Certification Process

  1. Purpose

The purpose of this document is to define the VQAS process that has to be followed by applicant organizations seeking Certification based on the requirements of relevant management system standards as per requirements of ISO/IEC 17021, and other applicable international standards for certification bodies offering management system certifications or related services.

This document guides you through the certification process including some of the back-office activities which you don’t see usually.

VQAS, on request, will provide any specific information required by the applicant organization.

  1. Scope

This procedure is applicable to any Management System Certification Services provided by VQAS.

  1. Definitions

Certification Audit: 

Audits carried out by VQAS, independent of the Customer and the parties that rely on certification, for the purpose of certifying the Customer’s management system.

Impartiality: 

Presence of objectivity where objectivity means that conflicts of interest do not exist or are resolved so as not to adversely influence subsequent activities of VQAS.

Customer: 

Organization whose management system is being audited by VQAS for certification purposes.

Technical Expert: 

Person who provides specific knowledge or expertise to the audit team.

Competence: 

Ability to apply knowledge and skills to achieve intended results.

Auditor: 

Person who conducts an audit.

  1. References

ISO/IEC 17021-1:2015, clause 9.1 – 9.6

  1. PRE-CERTIFICATION ACTIVITIES

5.1   Application

  • 5.1.1   VQAS is providing certification services to the organizations established as legal entities around the globe. It is expected that the organizations applying for certification MUST be registered entities as per applicable laws within their country.
  • 5.1.2   Customer has to send a formal Request for Quotation (RFQ) with all required details mentioned below:
    • Company Name
    • Company Website (If any)
    • Country
    • Contact Person’s Name
    • Contact Person’s Email
    • Contact Person’s Mobile #
    • Management System (In Scope)
    • Scope of Certification (Including Processes)
    • No. of Employees under Scope
    • No. of Sites under Scope
    • Are You Already Certified? (Yes/ No)
    • If Yes – Attach Existing/ Expired ISO Certificate
    • Whether consultancy has been provided and, if so (By whom?)
  • 5.1.3   Sales Team of VQAS will receive the RFQ and acknowledge the Customer ASAP.
  • 5.1.4   VQAS reserves the right to seek more information for the respective Customer before deciding to accept the application for further processing.
  • 5.1.5   Sales Team will log the respective RFQ in the VQAS Portal for further processing.
  • 5.1.6   Before applying for certification, the Customer must have met the following conditions:
    • Implement the management systems for at least three months. This is necessary to assess the ability of the organization to carry out the process as per the documented management system.
    • Carried out minimum one round of internal audit and management review against the applicable documented management system.

5.2 Application Review

  • 5.2.1   VQAS conducts a review of the application and supplementary information to ensure that:
    • The information about the Customer and its management system is sufficient to develop an audit programme.
    • Any known difference in understanding between the VQAS and the Customer is resolved.
    • VQAS has the competence and ability to perform the certification activity.
    • The scope of certification sought, the site(s) of the Customer’s operations, time required to complete audits and any other points influencing the certification activity are taken into account (language, safety conditions, threats to impartiality, etc.)

5.3 Application Review – Status

  • 5.3.1   Based on the application review process, the VQAS will either accept or decline an application for certification. When the VQAS declines an application for certification as a result of the application review, the reasons for declining an application shall be documented and communicated to the Customer.
  • 5.3.2   Based on this review, the VQAS will determine the competences it needs to include in its audit team and for the certification decision.

Note: Records of the justification for the decision to undertake the audit are maintained.

5.4 Audit Programme Development

  • 5.4.1   An audit programme for the full certification cycle shall be developed by VQAS to clearly identify the audit activity/activities required to demonstrate that the Customer’s management system fulfils the requirements for certification to the selected standard(s) or other normative document(s).
  • 5.4.2   The audit programme for the certification cycle shall cover the complete management system requirements.

Calculation of Audit Time

  • 5.4.3   VQAS has a documented procedure for determining audit time. For each Customer the VQAS shall determine the time needed to plan and accomplish a complete and effective audit of the Customer’s management system.
  • 5.4.4   The duration of the management system audit and its justification shall be recorded.

