IQ Verify processes for granting, refusing, maintaining, renewing, suspending, restoring or withdrawing certification or expanding or reducing the scope of certification;

CERTIFICATION (GRANT/REFUSE)

On completion of the stage two or the product audit the Auditor issues a report to IQ Verify, along with a recommendation for approval which will be submitted for impartial independent review to consider the audit findings and agree an audit conclusion.

IQ Verify is responsible for assessing sufficient objective evidence upon which to base a certification decision. Based on audit conclusions, IQ Verify makes a decision to grant certification if there is sufficient evidence of conformity, or not to grant certification if there is not sufficient evidence of conformity.

IQ Verify is responsible for, and shall retain authority for, its decision relating to certification, including the granting, refusing, maintaining, renewing, suspending, restoring, or withdrawing certification, or on expanding or reducing the scope of certification.

If certification is granted, the client is included on the IQ Verify directory of certified clients, which will be available to the public via the IQ Verify website. (Please also see publically available information section below) NB: the Directory remains the sole property of IQ Verify.

If certification is suspended, the client's certification is temporarily invalid. IQ Verify has enforceable arrangements with its clients to ensure that in case of suspension the client refrains from further promotion of its certification. IQ Verify will make the suspended status of the certification publicly accessible via the IQ Verify website / directory of certified clients and will take any other measures it deems appropriate.

Each Certificate of Registration defines the Scope of Registration.

The Certificate of Registration is personal to the Company who must not give permission for it to be used by a third party.

Registration is on an annual basis subject to continued compliance with the Standard following a successful annual surveillance visit. Certificates remain the property of IQ Verify Ltd.

Certificates of registration shall not be issued unless IQ Verify Ltd has received payment in full.

SURVEILLANCE / MAINTAINING CERTIFICATION

After the issue of a certificate, annual surveillance visits will be carried out at the client’s premises. The date of the first surveillance audit following initial certification shall not be more than 12 months from the last day of the stage 2 audit or product audit.

Surveillance activities will include on-site audits assessing the certified client's management system's fulfilment of specified requirements with respect to the standard to which the certification is granted.

Other surveillance activities may include

1. enquiries from IQ Verify to the certified client on aspects of certification,
2. reviewing any client's statements with respect to its operations (e.g. promotional material, website),
3. requests to the client to provide documents and records (on paper or electronic media),
4. other means of monitoring the certified client's performance.

Surveillance audits are on-site audits, but are not necessarily full audits, and shall be planned together with the other surveillance activities so that IQ Verify can maintain confidence that the certified client continues to fulfil requirements between recertification audits. The surveillance audit programme shall include, at least

1. internal audits and management review,
2. a review of actions taken on nonconformities identified during the previous audit,
3. treatment of complaints,
4. effectiveness of the management system with regard to achieving the certified client's objectives,
5. progress of planned activities aimed at continual improvement,
6. continuing operational control,
7. review of any changes,
8. use of marks and/or any other reference to certification, and
9. site visits, where appropriate

IQ Verify shall maintain certification based on demonstration that the client continues to satisfy the requirements of the relevant standard. It may maintain a client's certification based on a positive conclusion by the audit team leader without further independent review, provided that:

• for any nonconformity or other situation that may lead to suspension or withdrawal of certification, IQ Verify has a system that requires the audit team leader to report to the certification body the need to initiate a review by appropriately competent personnel, different from those who carried out the audit, to determine whether certification can be maintained, and
• competent personnel of IQ Verify’s surveillance activities, including monitoring the reporting by its auditors, to confirm that the certification activity is operating effectively.

If areas of concern are identified that may require a revisit as recommended by the Lead Auditor the management would review the report / recommendation and if in agreement with it, the client agrees to meet the extra cost relating to any additional assessments required.

RE-CERTIFICATION (Management systems only)

A re-certification audit is planned and conducted to evaluate the continued fulfilment of all of the requirements of the relevant standard every three years to confirm continued conformity and effectiveness of the management system or product and its continued relevance and applicability for the scope of certification. A review of the company's performance during the preceding three year period is also undertaken.

