STEP: 1 CLIENT INFORMATION
Client will fills information in an application form which is provide in website and ask to V3 Certification.
Client will fills information in an application form which is provide in website and ask to V3 Certification.
Based upon the information provided, the marketing manger reviews the scopes available with V3 Certification and prepares the quotation with the letter for registration service agreement, which will be sent along with the application for registration.
The subject matter of the agreement between both parties applies to the provision of conditions for granting the certification which confirms that the management system (system in following) conforms to the specified standard or other normative documents for the system. The client is aware of the fact that the system certification is performed on the basis of a dynamic system audit at the given moment. The client is bound to assure that the relevant provisions of this agreement will be met by the organisation whose management system will be certified (organisation in following). V3 Certification will perform the certification according to the application of the client and the price offer accepted by the client.
Once the certification audit contract received, the technical manager plans the audit on the basis on audit time allocation and audit assignment, which is defined as below and raise the audit plan in duplicate, which should narrate the requirements of the relevant management system standard; size and complexity, name, address and scope of the client, date of audit and the constitution of the audit team and send it to the auditors before fifteen working days. After getting the consent from auditor,audit assignment register will be filled and the statement of confidentiality and no conflict of interest will be obtained. The Audit plan shall be sent to the client there after. The operational manager will confirm the date then about the auditor & technical expert detail with the client.
Audit plan shall reach the client before ten working days of audit. The receptionist shall confirm the dates of audit and the constitution of the auditors and mark the same on the office copy of audit plan
The stage one audit is performed by lead auditor at client’s premises, to audit the client's management system documentation. To evaluate the client's location and site-specific conditions and to undertake discussions with the client's personnel to determine the preparedness for 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 quality management system substantiates that the client is ready for the stage 2 audit.
After the stage one audit the auditor shall submit his finding & advise by written report.
Stage two audits is an assessment audit, which is carried out after phase one audit’s inadequacies have been removed and the organization is all set to demonstrate the compliance to the selected international standard. Auditors will plan and conduct the assessment audit.
Surveillance audits are carried out bi-annually/annually to ensure that the certified management system is in compliance and demonstrates continual improvement in terms of Systems, products and resource management.
Based on the audit report, the list of nonconformities and the action plan of the client taking corrective actions V3 Certification will decide autonomously about granting, postponing or the rejection of the certification. This decision is made in writing to the client.
• If the certification is granted, the certificate is issued in the language and for the activities according to the application, and is sent to the client and recorded into the V3 Certification list of certificated organisations & details will be updated on web pages also.
• Certification is valid only for the certificated organisation, i.e. for the system recorded in the certificate applicable for the products / services recorded in the certificate. Any transfer of the certification and the certificate is explicitly forbidden.
• Certification is valid for one year however total validity is 3 years subject to surveillance audits are performed and the certification is not suspended or withdrawn by V3 Certification. • The surveillance audit represents a visit of an auditor, nominated by V3 Certification to ensure the maintaining of the system level. Surveillance audits will be performed every 12 months. However, this number could be changed if it is imposed by any official regulation or based on the recommendation of the auditor.
• V3 Certification can perform follow-up audits out of the regular cycle, if the system amendment is considered by V3 Certification to be the principal or if the scope of the application is changed.
V3 Certification can decide autonomously to postpone its decision on certification while the required corrective actions are implemented by the organisation. After these actions are executed, the auditor will perform a new audit. Based on this, V3 Certification will decide autonomously about granting the certification. The extent of this new audit depends on the extent of the nonconformities and relevant corrective actions.
In case the certification is rejected, the validity of this agreement automatically comes to an end three months after the rejection is announced to the client, if the client does not submit an appeal or will not submit a new application for audit. The costs will be charged by V3 Certification to the client in accordance with the beforehand agreed prices regardless to any appeal.
The certification must be renewed before its expiry. Renewal of the certification requires a total audit. This agreement is the order for certification renewal. Also, a new V3 Certification price offer must be agreed by the client.
Provisions 12.1 to 12.5 are valid for the entire scope of certification or for its part.
Restricting certification is a temporary arrangement, not exceeding a 3 months period and will be applied if the critical nonconformities of the system are identified (e.g. during surveillance audits), or if the certified organisation does not submit adequate corrective actions for identified nonconformities in time. Restricting will be announced to the client and organisation in writing and becomes valid 30 days after it is announced to the client, except if the client appeals within time, according to the procedure given in Clause appeal & claim procedure.