Multi-site Sampling

  • 5.4.5   Where multi-site sampling is used for the audit of a Customer’s management system covering the same activity in various geographical locations, the VQAS will develop a sampling programme to ensure proper audit of the management system.
  • 5.4.6   The rationale for the sampling plan shall be documented for each Customer. Sampling is not allowed for some specific certification schemes, and where specific criteria have been established for a specific certification scheme, e.g. ISO/TS 22003, these shall be applied.

5.5 Quotation Submission

  • 5.5.1   For accepted applications, the VQAS will prepare a formal quotation for the related services as per the developed audit programme and share with Customer to review and accept.
  • 5.5.2   VQAS Quotation contains all the description of services required by the Customer.

5.6 Quotation Review

  • 5.6.1   Customer will review the respective quotation and respond on the quotation on the VQAS Portal.

5.7 Certification Agreement Submission

  • 5.7.1   Once Customer has accepted the quotation, then the VQAS will prepare a formal Certification Agreement for the related services and share with Customer to review and accept.

5.8 Certification Agreement Acceptance

  • 5.8.1   Customer will review the respective Certification Agreement and accept it to proceed with the respective contract services.

5.9 Gap Assessment (Readiness Review)

  • 5.9.1   After the acceptance of Certification Agreement, a Gap Assessment i.e. Readiness Review will be conducted by VQAS Auditor. This assessment consists of an informal visit before the Initial Certification Audit. Please note that Customer must be able to demonstrate that their management system has been fully operational for a minimum of three months and has been subject to a full cycle of internal audits and management review. This phase is required to know the readiness of Customer’s management system implementation to avoid any later issues during the initial certification audit activities.
  • 5.9.2   Based on the Gap Assessment results, Customer may postpone the initial certification audit activities.
  1. CERTIFICATION AUDIT ACTIVITIES

6.1 Determine Audit Objectives, Scope and Criteria

  • 6.1.1   The audit objectives are determined by the VQAS and the audit scope and criteria, including any changes, shall be established by the VQAS after discussion with the Customer.
  • 6.1.2   The audit scope describes the extent and boundaries of the audit, such as sites, organizational units, activities, and processes to be audited. Where the initial or re-certification process consists of more than one audit (e.g. covering different sites), the scope of an individual audit may not cover the full certification scope, but the totality of audits shall be consistent with the scope in the certification document.
  • 6.1.3   The audit criteria used as a reference against which conformity is determined and include:
    • The requirements of a defined normative document on management systems.
    • The defined processes and documentation of the management system developed by the Customer.
  • 6.1.4   VQAS prepares a tentative audit program for the Customer for next three years which includes initial two stage audits, surveillance audit and renewal audit date prior to expiration of the certificate.
  • 6.1.5   During any stage of the certification cycle this program may change due to the changes in the organization. It is the responsibility of the certified organization to inform VQAS about any changes related to:
    • The legal, commercial, organizational status or ownership,
    • Organization and management (e.g. key managerial, decision-making, or technical staff),
    • Contact address and sites, size of the organization,
    • Scope of operations under the certified management system.
    • Major changes to the management system and processes.

6.2 Audit Team Selection

  • 6.2.1   The audit team, including the audit team leader and technical expert as necessary is identified by VQAS from their pool of empanelled auditors, considering the competence needed to achieve the objectives of the audit and requirements for impartiality.
  • 6.2.2   If there is only one auditor, the auditor shall have the competence to perform the duties of an audit team leader applicable for that audit. The audit team shall have the totality of the competences identified by the VQAS.
  • 6.2.3   The names of the members of the audit team, along with their profile and details will be communicated to the Customer along with the audit schedule giving them a time of two working days to raise any objection against the appointment of any of the team members. Any objection by the Customer against any of the team members must be accompanied in writing with adequate grounds for the objection. VQAS will evaluate the objection and decide whether to change the team member or to overrule the objection raised by the Customer.
  • 6.2.4   Efforts are made to ensure that the team is kept intact throughout the audit process. If there is any change in the composition of the team members, the same shall be communicated to the VQAS for their acceptance.
  • 6.2.5   The team members are required to maintain confidentiality of the sensitive information about the operation of the applicant organization obtained as part of the audit process.
  • 6.2.6   The necessary knowledge and skills of the audit team leader and auditors may be supplemented by technical experts, translators and interpreters who shall operate under the direction of an auditor. Where translators or interpreters are used, they shall be selected such that they do not unduly influence the audit
  • 6.2.7   The criteria for the selection of technical experts are determined on a case-by-case basis by the needs of the audit team and the scope of the audit.

