auditor to the client to verify any part of the report.
In case Certification committee chairman is involved in the audit or is not available or has declared conflict w.r.t. any client, any other director reviews the audit report and takes the decision. The change is recorded on F34 form.
Stage 4 includes further action by Account Executive. AE reviews the decision taken by technical review member and / or certification committee chairman for the following –
- Preparing the certificate as per process detailed below.
- Updating the client data base including any changes in client details, NC’s issued in the audit, planning for next audit etc.
- Filing the report in the client file along with all relevant papers like audit notes, corrective actions submitted by client etc. Auditor performance evaluation sheets etc. are filed in respective files.
- Verify compliance to all Global Compliance Service quality and certification requirements
Certificate preparation and issue
This involves preparation and review of certificate, certificate signature by Managing Director and updating the registrar of firms. In absence of Managing Director, The AE “Audit Executive” can sign the certificate.
Certificates are issued to clients following initial audit, extension to accredited scope, triennial audit, upgrade on surveillance or change in company details (name, address etc.)
The certificates will be numbered sequentially starting with I001 followed by the global client code of Global Compliance Service. The AE prepares the certificate:
- No certificate will be issued unless Global Compliance Service has evidence that all non-conforming notices raised have been closed out.
- Select the appropriate blank certificate(s) based on the standard as indicated on the audit report. Be sure to check for any changes indicated on Comment Sheets attached to audit report.
- Determine the certificate number for GCS accredited certificates by reviewing the Register of Approved Firms (F100).
- Set the issue date to be the date of approval by certification committee chairman indicated on the F34 Audit report review checklist. Set the expiration date to be three years later. (An issue date of 15/10/18 would result in an expiration date of 14/10/21.)
- The expiry date may vary from above for transfer cases, where the expiry date shall be the same as earlier certificate. Also refer to any specific instructions given by Quality Manager w.r.t. expiry dates e.g. during transition to revised standard, the expiry of old standard may be per-decided by the accreditation board.
- The initial registration date shall be the issue date for first 3-year cycle. In the triennial case, the initial registration date shall be the issue date of first certificate issued. The certificate number shall continue to be the same. The scope shall be the same as in earlier certificate.
- In case the client goes for second cycle but not as triennial (i.e. a gap between expiry of first cycle and second initial date), the certificate shall be considered as fresh and initial registration date shall be the same as issue date. The earlier certificate shall not be considered. A new certificate number shall be awarded.
- 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.
- Have the Quality Manager review the certificate for any errors? Submit the corrected and final certificate to Managing Director for his signature.
- Multiple sites each operating a common system with the same scope of certification shall have all the addresses on the same certificate. The client may request for individual certificates. In such cases, each site is issued with its own certificate with the same certificate number and a suffix is added. The certificate number shall be I/001A, I/001B etc.
- In cases of group of companies, the locations may have different scopes of certification or trading names, each is issued with respective names, addresses and scope. The certificate shall have the same certificate number with a suffix (as explained above).
- Clients may have integrated system where certificates for multiple standards are issued. In such cases, the IAS accredited certificate will be issued as above. Rest of the certificates shall be issued by Global Compliance Service using its own format and process. Necessary comment shall be added to the client file and client database for future reference / use.
- In the event of issuing any revised certification documents, then the original certificate number will have a suffix of revision number. e.g. I/001/07 – R1, for first revision. The expiry date of the certificate does not change and continues the same as the original. Issue date shall be the date of C.C. Chairman Approval. Initial Registration date shall be the same as original.
Client database is amended as per the database management process. The completed certificate with the audit report is reviewed by Quality Manager for correctness and completeness of the certificate.
The certificate with all attachments like logo rules, cover letter etc. is submitted to Managing Director for his signature. Managing Director has no authority to reject / deny the issue of certificate. He may return the certificate to Chairman of Certification Committee clearly stating the reason for holding the issue. Chairman of Certification Committee shall review the reason and investigate on the same. However, if the Chairman has satisfied himself and re-sends the certificate to MD for approval, MD shall sign the certificate. A computer generated signature may also be used. The above process can be carried out by ED in absence of MD.
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 –
- Cover letter from Global Compliance Service
An email will also be sent which includes
- A customer Survey
- Rules accompanying the Logo
- Soft copy of the logos and rules for use
A copy of the certificate together with all other documents supporting the approval shall be placed in the client’s file or scanned in and stored on the server.
Change in Certificate
The client may request for change in certificate. This may be due to –
- Change in ownership
- Change in name of the company
- Change in location
- Increase or decrease in scope (products, services offered etc.)
- Increase or decrease in locations (opening / closing of site etc.)
Client may request for change in certificate or reduction / expansion in scope to Quality Manager 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 Global Compliance Service
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 M&A and ROC approval shall be submitted along with the request.
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.
The report is reviewed as detailed in 4.1 and 4.2 above. A new certificate is issued with the same expiry date on successful completion of the above process. Quality Manager reviews the contract to determine change in contract w.r.t. duration for further visits etc.
Suspension and withdrawal or cancellation of certificates
This instruction covers suspension procedures through withdrawal or cancellation of the certification certificate and revision of the register of approved firms.