A re-certification audit considers the performance of the management system or product over the period of certification, and includes the review of previous surveillance audit reports. Re-certification audit activities may need to have a stage 1 audit in situations where there have been significant changes to the management system, Product, the client, or the context in which the management system is operating (e.g. changes to legislation).

In the case of multiple sites or certification to multiple management system standards being provided by the certification body, the planning for the audit shall ensure adequate on-site audit coverage to provide confidence in the certification.

A re-certification audit includes an on-site audit that addresses the following:

• the effectiveness of the management system or product in its entirety in the light of internal and external changes and its continued relevance and applicability to the scope of certification;
• demonstrated commitment to maintain the effectiveness and improvement of the management system or product in order to enhance overall performance;
• whether the operation of the certified management system or product contributes to the achievement of the organisation's policy and objectives.

When, during a re-certification audit, instances of nonconformity or lack of evidence of conformity are identified, IQ Verify shall define time limits for correction and corrective actions to be implemented prior to the expiration of certification.

IQ Verify shall make decisions on renewing certification based on the results of the re-certification audit, as well as the results of the review of the system over the period of certification and complaints received from users of certification.

EXTENSION TO SCOPE AUDITS

IQ Verify shall, in response to an application for extension to the scope of a certification already granted, undertake a review of the application and determine any audit activities necessary to decide whether or not the extension may be granted. This may be conducted in conjunction with a surveillance audit.

SUSPENDING, WITHDRAWING OR REDUCING CERTIFICATION

In the event that a situation arises that could suspend, reduce or withdraw certification the Director General Manager (DGM) of IQ Verify should be notified in writing together with supporting documentation. The General Manager will request Administrative staff to keep records of the situation and the Operations Executive informed.

If notification of the situation came from an external source the DGM will appoint an Auditor, as appropriate, to investigate and review evidence. The Client will be notified of the situation with the regards to the appointment of investigator, and invited to reply. A review will be conducted and a recommendation made.

Once a recommendation has been made the DGM will consider the documentation and make a decision based on one of the following:

• continuation of certification under conditions specified by the certification body (e.g. increased surveillance);
• reduction in the scope of certification to remove nonconforming product variants;
• suspension of the certification pending remedial action by the client;
• withdrawal of the certification.

If any of the above decisions require actions to evaluate, review or certificate, the requirements for these actions outlined in ISO 17065 & ISO 17021 shall be fulfilled.

If the DGM decides the certification scope will be reduced then a new certificate will need to be issued, along with IQ Verify making the necessary modifications to formal certification documents, public information (certified client register and website information), authorisation for use of marks, etc., in order to ensure the reduced scope of certification is clearly communicated to the client and clearly specified in certification documentation and public information.

If the DGM decides certification should be terminated, withdrawn or suspended IQ Verify shall make all necessary modifications to formal certification documents, public information (certified client register and website information), authorisation for use of marks, etc., in order to ensure it provides no indication that the certification is still valid.

The Client will be informed of the DGM decision in writing, stating the decision and reasons behind making it. The contractual requirements of returning certification (if required) and conditions for displaying marks and logos will be pointed out as well as the right of appeal through the IQV Appeals Policy and Procedure.

If certification is reinstated after suspension, IQ Verify shall make all necessary modifications to formal certification documents, public information (certified client register and website information), authorisation for use of marks, etc., in order to ensure all appropriate indications exist that the certification is valid.

If a decision to reduce the scope of certification is made as a condition of reinstatement, the certification body shall make all necessary modifications to formal certification documents, public information (certified client register and website information),, authorisation for use of marks, etc., in order to ensure the reduced scope of certification is clearly communicated to the client and clearly specified in certification documentation and public information.

Completed documentation will be reviewed by IQ Verify’s Management Team and the Impartiality Committee where relevant.

IQ Verify will not delegate the authority for granting, maintaining, extending, reducing, suspending or withdrawing certification to an outside person or body. All certification decisions are made by the GM or someone specifically delegated.