6.3 Audit Plan Preparation

  • 6.3.1   Based on the draft audit programme, a detailed audit plan for each audit appropriate to the objectives and scope of the audit will be prepared by VQAS Lead Auditor / any competent person in that relevant management system in coordination VQAS Lead Auditor before 7 working days and communicated to Customer for their acceptance.
  • 6.3.2   While Preparing this audit plan, the VQAS Lead Auditor will take care of the individual person’s knowledge and skills, experience in the related sector specific requirements.
  • 6.3.3   The audit plan shall at least include or refer to the following:
    • the audit objectives
    • the audit criteria
    • the audit scope, including identification of the organizational and functional units or processes to be audited
    • the dates and sites where the on-site audit activities will be conducted, including visits to temporary sites and remote auditing activities, where appropriate
    • the expected duration of audit activities
    • the roles and responsibilities of the audit team members and accompanying persons, such as observers or interpreters.
  • 6.3.4   The audit plan must be communicated, and the dates of the audit shall be agreed upon, in advance, with the Customer.

6.4 Certification Audits

The certification audit will be performed by VQAS in two stages i.e. stage 1 and stage 2 and VQAS audit methodology may include the below:

  • Review of records,
  • Interviews with the Customer’s employees,
  • Observation of processes,
  • Review of systems configurations,

Audit is always a sampling activity where the activities performed in each stage is written below for your reference:

6.4.1 Stage – 1 Audit

The stage 1 audit shall be performed to verify:

  • The Customer’s management system documentation including all levels on documents.
  • To evaluate the Customer’s location (s) and site-specific conditions and to undertake discussions with the Customer’s personnel to determine the preparedness for the stage 2 audit.
  • To review the Customer’s status and understanding regarding requirements of the standard(s), in particular with respect to the identification of key performance or significant aspects, processes, objectives and operation of the management system.
  • To collect necessary information regarding the scope of the management system, processes and location(s) of the client, and related statutory and regulatory aspects and compliance (e.g. quality, environmental, legal aspects of the Customer’s operation, associated risks, etc.)
  • To review the allocation of resources for stage 2 audit and agree with the client on the details of the stage 2 audit.
  • To evaluate if the internal audits and management review are being planned and performed, and that the level of implementation of the management system substantiates that the client is ready for the stage 2 audit.
  • To provide a focus for planning the stage 2 audit by gaining a sufficient understanding of the Customer’s, management system and site operations in the context of possible significant aspects.
  • If the stage 1 is successful, the Lead Auditor can proceed with stage 2 audit immediately provided agreed by client. If stage 1 and stage 2 audits are planned consecutively then an offsite document review will be performed prior to the stage 1 audit and a document review report will be submitted to the client. Client will provide the relevant documents for document review prior to stage 1.
  • Stage 1 will be conducted on-site or remotely as per the agreement between VQAS and Customer.
  • The maximum gap between stage 1 and stage 2 will be 90 days. After the lapse of 90 days, this will be treated as a new certification.
  • Client will be given an official report on the outcome of stage 1 audit. All critical non-conformities have to be closed and evidence to be submitted prior to the stage 2 audit. All non-critical non-conformities must be closed and evidence to be shown during stage 2.
  • At the end of stage I audit, recommendation may be any one of the following depending upon the findings during the audit:
    • VQAS may share a plan for the stage 2 audit with Customer as per the closure status of stage 1 audit.
    • Follow-up Audit

Note: Stage 1 does not require a formal audit plan and the stage 1 output does not need to meet the full requirements of a report.