V3 Certification is authorised to suspend the certification in case of detecting (e.g. during the regular, follow-up, or surveillance audit) that the system is not in conformity with the standard or in case the obligations of this agreement including financial obligations are not kept to by the client / organisation. Suspension can come with or without previously restricting the certification. Suspension will be announced to the client and the organisation in writing, and becomes valid 30 days after it is announced to the client, except if the client appeals within time, according to the procedure given in clause 7.
The certification will be withdrawn:
• when the activities subjected to the certification cease to exist e.g. suspension of the activity, bankruptcy etc. (in case of bankruptcy the certification loses its validity on the day the bankruptcy is announced) • In case the agreement is cancelled.
Upon the request of the client at any point of certification cycle, the scope of certification can be extended after the verifications conducted as per the V3 Certification certification process.
Upon the request of the client or during the surveillance audit as identified/verified by the audit team, the scope of certification can be reduced after the verifications conducted as per the V3 Certification certification process.
The certification automatically and legally loses its validity after expiry, unless it is renewed.
In case of restricting the certification, neither the client nor the organisation may either lay claim to the certification or refer to the certification in external contacts (e.g. offer, negotiations about a contract, publication, advertisement) during the time of restriction. In case of suspending, withdrawing or expiry, the client / organisation is obliged to immediately send the certificate to V3 Certification and to stop any use of the certification or any reference to it. Any misuse or misleading of this, will lead to penalties. Besides this, V3 Certification can publicise the suspension and the withdrawal. In case of suspension, withdrawal or expiry, obligations to V3 Certification will legally cease to be. STEP: 13 APPEAL AND CLAIM PROCEDURE The appeal can be received by e-mail, fax, written, verbal. On receipt of an appeal, committee evaluates gathers and verifies all necessary information to validate the appeal. The appeal is recorded, acknowledged and communicated to the appellant by Certification committee. Certification committee carries out investigation of the appeal taking into account results of previous similar appeals. Certification committee submits a report indicating the results of investigation and the actions to be taken as well as the reply to be sent to the client. The final decision is made by Certification committee on the basis of the review of report received from AC committee/Nominee. In case Certification committee was previously involved in the certification decision related to appeal, the decision is taken by another nominated person who was not previously involved in the specific certification audit / decision process. Certification committee tracks and records the actions taken and the appellant is kept informed by Certification committee on the progress till the appeal is resolved. At the end of appeal handling process, formal notice is given to the appellant by Certification committee. Certification committee would ensure that appropriate correction and corrective actions are identified and implemented where required. Certification committee ensures that submission, investigation and decision on appeals shall not result in any discriminatory actions against the appellants. Certification committee submits his report to director technical and the decision will be communicated to the appellant. The progress report shall be send to appellant and request him for the feedback within fifteen days. if the complainant does not come back it means the appeal is solved. This shall be shown and discuss with impartiality committee. Confidentiality shall be maintained throughout.
V3 Certification shall constructively and quickly resolve all Appeals and complaints from the client. In case it is not possible to come to an acceptable solution, or a suggested procedure is not acceptable, the client can appeal according to the following provisions.
In case of dissatisfaction with resolving a complaint or appeal, also the rejection, restriction or suspension the certification, the client can appeal. This appeal has to be presented within 30 days after V3 Certification announces its decision. V3 Certification is bound by the agreement to examine this appeal with the
V3 Certification shall constructively and quickly resolve all Appeals and complaints from the client. In case it is not possible to come to an acceptable solution, or a suggested procedure is not acceptable, the client can appeal according to the following provisions.
On receiving a completed Application Form/Request for Quotation V3 Certification or its local representative will prepare a quotation detailing audit cost which will be forwarded to the client along with a copy of this document. Acceptance of the quotation and Certification Agreement and Rules is shown by signing the Certification Rules and Agreement. On receipt of the signed Certification Rules and Agreement and acceptance of the quote, V3 Certification or its local representative will issue an invoice to the client who in turn will make payment to V3 Certification or its local representative. The audit will then be planned and carried out in accordance with V3 Certification accredited management system processes. The agreement covers all the sites as mentioned above.
The first stage of the audit requires the Auditor to conduct an on-site readiness review of the client’s management system to assess the documentation and if the implementation of the management system is at a level sufficient to progress to the Stage two audit.
