from the pre-certification activities – Application, Application review, audit program, determining audit time, multi-site sampling where applicable, multiply management system standards when applicable, planning audit(s), audit team selection and assignments, observers, technical experts and guides, audit plan preparing and communication, initial certification audit (Stage1 and Stage2), Initial certification audit conclusions, conducting audits, identifying and recording audit findings, audit report, Certification decision, information for granting initial certification, information for granting re-certification, maintaining certification, surveillance activities, recertification, special audits.
The aim is to describe the phases as steps for proper realization of all activities related to the application, conformity audit and decision-making and to determine the responsibility and authority CERTIVA’s employees and external collaborators at each any phase separately.
THE SCOPE
The whole system QCERT (for ISO 17021 ,QMS ISO 9001, EMS ISO 14001, ISO 22000, OH&S ISO 45001, FSMS) current version.
RESPONSIBILITIES
All employees and external collaborators who have a contract with QCERT individual or as a member of the Committee.
The specific responsibilities mentioned specifically in each phase.
- Pre-certification activities
1.1 Application phase
When any employee of QCERT ME/ commercial offices is contacted by an interested client for conformity audit of any ISO scheme
the commercial responsible should contact the applicant and sends the Application form F 1 / CERT.1 or indicate that the form can be downloaded on the website , after receiving the application filled in by the applicant including all required information also confirming it by the signature electronic and submits it by e-mail to the, the commercial in charge should send all relevant information via email, to the CERTIVA’s Certification administrator.
Applicant organization has to provide to QCERT the necessary information to enable it to establish the following:
-the desired scope of the certification;
-relevant details of the applicant organization as required by the specific certification scheme, including its name and the address(es) of its site(s), its processes and operations, human and technical resources, functions, relationships and any relevant legal obligations;
-identification of outsourced processes used by the organization that will affect conformity to requirements;
-the standards or other requirements for which the applicant organization is seeking certification;
-whether consultancy relating to the management system to be certified has been provided and, if so, by whom.
Administrator of QCERT reviews the information in the application form and if necessary he/she can re contact the applicant to complete / adjust the information to be clear for the application reviewer. After that the administrator of CERTIVAME sends/ Saves on the share folder fulfilled application form submitted by the applicant to the Scheme Manager for a particular certification scheme for which the applicant applied. The duration time starting from accept the application to send the audit plan to the client does not exceed 28 days.
If the deadline is passed, a clear justification is needed, and it is up to the scheme manager to accept the application or asks for sending a new application or re-open the application by a new re opening date.
1.2 Application form reviewing phase
The Administrator proceed with the application and notify the scheme manager to review the application (Notify Head Quarter Button under Application review section.
The assigned scheme manager for the relevant certification scheme reviews the application and verifies all data and the information about the applicant organization and its management system
is sufficient to develop an audit program; any known difference in understanding between CERTIVAME and the applicant organization is resolved; the QCERT has the competence and ability to perform the certification activity; the scope of certification sought, the site(s) of the applicant organization’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, Risk, Complexity, etc.).
On the occasion that the application arrives from an already certified client by other CB, who is willing to proceed with his surveillance with Certiva, the administrator should make sure that he revised the following:
- The status of his certificate (didn’t pass twelve months), If not an adequate justification is requested from the client, and it’s up to QCert Director to accept/ Deny the justification.
- No Sanctions were raised by the previous certification body ( by checking the website), if it was not possible, the admin will communicate the previous CB by email, if there were no answer in 7 calendar days the admin will proceed immediately with acceptance of the application.
- The Report of the previous Certification body. In case missing the previous report, one day will be added for the calculation man days.
** All evidence should be kept in the client file whenever requested by the accreditation body.
When QCERT declines an application for certification as a result of the review of application, the reasons for declining an application shall be documented and made clear to the client that QCERT is unable to perform this audit, it’s up to QCert to conduct this audit and issue non- accredited certificate if the plan of QCERT to extend its scope.