6.4.2 Stage – 2 Audits

The stage 2 audit will be performed to verify the implementation, including effectiveness, of the client’s management system. The stage 2 audit will take place at the site(s) of the client or remotely. It will include at least the following:

  • Information and evidence about conformity to all requirements of the applicable management system standard or other normative document.
  • Performance monitoring, measuring, reporting, and reviewing against key performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document).
  • The client’s management system and performance as regards to legal compliance.
  • Operational control of the client’s processes.
  • Internal auditing and management review.
  • Management responsibility for the client’s policies.
  • Links between the normative requirements, policy, performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document), any applicable legal requirements, responsibilities, competence of personnel, operations, procedures, performance data and internal audit findings and conclusions.
  • The result of the audit will be informed in the concluding meeting.
  • Customer will be given an official audit report on the outcome of the stage 2 audit.
  • There are four possible outcomes from the stage 2 audit i.e. Certification/Renewal audits:
    • Recommendation for certification subject to closure of the Non-conformities.
    • Limited re-audit or follow-up visit at a later date based on the findings.
    • No recommendation for certification, which usually means that a complete re-audit is necessary.
    • Recommendation for certification.
  • All critical nonconformities must be closed and evidence to be submitted on VQAS Portal within 45 days from the last day of stage 2 for and ISO standard. After the lapse of specified days, this will be treated as a new certification.
  • All non-critical nonconformities must be closed and evidence to be shown during next surveillance audit.

6.5 Audit Report

  • 6.5.1   VQAS must provide a written report for each audit to the Customer. The audit team may identify opportunities for improvement but shall not recommend specific solutions. Ownership of the audit report shall be maintained by VQAS.
  • 6.5.2   The VQAS Lead Auditor shall ensure that the audit report is prepared and shall be responsible for its content. The audit report shall provide an accurate, concise, and clear record of the audit to enable an informed certification decision to be made and shall include or refer to the following:
    • identification of the certification body i.e. VQAS.
    • the name and address of the Customer and the Customer’s representative.
    • the type of audit (e.g. initial, surveillance or recertification audit or special audits)
    • the audit criteria
    • the audit objectives
    • the audit scope, particularly identification of the organizational or functional units or processes audited and the time of the audit
    • any deviation from the audit plan and their reasons
    • any significant issues impacting on the audit programme
    • identification of the audit team leader, audit team members and any accompanying persons
    • the dates and places where the audit activities (on site or offsite, permanent, or temporary sites) were conducted.
    • audit findings reference to evidence and conclusions, consistent with the requirements of the type of audit.
    • significant changes, if any, that affect the management system of the client since the last audit took place.
    • any unresolved issues, if identified
    • where applicable, whether the audit is combined, joint or integrated
    • a disclaimer statement indicating that auditing is based on a sampling process of the available information.
    • recommendation from the audit team
    • the audited client is effectively controlling the use of the certification documents and marks, if applicable.
    • verification of effectiveness of taken corrective actions regarding previously identified nonconformities, if applicable.

6.6 Certification Decision

  • 6.6.1   VQAS Lead Auditor submits audit report along with the supporting auditor notes, necessary documents to Certification Decision Committee for technical review.
  • 6.6.2   The Certification Decision Committee will make the certification decision on the basis of an evaluation of the audit findings and conclusions and any other relevant information specified in the audit report and other submitted information.
  • 6.6.3   The Certification Decision Committee are in its capacity shall have the right to ask for any further clarifications on the report and information submitted on the applicant’s process and the applicant shall not refuse to present such information.
  • 6.6.4   VQAS 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 are different from those who carried out the audits and the individual(s) appointed to conduct the certification decision shall have appropriate competence.
  • 6.6.5   Once Certification Decision Committee shares the positive decision then a certificate will be issued that will be valid for 1 year. This is maintained through annual surveillance audits (partial audits) and a 3 yearly recertification audit (full system audit).
  • 6.6.6   Customer can download the ISO certificate(s) from VQAS Portal as well as see the audit reports and fill the correction actions and related responses for the issues audit findings.
  • 6.6.7   ISO certificate(s) will be verified on VQAS website as well as on the Accreditation Board website for authenticity.
  1. CERTIFICATION MAINTENANCE