When satisfied with the compliance of the documentation and system readiness the Auditor will produce a report and will agree a date with the client for the Stage 2 audit. The Stage 2 audit will then be conducted in accordance with V3 Certification accredited management system processes. If further visits are required, due to non-compliances found, these will be undertaken and the client will be liable for any extra charges incurred. In case of any Major Non Conformity recommendation for certification will be granted based on On-site Follow Up Audit. The audit will be carried out against agreed audit criteria. Once registration has been obtained the client will be under a duty to notify V3 Certification of any changes that significantly affect the registration. V3 Certification may re-audit if necessary (short notice) due to the significant changes or as a result of any complaint, or follow up on suspended clients. If any additional charges are incurred V3 Certification reserves the right to pass these additional charges on to the client.
On completion of the audit the Auditor will submit the report to the V3 Certification Quality Manger who will do the administrative review of file and present the file to V3 Certification’s Certification Committee. The Certification Committee will make the certification decision and authorize the issue of the certificate after the Technical Review of the Client File. The certificate remains the property of V3 Certification and is valid for three years, providing the client maintains the management system to the required standard. All certification activities and the management of impartiality is overseen by an Independent Certification Board. The Issue certificate status will reflect on our website www.v3cert.com
After the issue of a certificate, planned surveillance visits will be carried out by an Auditor at the client's premises at least annually in order to maintain registration. If areas of concern are identified, more visits may be carried out at the discretion of the V3 Certification Certification Pvt. Ltd.. The client agrees to meet the extra costs relating to any additional audits. A triennial re-certification audit is required to maintain registration. The client will notify V3 Certification without delay of any matters incurred that may affect the capability of the management system to fulfill requirements.
This may be applied for in the same way as the initial audit, indicating the increased scope/address change of registration required. The audit will be carried out in the areas not previously audited. If successful, a new certificate indicating the new scope/address change will be issued by V3 Certification. There will be a charge for extensions to scope/address change and the re-issuing of the certificate. Should a certified scope be reduced, the client will amend all advertising matter.
When a certificate has been issued, the client has the right to publish the fact. The relevant logos can be used on stationery relating only to the audited scope of registration and standard. Separate logo rules will be issued by V3 Certification at the time of registration.
V3 Certification will take all necessary steps to ensure that there is no misuse of the logo or the certificate by the client. The client undertakes not to misuse or misrepresent the logo or the certificate in any way.
All fees for audits and annual registration are reviewed annually and are available on request. All fees paid to V3 Certification are strictly nonrefundable. Certification & Surveillance fees are payable in advance and are to maintain registration.
Following a successful audit of a client's management system to the appropriate standards or specifications, the certificate: May be suspended due to:
Following either the suspension or withdrawal of a certificate the client will discontinue its use and return the original to V3 Certification and discontinue claiming accredited management system registration and No use of logo, certificate and other property of V3 Certification after withdraw the certificate in advertising matter or any other source. If find that V3 Certification will bound to take legal action against this use
If for any reason a client disagrees with the Auditor's verdict they are at liberty to lodge an appeal V3 Certification’s Managing Director. All appeals will be held in the presence of an Independent Certification Board sub-committee. The sub-committee will hear evidence from the client's representative and the relevant Auditor. The decision of the Independent Certification Board is final and binding on both the client and V3 Certification. No counter claims will be allowed by either party. No costs, for whatever reason, will be allowed for either party as a result of an appeal. Expenses of the appeal will be met in full by the party who has the decision against them.
The organization shall ensure that the information provided to V3 Certification relevant to its Management System is kept updated and it shall promptly notify V3 Certification of any intended change in its Management system which would significantly affect the effective implementation of its Management System. Such changes are contact address, multiple sites/single location, legal status, scope of representation, organizational structural changes. In the event of any significant change affecting the activity and operation of the organization, V3 Certification may require to conduct a reassessment for further validity of the certification.
If a client has a complaint regarding any employee or associate of V3 Certification, this should be sent in writing to the V3 Certification Managing Director at the Head Office address. If the complaint involves a Managing Director then the complaint is to be addressed to the Impartiality Committee.
The client agrees to make available to V3 Certification or its representative all information pertaining to complaints received by the client from customers, regulators and any other interested parties.
