Certification Process

1.0 Purpose:

To document, establish, implement and maintain the system for granting or refusing certification, expanding or reducing the scope of certification, suspending or restoring certification, withdrawing certification or renewing certification against management system standards referenced in SSPL_MSM-05 for certification bodies providing management system certification.

2.0 Scope:

This procedure is applicable to all audits carried out on the client during a certification cycle.

3.0 Responsibility:

Managing Director

4.0 Procedure:

4.1.1 SSPL ensures that the persons or committees that make the decisions for granting or refusing certification, expanding or reducing the scope of certification, suspending or restoring certification, withdrawing certification or renewing certification have not participated in the audit and will never be outsourced.

4.1.2 SSPL ensures that the personnel involved in decision making as stated above have the competence to evaluate the audit processes and the related recommendations of the audit team. The competence requirements are identified in WI-03.

4.1.3 The composition of certification panel who takes decision for granting or refusing maintaining, extending or reducing, suspending or restoring certification and withdrawing of certification or renewing certification is identified in WI-03.

4.1.4. Before making a certification decision, the certification panel shall review the audit reports to confirm that:

The information provided by the audit team is sufficient with respect to the certification requirements and the scope of the certification
In case of major non-conformances (refer QP-06), the corrections and corrective actions submitted by the client reviewed, accepted and verified for effectiveness of the actions taken i.e. the non-conformances is closed.
In case of minor non-conformances (refer QP-06), the planned corrections and corrective actions are reviewed and accepted by the team leader or team member.
The person(s) excluding members of committees assigned by SSPL to make a certification decision are be employed or are under legally enforceable arrangement with SSPL
SSPL ensures that the persons employed by or under contract with entities under organizational control fulfill the requirements of ISO/IEC 17021-1.
SSPL records each certification decision including any additional information or clarification sought from the audit team or other sources.

4.2.1 The final audit reports after initial assessment by Certification Manager (QP-10) are submitted to the certification panel for the technical review and approval.

4.2.2 In addition to the points stated in section 4.1.4 the review shall also confirm:

There is evidence that the client’s management system complies with the certification requirements.
Both negative and positive observations are made with respect to the client’s management system
The client is capable of meeting the agreed requirements for the product as per the scope for certification.
The non-conformances raised are meaningful and correctly graded.
The corrections and corrective actions identified by the client appropriate and in conformity with the risk involved.
Internal audit and management review are effective.
The recommendation of the audit team is favorable and is justified and accepted.

4.2.3 Depending on the risk factor attached to each technical area, the composition of the certification panel is addressed in WI-03. The certification panel shall review the audit reports and take appropriate decision. The review comments and the decision are recorded in EF-07.

4.2.4 After the decision to grant certification, arrangement is made for the issue of certificate. A draft certificate is prepared initially and it’s correctness of entries verified by the Certification Manager.

4.2.5 If the recommendation made by the assessment team is not accepted by the panel, the client and the audit team are accordingly informed with an explanation. SSPL shall further interact with the client to initiate appropriate action to resolve the issue. The same recorded in FT-45 A / FT-45B / FT-45C as applicable.

4.2.6. Certification Document: The final certificate shall be sent to the client along with conditions for the use of logo and the certification mark (PD-03) and the logos in soft copy.

4.2.7 The Certification document shall include:

Name and geographical location of the client
Dates of granting, extending and renewing certification
Expiry date or the re-certification due date
Certificate Number format for NABCB – Year + S No.
The management system standard, including the issue number and / or the revision number used for the audit of the certified client
The scope of certification including any exclusion (exclusion applicable to only QMS)
The name, address and the certification mark of SSPL and the accreditation symbol as per guidelines of the accreditation body (AB)
A means to identify the revised documents from any prior obsolete documents, in the event of issue of revised certificate
Any other information required by the standard used for certification
Revision number & date along with original certification number to distinguish the revised documents from any prior obsolete documents
On FSMS Certificate Category & Sub Category shall be included.

4.2.8 Validity period of certification document: The certificate issued against any specific management system standard is valid for three years from date of decision on certification.

The Certification is maintained for a period of 3 years under the following conditions.

The Surveillance Audits are conducted as planned and the client has demonstrated that it continues to satisfy the requirements of the management system standard as confirmed by SSPL.
All the non-conformances rose during previous surveillance audits are closed within the time frame agreed and correction and corrective actions for the non-conformities raised during the current audit are identified and accepted by SSPL as described in procedure QP-06.
The Internal Audit and Management Reviews are conducted as scheduled and there are no issues pending.
The client shall maintain suitable records of customer complaints and keep the records of investigation and remedial actions taken with respect to such complaints for verification by SSPL auditors.
All outstanding dues to SSPL are paid
The certification panel approves the audit
The continuation of certification is held up on the ground that the team leaders report for any major nonconformity other situation which may lead to suspension or withdrawal of certification.
SSPL has a system that requires the audit team leader to report to SSPL and initiates a review by competent personnel, different from those who carried out the audit to determine whether certification can be maintained
Competent personnel of SSPL monitor its surveillance activities, including monitoring the reporting by its auditors, to confirm that the certification activity is operating effectively

4.4.1. Any request by the client for any extension of scope is dealt as per QP-07.

4.4.2. The decision for granting extension is taken as described in Section 4.1 and 4.2 of this procedure.

4.4.3. SSPL shall issue a new certificate with amended scope without any change in the certification period as identified in the previous certification document. The new certificate shall contain revision number and date.