7.1 Surveillance Audit

  • 7.1.1   VQAS will perform annual surveillance audits during the period of the certificate’s validity. The surveillance audits will include evaluation of any amended documentation, planning and conduct of the audit, including reporting and registration by certification body.
  • 7.1.2   The frequency and duration of surveillance audit is dependent on factors including:
    • Complexity and risk of business activities
    • Size and structure of Customer’s organization
    • Number of management systems standards included in the scope of certification
    • Number of sites listed within the scope of certification
  • 7.1.3   The result of the audit will be informed in the concluding meeting.
  • 7.1.4   Client will be given an official report on the outcome of the surveillance audit.
  • 7.1.5   All critical non-conformities have to be closed and evidence to be submitted within 45 days from the last day of the audit. After the lapse of specified days, this will be treated as a new certification.
  • 7.1.6   All non-critical non-conformities have to be closed and evidence to be shown during next audit.
  • 7.1.7   The surveillance audits will have to be carried out within – 3 / + 0 months from the last date of the certification audit for annual surveillance and – 1.5 / + 0 for bi-annual surveillance audit.
  • 7.1.8   Any delay from the surveillance audit date will result in suspension. If the Customer did not initiate the audit within 90 days (for annual surveillance) and 45 days (for bi-annual surveillance), the certification body will revoke the suspension. However, any further delay, the certification body will dismiss the certificate.
  • 7.1.9   Re-certification audits to be performed minimum of 3 months prior to expiry of the certificate. Generally, only 1 stage of audit is required for re-certification audits. However, if applicable a re-certification audit may be performed in 2 stages.

7.2 Recertification Audit

  • 7.2.1   The purpose of the recertification audit is to confirm the continued conformity and effectiveness of the management system as a whole, and its continued relevance and applicability for the scope of certification. A recertification audit shall be planned and conducted to evaluate the continued fulfilment of all of the requirements of the relevant management system standard or other normative document.
  • 7.2.2  Recertification Audit shall be planned and conducted in due time to enable for timely renewal before the certificate expiry date.

7.3 Special Audits

7.3.1 Expanding Scope

  • 7.3.1.1   Special audits shall be carried out whenever there is a modification of scope which include addition or deletion of activities and are applicable to the following changes in the organization:
    • If there is a merger or an acquisition by the Customer.
    • Addition or deletion of process activities.

7.3.2 Short-Notice Audits

  • 7.3.2.1   VQAS reserves the right to conduct short notice audits under the following situations:
    • Complaints received from the customers or interested parties
    • Company has filed for bankruptcy or has been delisted.
    • Change in the customer’s Management
    • Change in the customer’s location of activities
    • Change in the customer’s business operations
    • Major changes to the management system and processes
    • Follow up on suspended clients
    • Adverse media reports.

7.3.3 Transfer Audits

  • 7.3.3.1   VQAS considers the request from the Customers seeking transfer of accredited management system certificates issued by another certification body (CB) to VQAS during the period of the certificate validity.
  • 7.3.3.2   Whenever VQAS receives such requests, Sales team must obtain following information from the Customer:
    • Complete Client Information.
    • Existing valid certificate.
    • Reason for seeking transfer.
    • Previous audit report and Status on raised non-conformities.
  • 7.3.3.3   The following aspects are verified during the application review process:
    • Scope requested by the Organization fall within the scope of VQAS
    • Validity of certificate to know that its note expired.
    • review of complaints and actions taken
    • Status on last audit findings as per audit report.
    • Verification whether the other CB is covered by a valid Accreditation Board.

Complaint Handling Process

  1. Purpose

The purpose of the complaints handling process is to document, establish, implement, and maintain the system for addressing Complaints and Disputes as per requirements of ISO/IEC 17021, and other applicable international standards for certification bodies offering management system certifications or related services.

  1. Scope

This procedure is applicable to all complaints and disputes related to its management system certification or respective services provided by VQAS.

Note: This type of complaints excludes complaints against decisions related to the certification process, certified individuals or complaints related to alleged legal, financial, or regulatory issues, which shall be handled by proper legal authorities. Appeals are not applicable to these types of complaints, as these complaints are not related to any certification decisions made by VQAS. 

  1. Definitions

Complaint: Expression of dissatisfaction made to an organization “VQAS”, related to its product or service, or the complaints-handling process itself, where a response or resolution is explicitly or implicitly expected.

Complainant: Person, organization or their representative making a complaint.

Dispute: Disagreement, arising from a complaint, submitted to 3rd party.