The certification Scheme manager shall be expecting the following mandatory issues with the application:
- Commercial record… mandatory
- EMS: Environment aspects, Environment measures and Hazard materials
- ISO 45001:2018 Relevant Risk assessment
- FSMS: HACCP
- Stamped certification agreement if possible
It’s up to the scheme manager to accept not receiving such documents under very strict clarification from the client ( eg. The company has a policy not to send documents)
1.3 Contracting phase ( system certification)
When the application is accepted, to the applicant is sent a certification contract F1C / CERT.1 with Information about the process of audit, certification, which contains Information describing the process of audit, certification process and on the status of certification which are an integral part of the contract. Once the applicant signs the certification contract and the commercial contract F1c-1/CERT.1, and confirm with it that agrees with the terms, official prices for the services of certification, and certification conditions, which is for a period of 3 years (except that of certified clients validity of the contract expires on the day of expiry of the certificate – Article 3.1 of the certification contract), the applicant obtains the client status.
Once the client follows the payment according to the invoice sent (which is based on the payment terms), the financial department issues a job order ###.
Once the job order is issued an automatic email is sent to the administrator to start operation, Client’s file is created then ###, and is assigned a unique number that consists of the abbreviated names of the standard and the ordinal number of the client in the office QCERT according to the current scheme and the relevant standards.
For an example:
Client number ISO 09 E
Client number ISO 22 E
Client number ISO 14 E
Client number ISO 45 E
- Audit preparation phase
2.1 Audit program
The audit program F1 CERT.1 for the initial certification includes a two-stage initial audit, surveillance audits in the first and second years following the certification decision, and a recertification audit in the third year prior to expiration of certification. The first three-year certification cycle begins with the certification decision. Subsequent cycles begin with the recertification decision.
Where QCERT is taking account of certification already granted to the client and to audits performed by another certification body, it shall obtain and retain sufficient evidence, such as reports and documentation on corrective actions, to any nonconformity. QCERT will, based on the information obtained, justify and record any adjustments to the existing audit program and follow up the implementation of corrective actions concerning previous nonconformities.
Where the client operates shifts, the activities that take place during shift working shall be considered when developing the audit program and audit plans.
2.2 Determining Audit Time
The certification Scheme Manager takes in his consideration while determines the audit time as per ISO 22003
For ISO 9-14-45 and as per MD 22- ANNEX B, consideration is not limited to:
– The requirement of the relevant standard
– Complexity of the client and its management system
– Risk Factor of the operation
– Technological and regulatory context
– Any outsourcing
– The results of any prior audit
– Size and number of client sites and their geographical location and multi-sites consecrations
– The risk associated with the products and process of the client
– Whether audits are combined, joined or integrated
– Time spent travelling
– Calculation of minimum surveillance and recertification audit time
– Un applicable clauses
The references for the calculation audit time are:
Annex B ISO / TS 22003:2013 for the food audit
IAF Mandatory Document IAF MD 5:2015 Current Issue
Annex A ( Table 1- 2) for QMS IAF Mandatory Document IAF MD 5 Current Issue
Annex B for EMS IAF Mandatory Document IAF MD 5: Current Issue
Annex B for OH&S ISO 45 IAF Mandatory Document IAF MD 22 Current Issue
2.3 Multi-site sampling
Referring to IAF MD 1- MD 22 Current Issue and where multi-site sampling is used for the audit of a client’s management system covering the same activity in various geographical locations, QCERT will develop a sampling program to ensure proper audit of the management system. The rationale for the sampling plan shall be documented for each client. 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 will be applied.
In case the multiple facility doesn’t operate the same activities the sampling procedure is not appropriate. (MD 1- MD 22).
Temporally sites should be subject of the sample.
2.4 Integrated management systems standards
When certification to Integrated management systems is being provided by CERTIVA, the determines the audit time and program referring to IAF Mandatory Document IAF MD 11:2013 Current version – ANNEX 1 Reduction of Audit time maybe applied, and IAF MD 5 issue 3. The total reduction at the end should not exceed 30% of audit time calculated including.