SUSPENSION

A certificate may be suspended (usually for a maximum of six months) due to:

• As a result of continued misuse of Registered Company Certification Marks.
• Failure to apply corrective action as a result of non-conformances found at an assessment within the relevant timescale.
• Failure to continue to meet specified requirements of the relevant product standard or regulation.
• The client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system
• Failure to allow surveillance or recertification audits to be conducted at requirements frequencies.
• Amendment of any specification of the service / product of which was representative and to which a Certificate relates.
• Failure to disclose any information to IQ Verify Ltd that may affect IQ Verify’s decision to issue or continue the Certificate.
• Failure to comply with the continuing obligation to supply information.
• Failure to pay any fees due to IQ Verify Ltd under the Contract.
• If IQ Verify deems you have used the Certificate in a manner that may be misleading or that may bring IQ Verify Ltd into disrepute.
• Any other breach of IQ Verify’s Certification Terms and Condition
• The certified client has voluntarily requested a suspension.

The partial or complete suspension of a certificate is the responsibility of the GM on the basis of a recommendation made by a Lead Auditor. The GM shall formulate and communicate the following to the client:

• actions needed to end suspension and restore certification in accordance with the certification scheme;
• any other actions required by the certification scheme.

Any evaluations, reviews or decisions needed to resolve the suspension, or that are required by the certification scheme, shall be completed in accordance with the applicable parts of ISO 17065 OR ISO 17021.

Under suspension the management system certification or product is temporarily invalid and the client is to refrain from further promotion of its certification.

The client may appeal against the suspension of certification through the IQV Appeals Policy and Procedure.

Failure to resolve the suspension issues in the established timescale will result in withdrawal or reduction in scope of the certification.

REDUCING SCOPE

Certification may be reduced to exclude the parts of scope not meeting the requirements, when the client has persistently or seriously failed to meet the certification requirements for those parts of the scope of certification, such as;

• failure to close non- conformities
• significant changes to the activities and operation of the organisation
• failure to comply with the requirements of the standard
• or at the request of the client

Any reduction of scope will be in line with the requirements of the standard used for certification.

IQ Verify will inform the client, in writing, of any decision regarding a reduction in certification, outlining the justifications for the action being taken.

The client may appeal against the reduction in scope through the IQV Appeals Policy and Procedure.

EXTENDING SCOPE

If a client wishes to extend certification IQ Verify must be informed in writing. The GM will then make a decision based either on existing information regarding the client or following an additional assessment of the client, carried out to establish the ability of the client to comply with the requirements of the scope.

The additional assessment will take the form of a surveillance assessment and will focus on sections by the change in scope.

A completed surveillance audit report will provide the GM with the recommendations of the lead auditor appointed for the purpose of reviewing the system.

WITHDRAWAL

A certificate may be withdrawn due to continuing failure to comply with the certification process, or a breach of contract.

Decisions to withdraw a certificate, either partially or in total, will be made by the GM on the basis of a recommendation made by a Lead Auditor.

The client may appeal against the withdrawal of certification through the IQV Appeals Policy and Procedure.

If, following withdrawal of a certificate and subsequent removal from the certified clients lists, the client continues to use the marks in literature, IQ Verify may take appropriate legal action.

Following a reduction or extension in certification or a change in the clients’ activity or operation the audit schedule for the client will be reviewed, and if appropriate, revised.

RE-INSTATEMENT OF CERTIFICATES

Re-instatement, following withdrawal or reduction of the certification, will require reassessment of the company’s systems. A review will be necessary to determine/verify the scope of assessment required.

RE-INSTATEMENT, FOLLOWING SUSPENSION of certification, will be made by the

GM on the basis of a recommendation prepared by a Lead Auditor once corrective action has been taken by the client and verified by IQ Verify; or following a successful appeal process.

USE OF LOGOS AND MARKS

Once certification has been confirmed and issued the certified organisation may display marks to reflect the level of certification achieved. The certification marks terms and conditions form part of the IQV Brand Guidelines document (available upon request).

APPEALS AND DISPUTES

In the event of audit findings or a certification decision not being accepted by the client, reasons for rejection must be provided and the Audit Report returned to the Lead Auditor. If satisfied by the evidence supplied, the Lead Auditor will close out the Audit Report and sign accordingly. However, where the Lead Auditor is not satisfied with the response, the DGM will be informed and with a view to resolving outstanding issue. In cases where agreement cannot be reached, the Lead Auditor will make a report to the DGM to initiate the IQV Appeals Policy and Procedure.