  1. References

ISO/IEC 17021-1:2015, clause 9.8 – Complaints

  1. Entry Criteria

Any person, organization or their representative may log a complaint against:

  • Management System Certification Services,
  • Training Services,
  • Inspection Services,
  • Compliance Audit Services,
  • Any other activities associated with VQAS.
  1. Logging & Recording of Complaints

VQAS needs following inputs from complainant while logging the complaint:

  • Name of Complainant
  • Email of Complainant
  • Phone # of Complainant
  • Location of Complainant
  • Complaint Category (VQAS Client/ Non VQAS Client)
  • Client Name (If VQAS Client)
  • Reference Number (Like Certificate #, Client #, Contract #, etc.)
  • Description of Complaint

Complainant must log the respective complaint on the VQAS website so that it will be logged in the VQAS database with a Unique Identifier Code as a record for future references and respective Account Manager will handle it and respond to related complainant.

VQAS has added a clause in their agreement with our clients about the “Complaint Management” in which VQAS has stated that where and how client may log the complaint and how the complainant can obtain feedback on the status of the complaint.

Any complaint received by VQAS, whether it pertains to VQAS functions or the certified Organization/ persons, would be treated in all seriousness and investigated.

  1. Acknowledgement of Complaints

VQAS acknowledges the receipt of each complaint to the complainant immediately within 1 business working day through email.

  1. Initial Assessment of Complaints

After receipt, each complaint should be initially assessed by the most appropriate member in VQAS in terms of criteria, such as severity, complexity, impact, and the need and possibility of immediate action and then must be shared with Complaint Handling Committee. Complaints addressed promptly in accordance with their urgency.

  1. Investigation of Complaints

Depending on the nature of the complaint, Chairman of the Complaint Handling Committee shall decide to conduct the investigation himself or appoint a complaint panel for each complaint. The complaint panel shall contain members from auditor panel who have not been part of the audit and also not involved in certification decision or involved in the subject of the complaint. Further, the complainant shall be given an opportunity to present the case to the panel in person if he so desires or required as per Complaint Handling Committee.

The complaint panel or Chairman of the Complaint Handling Committee shall investigate the complaint by looking into the records and / or talking to the complainant and shall take a decision based on the analysis of data.

The details of investigation and the related actions identified are recorded in the complaint database.

Every reasonable effort should be made to investigate all the relevant circumstances and information surrounding a complaint. The level of investigation should be commensurate with the seriousness, frequency of occurrence and severity of the complaint.

Note: VQAS will protect information you provide us to the full extent of the law. But, under some circumstances, other people may view your complaint and related documents. Please do not send us sensitive information we don’t need to process your complaint. If we need more information from you, we will request it.

  1. Response to Complaints

Following an appropriate investigation, the organization should offer a response. For example, correct the problem and prevent it happening in the future. If the complaint cannot be immediately resolved, then it should be dealt with in a manner intended to lead to its effective resolution as soon as possible.

The result of the investigation will be communicated in writing and if possible, verbally (subject to any restrictions of confidentiality) to the complainant as well as any other party involved.

  1. Communicating the Decision

The decision or any action taken regarding the complaint, which is relevant to the complainant or to the personnel involved, should be communicated to them as soon as the decision or action is taken.

In case of complaints relevant to public interest, the respective organization and the complainant must be consulted and if felt necessary information about the complaint and its resolution will be made available for public viewing.

As per VQAS Policy, submission, investigation, and decision on complaints shall not result in any discriminatory actions against the complainant.

  1. Complaints Closure

If the complainant accepts the proposed decision or action, then the decision or action should be carried out and complaint will be recorded as closed.

  1. Dispute Management

If the complainant rejects the proposed decision or action, then the complaint should remain open. This should be recorded, and the complainant should be informed of alternative forms of internal and external recourse available to handle the dispute.

The organization should continue to monitor the progress of the complaint until all reasonable internal and external options of recourse are exhausted or the complainant is satisfied.

Any dispute arising out of any complaint shall be settled by negotiations between the parties, and if this is not possible it shall be referred to arbitration as per the legal acts of respective jurisdiction or complainant may open the same complaint with the accreditation board of VQAS. The decision of the arbitration shall be binding for the both parties.