- Planning audits
3.1 Determining audit objectives, scope and criteria
Audit objectives, scope and criteria are determined by CERTIVA. The audit scope and criteria, including any changes, shall be established by QCERT Auditor after discussion with the client and sends to the client by the audit plan by the Email ###.
3.2 Audit team selection and assignments
3.2.1 General
QCERT Scheme Manager has a process for selecting and appointing the audit team, including the audit team leader and technical experts if necessary the close of the team is always from the approved lists in the HR Section, taking into account the competence needed to achieve the objectives of the audit and requirements for impartiality. If there is only one auditor, the auditor will 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 QCERT for the audit, as a minimum the audit team leader shall be competent in the scope, IAF code of the client subject to the audit, for the audit team, it’s enough to be competent in the standard subject of the audit.
Composition of audit team and knowledge and skills are described in 17021-1, 2,3,10
3.3 Observers, technical experts and guides
The role of observers, technical experts and guides are described in 17021-1
The scheme Manager issues the Job order and notify the audit team for the audit including in his email the reviewed application which included the audit cycle ( program) and any other relevant parties who may attend the audit ( observers/ technical expert(s)
- Audit plan
4.1 General
QCERT ensures that an audit plan is established prior to each audit identified in the audit program to provide the basis for agreement regarding the conduct and scheduling of the audit activities.
4.2 Preparing the audit plan
After the certification scheme manager being appointed in the application form the lead auditor/audit team, the scheme Manager creates the Job order which is in free form in Word and #### notify the administrator with the reviewed application form F1 / CERT.1 to do the audit booking then the admin notifies the Lead auditor to do the audit plan ###,
** Audit plans are sent to the client to the contacts saved in the client information
The Lead auditor prepares the Audit Plan F 2 / CERT.1 Stage 1 and Stage 2 with the proposal of the dates for both audits and sends it to the client and to QCERT office at least 2 days prior to the proposed date of audit by email, with the provision that the audit plan for Stage 2 will only be applied if the lead auditor has accepted the results from Stage 1 audit, otherwise a new audit plan will be sent to the client after CA is delivered and evidence of non-conformance removal detected in Stage 1, a minimum of 2 days before the stage 2 audit,
The client has the right to accept or reject the audit plan, date of audit or auditors which are in the audit team and/or technical experts and/or observers, giving the reason for rejecting. If there is no any rejection from the client it will be considered as approval for the audit plan and then the lead auditor/audit team approaches to preparation for the audit according to the data available. If necessary, the lead auditor may request that client via email sends part of the documentation.
4.3 Communication of audit team tasks
As mentioned on 17021-1
4.4 Communication concerning audit team members
Described in this document
- Initial certification audit
5.1 General
The initial certification audit of a management system shall be conducted in two stages: stage 1 and stage 2.
5.2 Stage 1
In this section, audit team make audit documentation and performs a visit to the client’s production capacity.
This stage is mainly carried out at the premises of the client and begins with an opening meeting.
The objectives of Stage 1 audit are described in the audit report
All observations during the Stage 1 audit, the auditor documents in the Report of conformity audit NC and CA plan Stage 1, including the place where in the Stage 2 audit may arise conflicts.
5.3 Stage 2
The purpose of the Stage 2 audit is to audit the level of implementation of standards, including the effectiveness of the client’s management system. The stage 2 shall take place at the site(s) of the client.
The objectives of Stage 2 audit are described in the audit report
Elements to be covered by the Stage 2 audit are described in: The audit report
5.4 Initial certification audit conclusions
Before the final meeting, audit team organize a meeting in which perform the analysis of objective evidences and gathering all the information, including observations from compliant or not.
The audit team shall analyses all information and audit evidence gathered during stage 1 and stage 2 to review the audit findings and agree on the audit conclusions.