4.5.1. SSPL shall decide to reduce the client’s scope of certification by excluding the parts not meeting the requirements, when the client has persistently and seriously failed to meet the certification requirements for those parts of the scope of certification. Such exclusions shall be consistent with the certification standard.

4.5.2. If the reduction in scope is requested by the client it shall be dealt as per QP-07.

4.5.3. The decision for reducing the scope is taken as described in Section 4.1 and 4.2 of this procedure.

4.5.4. SSPL shall issue a new certificate with amended scope without any change in the certification period as identified in the previous certification document. The new certificate shall contain revision number and date

4.6.1 SSPL shall renew the certification as per QP-09

4.6.2. SSPL shall make decisions on renewing certification based on the following:

The results of the re-certification audit
The results of the review of the system over the period of certification
Complaints received from customers of certified clients

4.6.3 The decision for re-certification is taken as described in Sections 4.1 and 4.2 of this procedure.

4.6.4 SSPL shall issue a new certificate as described in Sections 4.2.8 and 4.2.9 of this procedure.

4.7.1 Suspending certification

4.7.1.1 SSPL shall suspend certification in cases wherein:

The client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system
The client does not allow surveillance and re-certification audits to be conducted at the agreed frequencies.
Wishful misuse of logo & reference to certification.
Non-compliance to submission of corrective action as stated in QP-06.
Voluntary suspension requested by the client
The certified client doesn’t pay the certification / surveillance or recertification fees as agreed by client prior to services extended (Certification agreement, SF-04).
Information on incidents such as a serious accident, or a serious breach of regulation necessitating the involvement of the competent regulatory authority, provided by the certified client or directly gathered by the audit team during the special audit, or in cases where it can be demonstrated that the system seriously failed to meet the OH&S certification requirements will provide grounds for the SSPL to decide on the actions to be taken, including a suspension or withdrawal of the certification.

4.7.1.2 For re-certification and surveillance audits if the client does not submit the corrective action within 20 workings days from the date of audit, it shall lead to suspension of certification.

4.7.1.3 For certification audit the failure on the part of the client to submit the corrective action within the stipulated time may lead to show cause notice by SSPL. If the client does not respond favorably within 03 months the audit shall be treated as cancelled.

4.7.1.4 The suspension shall be for a period of maximum 06 months and the suspended status of the client shall be publicly made available in the register of certified clients being maintained by SSPL at its registered office. During this period the client shall discontinue the use of logo or any reference of certification in advertising matter, as directed by SSPL, at the time of giving notice of suspension and the same also addressed in PD-02 (Rules and Regulations for Certification) and FT-43 (Client Agreement).

4.7.1.5 The decision for suspending certification is taken by the certification panel of SSPL.

4.7.2 Withdrawing certification

4.7.2.1 SSPL shall withdraw the certificate under the following circumstances:

Failure of the client to resolve the issues of suspension within six months shall result in withdrawal of certification
Other reasons like major legal complaint; company involved in malpractices, SSPL loses accreditation etc.
Client voluntarily requested for a withdrawal.
The certified client doesn’t pay the certification / surveillance or recertification fees as agreed by client prior to services extended (even after suspension).

4.7.2.2 Upon withdrawal of certification the client ceases to enjoy the certification status and shall accordingly return the certificate as directed by SSPL at the time of withdrawal notice.

4.7.2.3 The decision for withdrawing certification is taken by the certification panel of SSPL.

4.7.3 Upon request received from any party, SSPL shall correctly state the status of certification of a client’s management system as being suspended, withdrawn or reduced.

4.7.4.3 Restoring SSPL restores the suspended certification if the issue that has resulted in the suspension has been resolved. Failure to resolve the issues that have resulted in the suspension in a time established by SSPL shall result in withdrawal or reduction of the scope of certification. NOTE In most cases, the suspension would not exceed six months.

Records

SF-07 – Certification Panel Decision
FT-19 – Register of certified clients
FT – Audit Report

Reference

QP-06 – Procedure for initial audit
QP-07 – Procedure for special audit
QP-08 – Procedure for surveillance audit
QP-09 – Procedure for re-certification audit
QP-10 – Procedure for assessment of audit report
PD-02 – Rules and Regulations for Certification
PD-03 – Conditions for use of logo & certification mark
WI-03 – Certification panel
WI-05 – Documents sent to client
SF-04 – Client Agreement

Certification Process