Records of all the disputes are maintained and reviewed in management review meeting.

  1. Customer Feedback

After every audit i.e. certification, surveillance, and re-certification a feedback from the client is obtained to:

  • Assess the performance of the audit team,
  • Measure the customer satisfaction,
  • Know the areas for further improvement,

All the feedback received from the customers are analyzed and appropriate action taken if required. A summary of feedback and the findings with corrective action taken are reviewed in management review meetings on regular basis.

Appeals Handling Process

  1. Purpose

The purpose of the appeals handling process is to document, establish, implement, and maintain the system for addressing appeals as per requirements of ISO/IEC 17021, and other applicable international standards for certification bodies offering management system certifications or related services.

  1. Scope

This procedure is applicable to all appeals related to its management system certification or respective services provided by VQAS for an existing customer only.

  1. Definitions

Appeal: Request for reconsideration of any decision made by the certification body “VQAS” related to her/his desired certification status by the certified organization or certified person.

Appellant: Person, organization or their representative making an appeal for an existing customer.

  1. References

ISO/IEC 17021-1:2015, clause 9.7 – Appeals

  1. Entry Criteria

Any person, organization or their representative for an existing customer may log an appeal for the reconsideration of any decision made by the certification body “VQAS” for the below activities:

  • Management System Certification Services,
  • Training Services,
  • Inspection Services,
  • Compliance Audit Services,
  1. Logging & Recording of Appeals

VQAS needs following inputs from Appellant while logging the appeal:

  • Name of Appellant
  • Email of Appellant
  • Phone # of Appellant
  • Location of Appellant
  • Client Name
  • Reference Number (Like Certificate #, Client #, Contract #, etc.)
  • Description of Appeal

Appellant must log the respective appeal on the VQAS Customer Portal so that it will be logged in the VQAS database with a Unique Identifier Code as a record for future references and respective Certification Manager will handle it and respond to related Appellant.

VQAS has added a clause in their agreement with our clients about the “Appeal Management” in which VQAS has stated that where and how client may log the appeal and how the Appellant can obtain feedback on the status of the appeal.

  1. Acknowledgement of Appeals

VQAS acknowledges the receipt of each appeal to the Appellant immediately within 1 business working day through email.

  1. Assessment of Appeals

Depending on the nature of the appeal, Certification Manager shall decide to conduct the assessment himself or appoint an appeal panel for each appeal. The appeal panel shall contain members from auditor panel who have not been part of the audit and also not involved in certification decision or involved in the subject of the appeal. Further, the Appellant shall be given an opportunity to present the case to the panel in person if he so desires or required.

The appeal panel shall investigate the appeal by looking into the records and / or talking to the Appellant and shall take a decision based on the analysis of data.

The details of assessment and the related actions identified are recorded in the appeal database.

Every reasonable effort should be made to investigate all the relevant circumstances and information surrounding an appeal. The level of assessment should be commensurate with the seriousness, frequency of occurrence and severity of the appeal. Any applicable fee has to pay by the respective customer to handle the appeal.

Note: VQAS will protect information you provide us to the full extent of the law. But, under some circumstances, other people may view your appeal and related documents. Please do not send us sensitive information we don’t need to process your appeal. If we need more information from you, we will request it.

  1. Response to Appeals

Following an appropriate assessment, the organization should offer a response. For example, correct the problem and prevent it happening in the future. If the appeal cannot be immediately resolved, then it should be dealt with in a manner intended to lead to its effective resolution as soon as possible.

The result of the assessment will be communicated in writing and if possible, verbally (subject to any restrictions of confidentiality) to the Appellant as well as any other party involved.

  1. Communicating the Decision

The decision or any action taken regarding the appeal, which is relevant to the Appellant or to the personnel involved, should be communicated to them as soon as the decision or action is taken.

In case of Appeals relevant to public interest, the respective organization and the Appellant must be consulted and if felt necessary information about the appeal and its resolution will be made available for public viewing.

As per VQAS Policy, submission, assessment, and decision on Appeals shall not result in any discriminatory actions against the Appellant.

  1. Appeals Closure

Once the decision has shared by VQAS to the Appellant then the respective action should be carried out by VQAS and appeal will be recorded as closed.