- Grounds for action are brought to the attention of the Quality Manager, who reviews the information and decides whether to proceed. Either way, the he / she issues a letter to the client via registered mail / courier advising them of the details of the grounds for action and the decision on whether to proceed.
- If the Quality Manager decides to proceed, the client must reply to Global Compliance Service within fourteen days of receipt of letter.
- If the Quality Manager determines that the action or position contained in the client reply is satisfactory, he issues a letter stating this, and mails it to the client via registered mail.
- If actions are required, due dates must be set and Quality Manager must review the actions at those times to ensure that they are effectively completed in order to prevent suspension or cancellation.
- If the client does not reply in fourteen days, if the reply is not satisfactory, or if the actions required are not effectively completed in the allowed time, the Quality Manager determines whether to suspend or cancel certification.
- If the decision is made to cancel certification, the MD is responsible for suspending the client or canceling the client from the Register of Approved Firms, advising the client by registered mail / courier, and publicizing the cancellation, if necessary. MD cannot over-rule the decision made by Director Ops.
The following reasons are considered grounds for suspension or cancellation:
- Major non-conformance(s) or effective corrective action not implemented within a specified time period.
- Improper use of the certificate, symbol or logo not remedied to the satisfaction of Global Compliance Service
- Client ceases to supply product or service of the certified quality system for an extended period of time.
- Client’s certified management system has persistently fails to meet any of the requirements for certification including requirements for the effectiveness of the management system.
- Client fails to meet financial obligations to Global Compliance Service
- Client makes a formal request to withdraw certification.
- Infringement by the client of any contractual conditions between the client and Global Compliance Service
- Client is unable or unwilling to ensure conformance to revisions of standards.
- Existence of a serious complaint, or a large number of second- or third-party complaints, which indicate that the quality management system is not being maintained.
- Client does not allow routine surveillance to be conducted at the required frequency
The suspension or cancellation can be initiated if the client does not allow the routine surveillance to be conducted at the required frequency. The routine surveillance is carried out not more than 12 months from the last audit. In case the audit is not done within 12 months (13 months in case of yearly surveillance), the certificate is suspended and a letter is sent to the client requesting him to agree for the audit. In case of a delay up to 3 months (15 months from the last audit), the audit time shall be extended by 50% of the routine surveillance time (at least 1 day). Successful completion of the audit within 15 months shall not impact the certification.
In case the audit is not done within 15 months, the certificate is cancelled and the client shall be considered as a fresh case for certification.
The above are for special conditions like strike, natural calamities, business operations (case to case basis) etc
Conditions for Suspension or Cancellation of Client Certification*
Subject to actions by the client, the following steps will be taken leading to possible suspension or cancellation of the client’s certification:
- Unless a reply is received to the letter accompanying notification within 14 days, certification will be suspended and a notification of suspension may be published at the discretion of Global Compliance Service
- The client’s response to the accompanying letter will be reviewed and the proceedings may be put on hold while clarification is sought.
- Where mutually agreed-upon corrective action is to be implemented, a time period for implementation will be specified and a review of the corrective action undertaken at the appointed time. This may be the subject of a special surveillance visit or of review of submitted objective evidence, at the discretion of Global Compliance Service Should the corrective action not be considered adequate or not be completed by the appointed time, certification will be automatically suspended.
- In the case of serious circumstances, Global Compliance Service may invoke suspension during the period pending the implementation of corrective action.
- Where suspension has been invoked, unless otherwise specified, the client must advise Global Compliance Service every 14 days of the current situation of corrective action. Failure to meet this requirement will result in cancellation of the client’s certification.
- Where suspension has been invoked due to failure to conduct surveillance audit, the client shall give justification for failure and offer suitable date. An additional day shall be added to routine surveillance days. The date shall not be later than 15 months from last audit. Failure to offer for audit within 15 months shall result in cancellation of certification.
- When corrective action to resolve the problem(s) taken by the client has been verified, certification will be resumed. The period of certification will not be revised to cover the period of suspension.
- Cancellation of certification will be invoked where, following suspension of certification, the client fails to respond to Global Compliance Service communications within the 14-day grace period or fails to implement corrective action within the appointed time period.
In extreme circumstances Global Compliance Service may invoke the cancellation of certification with immediate effect without recourse to initial certification suspension.
- Cancellation of certification will require the client to assume the status of non-approval and return all certification documentation to Global Compliance Service
- Use of certification documents, symbols, or logos by the client following certification cancellation may result in legal action being taken against the client.
- Re-approval after certification cancellation will be on the same basis, and follow the same process, as that of initial application for a new client. This will require a full assessment, with optional document review at the discretion of Global Compliance Service
- The de-certification will be published as a separate list and will be available at the Global Compliance Service office and made available upon request.
- The client has the right to appeal any decisions of Global Compliance Service and a copy of the appeals procedures will be made available upon request.
- AE shall remove the companies where the certificate has been cancelled. During suspension, suspension remark shall be placed in the registered of approved firms.
The client files for all cancelled cases shall be archived for a period of 3 months and then destroyed.
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 Quality Manager