If there is a non-conformity, Lead auditor raises non-conformity and introduces it in the prescribed form in the audit report NC and CA plan Stage 2.
At the final meeting, Lead auditor, immediately on site informs the client about audit results.
In the case of nonconformities, Lead auditor shall submit to client the form for nonconformity and agree the way for evidences sending and the deadline for the removal of nonconformities, not to exceed 14 Days and can be exceeded to 21 days in some particular cases for the minor and 6 months for the major (submission,, review and confirmation by email).
- Conducting audits
6.1 General
QCERT has a process for conducting on-site audits. This process includes an opening meeting at the start of the audit and a closing meeting at the conclusion of the audit.
Regarding ISO 45001:2018 audit the audit team is obliged to interview:
- The Management with legal responsibility of occupational health and safety
- Employees representative
- Person in charge of monitoring Employees health eg: Doctor available
- Managers, permanent and temp. employees
- Managers and employees performing activities to prevention of OHSAS
- Contractor Management and/ or Employees
6.2 Opening meeting
Elements of opening meeting are described in audit report and 17021-1
6.3 Communication during the audit
During the audit, the audit team will periodically assess audit progress and exchange information. The audit team leader will reassign work as needed between the audit team members and periodically communicate the progress of the audit and any concerns to the client.
Where the available audit evidence indicates that the audit objectives are unattainable or suggests the presence of an immediate and significant risk (e.g. safety), the audit team leader will report this
to the client and, if possible, to QCERT to determine appropriate action. Such action may include reconfirmation or modification of the audit plan, changes to the audit objectives or audit scope, or termination of the audit. The audit team leader will report the outcome of the action taken to CERTIVA.
The audit team leader will review with the client any need for changes to the audit scope which becomes apparent as on-site auditing activities progress and report this to CERTIVA.
6.4 Obtaining and verifying information
During the audit, information relevant to the audit objectives, scope and criteria (including information relating to interfaces between functions, activities and processes) will be obtained by appropriate sampling and verified to become audit evidence.
6.5 Identifying and recording audit findings
Identifying and recording audit findings are described in the audit reports and ISO 17021-1
6.6 Preparing audit conclusions
Preparing audit conclusion process is described in 17021-1
6.7 Closing meeting
Elements of closing meeting are described in the audit reports and ISO 17021-1
- Reporting phase
7.1 Audit report
Lead auditor writes a final audit report on the completed audit of conformity of quality, Environmental, OHSAS management systems and food safety, which is established and maintained by the client. The audit team leader is responsible for its content. QCERT will provide a written report for each audit to the client.
When there is a need for sending of evidences about the removal of nonconformity, than the Lead auditor, within the agreed timeframe, gathers evidences about and gives comment about the nonconformity is or is not closed, in the appropriate form for nonconformity.
Within the maximum period of 14 days the lead auditor shall send the audit report to the QCERT administrator for Documentary technical review, and the administrator reviews the report and verifies data from the application, audit plan and report. If there is a discrepancy in the data, the Administrator shall instruct the lead auditor by e-mail and ask for an explanation for the resulting error and / or amend and confirm the accuracy of the data. Lead auditor is obliged to submit to the administrator all the required clarifications / corrections data.