  1. Customer Feedback

After every audit i.e. certification, surveillance, and re-certification a feedback from the client is obtained to:

  • Assess the performance of the audit team,
  • Measure the customer satisfaction,
  • Know the areas for further improvement,

All the feedback received from the customers are analyzed and appropriate action taken if required. A summary of feedback and the findings with corrective action taken are reviewed in management review meetings on regular basis.

Certification Mark Use Policy

VQAS grants permission to use the VQAS Certification Mark to VQAS Certified organizations only. This mark may be used on its own or in combination with the Accreditation Mark which appears on the management system certificate issued to the Customer by VQAS. Each VQAS Certified organization is authorized to use only the certification mark which represents the appropriate certification given to respective organization.

 

It is a good marketing tool to promote the overall organization’s performance of the respective management system and VQAS encourage their Customers to use it fully. VQAS team will assist with any queries relating to displaying the VQAS Certification Mark.

 

Each VQAS Certified organization may use the appropriate VQAS Certification Mark on/in Business Cards, Email Signatures, Website, Brochures, Marketing Literature, Internal Communications, Social Media, Annual Reports & Press Releases.

 

Permission to use the VQAS Certification Mark is limited to the VQAS Certified Organization, and shall not be transferred to, assigned to, or otherwise used by any other organization or entity.

 

Following receipt of information that an inappropriate or unauthorized use of the VQAS Certification Mark may have occurred, VQAS will determine if responsive action(s) will be taken, including the following:

  • The unauthorized mark use will be reviewed.
  • If a policy violation may have occurred, VQAS shall communicate to the organization involved, requesting that they stop the unauthorized use.
  • If the policy violation is not corrected, appropriate legal actions shall be taken.

The respective organization shall not use the certification mark(s) provided by VQAS in such a manner that would bring VQAS, and/or the Accreditation Body or, and/or the certification system into disrepute and lose public trust, and shall not make any statement regarding its product certification that VQAS may consider to be misleading or unauthorized so don’t display the VQAS Certification Mark on a product or it’s packaging as this will imply the product has been tested by VQAS.

 

Upon a reduction of the scope of certification or withdrawal or termination of its certification, the respective organization shall amend or discontinue all advertising material referring to its certification.




Impartiality Policy

VQAS considers that impartiality and avoiding conflict of interest are of primary importance to maintain the confidence of all our stakeholders in the services that we provide. Impartiality is one of the significant requirements of certification and is of highest importance in maintaining the trust that stakeholders should expect from our certifications.

VQAS is fully committed and strongly follows to the requirement of ISO/IEC 17021 “Requirements for Bodies Providing Audit and Certification of Management Systems” that certification shall be undertaken impartially, and the maintenance of impartiality is a key priority at all levels within VQAS.

VQAS is organized in a way to safeguard impartiality and not to get affected by means of any commercial, financial, or any other pressures. The VQAS Executive Management ensures a balanced representation of interested parties with no single party predominating.

VQAS provides external training services in certification associated activities. In order not to compromise its impartiality and status in training service delivery, VQAS offers generic training courses and does not give specific advice for the development of an organization’s operations related to certification. Also, the training courses delivered are not a prerequisite of certification, neither do they guarantee VQAS certification.

VQAS does not engage in any activities which could compromise its impartiality; it does not provide consultancy to the clients, nor we have links with bodies providing consultancy to the clients, and we do not promote the services of any such bodies.

The impartiality and objectivity of the certification services that VQAS provides is strongly controlled and all VQAS personnel and externally contracted auditors, as well as VQAS committees’ members, are required to declare any potential conflicts of interest. VQAS takes full regard of this information to ensure the objectivity of the services that we provide. certification decisions are made by competent persons independent of the assessment of the clients.

VQAS evaluates potential risks to its impartiality on an on-going basis to safeguarding Impartiality, using several mechanisms including internal audit, management review and consultation with appropriate interested parties. Where any such risks are identified, VQAS applies appropriate measures in place to eliminate or minimize them. These measures are monitored for effectiveness. If customers or any other stakeholders have concerns regarding the impartiality or objectivity of VQAS processes, then they may submit complaint or appeal as per our defined approach.

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