After the report was passed technical inspection, the administrator no later than 7 days, submit it to the decision maker as the following:
- Full audit report
- Application form F 1 / CERT.1
- Audit plan F 2 / CERT.1 Stage 1 Stage 2
- Where applicable comment on nonconformity, correction and corrective action taken by the client, and evidences to prove the removal of nonconformities
- And recommendations for certification or non-certification within the audit report
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:
- a) Identification of CERTIVA;
- b) The name and address of the client and the client’s representative;
- c) The type of audit (e.g. initial, surveillance or recertification audit or special audits); d) the audit criteria; e) the audit objectives;
- f) The audit scope, certified products / particularly identification of the organizational or functional units or processes audited and the time of the audit;
- g) Any deviation from the audit plan and their reasons;
- h) Any significant issues impacting on the audit program;
- i) Identification of the audit team leader, audit team members and any accompanying persons;
- j) The dates and places where the audit activities (on site or offsite, permanent or temporary sites) were conducted;
- k) Audit findings, reference to evidence and conclusions, consistent with the requirements of the type of audit;
- l) Significant changes, if any, that affect the management system of the client / certified products since the last audit took place;
- m) Any unresolved issues, if identified;
- n) Where applicable, whether the audit is combined, joint or integrated;
- o) A disclaimer statement indicating that auditing is based on a sampling process of the available information;
- p) Recommendation from the audit team
- q) The audited client is effectively controlling the use of the certification documents and marks, if applicable;
- r) Verification of effectiveness of taken corrective actions regarding previously identified nonconformities, if applicable.
The report shall also contain:
- a) A statement on the conformity and the effectiveness of the management system together with a summary of the evidence relating to: — the capability of the management system to meet applicable requirements and expected outcomes; — the internal audit and management review process- certified products;
- b) A conclusion on the appropriateness of the certification scope;
- c) Confirmation that the audit objectives have been fulfilled.
QCERT has developed uniform audit report templates F-STD No. CERT.1
All QCERT auditors are obliged to fully complete the audit report accordingly.
7.2 Cause analysis of nonconformities
Audit report NC and CA plan sheet – cause analysis of NC
7.3. Effectiveness of corrections and corrective actions
Verification of effectiveness of corrections and correction actions in Audit report NC and CA plan sheet
- Certification Decision for Certification
9.1 Actions prior to making a decision.
QCERT has a process to conduct an effective review prior to making a decision for granting certification, expanding or reducing the scope of certification, renewing, suspending or restoring, or withdrawing of certification, including, that
- a) The information provided by the audit team is sufficient with respect to the certification requirements and the scope for certification.
- b) For any major nonconformities, it has reviewed, accepted and verified the correction and corrective actions;
- c) For any minor nonconformities it has reviewed and accepted the client’s plan for correction and corrective action.
9.2 Information for granting initial certification.
The information provided by the audit team to QCERT for the certification decision includes, as a minimum:
- a) The audit reports.
- b) Comments on the nonconformities and, where applicable, the correction and corrective actions taken by the client;
- c) Confirmation of the information provided to QCERT used in the application review.
- d) Confirmation that the audit objectives have been achieved.
- e) A recommendation whether to grant certification, together with any conditions or observations.
If QCERT is not able to verify the implementation of corrections and corrective actions of any major nonconformity within 6 months after the last day of stage 2, QCERT will conduct another stage 2 prior to recommending certification.
When a transfer of certification is envisaged from one certification body to CERTIVA, the accepting certification body (CERTIVA) has a process for obtaining sufficient information in order to take a decision on certification (Procedure CERT.2 for transfer of certified clients from other CB to CERTIVA).
9.3 Decision making process.
The decision maker must check and ensure that an auditor who performed an audit or was involved in audit, cannot under any circumstances be the decision maker.
In the maximum period of 7 days, the decision maker must reach a decision on certification or no certification of the client.
If there are dilemmas or needs for more information, shall inform the Lead auditor for an additional information about. Lead Auditor can ask an auditor to submit that additional information, or can send directly by e-mail ### those requested clarifications. The audit reports in each step is upload at the share folder ###. The decision maker fills the list in the report, which is intended for the decision, as it fills in the form accordingly, confirms it by its signature (can be electronic) and send his decision to the admin by emailing system. If the decision on certification is positive, the administrator sends notification to the executive assistance of the director with the supporting documents to prepare the certificate. The director has to sign the certificate may be by the electronic signature. The executive assistance director sends email to the client including certification letter, Roles for logo use logo and the logo in jpg format. Audit report with the certification decision puts in the client file. A copy of the certificate in pdf. The duration time starting from accept the corrective actions for the non-conformities from the client to issue the certificate does not exceed 28 days. All the deadlines are monitoring through the certification monitoring sheet of each position / process.
In case the decision on certification is negative the decision maker inform the admin by email system and the admin sends email to the executive assistant to GM to record the case and inform the client with negative notification.
At any case the maximum time to issue a certification are 28 days from the last day of stage 2 audit.
the executive director entries in the register of certificates on the website ********* and a copy along with supporting documentation sends to the client in a way that the client requires. A copy of the certificate stored in the file administrator client.
For period of validity of the certificate of 3 (three) years, client is obliged to inform QCERT about any changes that may affect the functioning of its management system and food safety.
Examples of changes are:
- a) Legal changes, changes in the commercial and organizational status or ownership changes
- b) Changes from the organization or products or management (e.g. General executives, decision-makers and technical staff)
- c) Changes of a contact address or location
- d) Modification of operations that are within the scope of certification, and
- e) Major changes in the products specifications or its process, management system and process.
9.4 Records
As per annex-3 CERT.1 Instruction for client file management
- Surveillance and surveillance audits phase
10.1 Surveillance activities
Surveillance activities includes on-site auditing of the certified client’s management system’s or certified products fulfilment of specified requirements with respect to the standard to which the certification is granted. Other surveillance activities may include:
- a) Enquiries from QCERT to the certified client on aspects of certification;
- b) Reviewing any certified client’s statements with respect to its operations (e.g. promotional material, website);
- c) requests to the certified client to provide documented information (on paper or electronic media); d) other means of monitoring the certified client’s performance.
10.2 Surveillance audit
Surveillance audits are on-site audits, but are not necessarily full system audits, and shall be planned together with the other surveillance activities so that QCERT can maintain confidence that the client’s certified management system continues to fulfil requirements between recertification audits. Each surveillance for the relevant management system standard includes:
- a) Internal audits and management review;
- b) A review of actions taken on nonconformities identified during the previous audit;
- c) Complaints handling;
- d) Effectiveness of the management system with regard to achieving the certified client’s objectives and the intended results of the respective management system (s);
- e) Progress of planned activities aimed at continual improvement;
- f) Continuing operational control;
- g) Review of any changes;
- h) Use of marks and/or any other reference to certification.
- i) Continuing use of a certification mark is authorized for placement on a product (or its packaging, or information accompanying it) of a type which has been certified, surveillance shall be established and shall include periodic surveillance of marked products to ensure ongoing validity of the demonstration of fulfilment of product requirements;
- j) Continuing use of a certification mark is authorized for a process or service, surveillance shall be established and shall include periodic surveillance activities to ensure ongoing validity of the demonstration of fulfilment of process or service requirements.
Surveillance audits are conducted for a period not later than 12 months.
Tracking dates and scheduling surveillance audits is conducted by Administrator, and to thereby conducts the audit programs for the clients which includes date of decision making which is the same
as the certificate issuance date, the date of the first surveillance audit, the date of the second surveillance audit, the date of expiration of the certificate and the date of the recertification audit.
At least 50 days before the expiry of 12 months, the Admin ### notifies the client about the surveillance visit. In case there is no reply from the client till 3 months after the surveillance date the certificate will be cancelled from the website. Client confirms or requests for another date. Administrator can change the audit date but bearing in mind that the surveillance audit cannot be later than the deadline.
Lead auditor sends an audit plan to the client according to the Job order.
After the audit, the Lead auditor submits to the administrator the report and documents as for the initial audit to be forwarded to the decision maker.
If the report and Lead auditor’s conclusion about client are positive, the decision maker to continue certification.
- Recertification phase
11.1 Recertification audit planning
A recertification audit is planned and conducted to evaluate the continued fulfilment of all of the requirements of the relevant management system standard or certified products or other normative document. This is planned and conducted in due time to enable for timely renewal before the certificate expiry date.
The recertification activity includes the review of previous surveillance audit reports and consider the performance of the management system over the most recent certification cycle and the certified products.
After completing the three-year certification cycle for re-certification is carried out identical procedures as for initial certification with the difference that a customer does not require filling out the application form F 1 / CERT.1 unless there is a change in his or process data, and Stage 1 audit is not performed, but immediately starts with a Stage 2 audit. The whole process of writing and sending audit report and a decision making is the same as for the certification audit.
Recertification audit activities may need to have a stage 1 in situations where there have been significant changes to the management system, the organization, or the context in which the management system is operating (e.g. changes to legislation).
11.2 Recertification audit
The recertification audit includes an on-site audit that addresses the following:
- a) The effectiveness of the management system in its entirety in the light of internal and external changes and its continued relevance and applicability to the scope of certification;
- b) Demonstrated commitment to maintain the effectiveness and improvement of the management system in order to enhance overall performance;
- c) The effectiveness of the management system with regard to achieving the certified client’s objectives and the intended results of the respective management system (s);
- d) Continuing use of a certification mark is authorized for placement on a product (or its packaging, or information accompanying it) of a type which has been certified, surveillance shall be established and shall include periodic surveillance of marked products to ensure ongoing validity of the demonstration of fulfilment of product requirements;
- e) Continuing use of a certification mark is authorized for a process or service, surveillance shall be established and shall include periodic surveillance activities to ensure ongoing validity of the demonstration of fulfilment of process or service requirements.
For any major nonconformity, QCERT defines time limits for correction and corrective actions. These actions will be implemented and verified prior to the expiration of certification.
When recertification activities are successfully completed prior to the expiry date of the existing certification, the expiry date of the new certification can be based on the expiry date of the existing certification. The issue date on a new certificate shall be on or after the recertification decision.
If QCERT has not completed the recertification audit or is unable to verify the implementation of corrections and corrective actions for any major nonconformity prior to the expiry date of the certification, then recertification shall not be recommended and the validity of the certification shall not be extended. The client shall be informed and the consequences shall be explained.
Following expiration of certification, QCERT can restore certification within 6 months provided that the outstanding recertification activities are completed, otherwise at least a stage 2 shall be conducted. The effective date on the certificate shall be on or after the recertification decision and the expiry date shall be based on prior certification cycle.
- Special audits
12.1 Expanding / reducing scope audit
Described in CERT.4 Procedure for scope extension /reduction
12.2 Short-notice audits
Short-notice audits may be necessary QCERT to conduct audits of certified clients at short notice to investigate complaints, or in response to changes, or as follow up on suspended clients.
In such cases
- a) QCERT will describe and make known in advance to the certified clients, the conditions under which these short notice visits are to be conducted, and
- b) QCERT will exercise additional care in the assignment of the audit team because of the lack of opportunity for the client to object to audit team members.
- Certificate maintenance phase
QCERT must maintain certification in a way to confirm that the client continues to meet the requirements of the standard for the entire duration of the certification cycle.
If there is any kind of nonconformity or of a situation that could result in the suspension or withdrawal of certification, QCERT has a procedure that stipulates how to conduct proceedings in that case (CERT.3 procedures for suspension and termination of contract).
The level of nonconformity is set at CERT.3 Procedure for suspension and termination of contract.
If there are some insignificant nonconformity which does not seriously distort the scope of certification and the requirements of the subject certification schemes, legislation or in the case of food safety does not distort product safety, in consultation with the client agrees the deadline for the implementation of corrective measures that are sent to the Lead Auditor and Lead Auditor includes them in the report of surveillance audit.
If there is any nonconformity defined by the CERT.3 Procedure of suspension and termination of contract, than the Lead Auditor immediately informs the decision maker to act in accordance with the same procedure, following the steps described in it. The decision maker appoints another competent lead auditor who did not participate in conformity audit, who will perform monitoring of the activities realized during the surveillance audit.