If the registration/ certification scope requirements are changed in V3 Certification:
a. V3 Certification will inform Client about changed requirements, withdraw and suspended accreditation by electronic media/News Letter/Emails or on website within a reasonable period.
b. In case of reducing the certification scope, withdrawal or suspension of the audit scopes by accreditation body (if any) as the result of V3 Certification fault, V3 Certification will arrange audit and certification services from other accredited bodies, at its own cost, during the continuation of this contract
c. In case of changes in V3 Certification registered office or logo, V3 Certification will change the certificate of client with immediate effect to client with amendment of V3 Certification Information. Also keep updation on V3 Certification Website.
d. V3 Certification has ensures that not make or permit any misleading statement regarding our certification & processes.
e. In case of withdraw of V3 Certification’s accreditation; V3 Certification will not use any advertising material that contains about accredited certificates.
f. In case of reduction the scope, will publish on website www.v3cert.com
g. V3 Certification can’t clients to allow use of certification logo & accreditation symbol on their products (Including Service) or process.
h. V3 Certification can’t do certified sites or activities which are not involve in client’s scope.
i. V3 Certification does not use its certification in such a manner that would bring the certification body and/or certification system into disrepute and lose public trust.
j. The V3 Certification will exercise proper control of ownership and will take action to deal with incorrect references to certification status or misleading use of certification documents, marks or audit reports.
Cancellation of audit or surveillance dates by the client within twenty working days of the agreed dates will result in V3 Certification claiming an extra levy equivalent to one man day from the company for each staff day cancelled. Payments are due in accordance with the contract.
Neither V3 Certification nor any of its employees or auditors shall be liable for any loss, expense or damage however so sustained by any company, client or person due to any act whatsoever taken by V3 Certification or its employees or auditors, save to the extent that any attempted exclusion or liability would be contrary to law.
The client will indemnify V3 Certification against any claims or losses suffered by V3 Certification as a result of misuse or misrepresentation by the client of any logo, approval or registration given to the client by V3 Certification under these Certification Agreement & Rules. The client shall inform V3 Certification of changes related to legal status, organizational/management, address & sites, scope, major change in management system and processes. Acceptance of this document means the Organization is ready to follow all the terms and conditions as defined in this document and Accredited Management System Process (V3 Certification-F002), hence this document will be considered as a legally enforceable document to deal with any misconduct.
It is a condition of these Certification Agreement & Rules that all V3 Certification certificated clients should, if requested or not requested, allow Accreditation Board auditors to witness with or without V3 Certification’ staff members & carrying out their audits as well as verify and review the clients’ documents. Failure to allow this could jeopardize the client's registration.
Information about Client shall not be disclosed to a third party without written consent of Client except in case where required by accreditation requirements. Even if the law requires information to be disclosed to a third party, the customer shall be informed of the information provided. In the following cases, the information can be disclosed to a third party without written consent of Client : a. Information that V3 Certification already has before Client provides. b. Information disclosed or expected to be disclosed publicly and regally. c. Information that V3 Certification legally obtained from source other than the Client.
a. Audit of the Client’s managements system shall be performed to verify its conformity to the applied audit standard.
b. Client’s system documents (Manual, Procedure, work instructions and Guidelines, etc.) and relevant records shall be reviewed offsite & onsite during stage-1 adequacy audit, prior to on-site Compliance audit. This primary adequacy audit is done to verify whether the Client’s management system, prima facie meets the requirements of the applicable standards or not. If inadequacies / non conformities are identified in course of the stage-1 audit, these shall be brought to the notice of the Client’s Management in writing. Action for stage-2 compliance audit shall be initiated only after receiving the Client’s commitment that the identified inadequacies/ non conformities have been eliminated.
c. On-site Compliance audit also called stage-2 audit, is performed to assess whether the Client’s practice is in accordance with the established management System or not. If nonconformities are found during on-site audit, V3 Certification audit team shall issue NCR (Non-conformity Report)
d. The Client shall accept the NC Report / Corrective action request, and shall submit in writing its corrective action plan within one week, detailing what action it intends to take, to correct the non conformities and to stop its recurrence. After receiving the corrective action plan from Client the V3 Certification auditor’s shall inform the Client in writing about acceptance / required revision of the submitted corrective action plan. The client shall be informed by the audit team about mode and timings of verification of the effectiveness of the corrective action taken by the client.
e. The Client can make appeal to V3 Certification, regarding the audit team’s findings and decisions. The V3 Certification shall take appropriate decision within 30 working days of receiving such appeal.
f. The Client shall remove all minor nonconformities within 30 days of receiving the V3 Certification auditor’s acceptance / approval of the Corrective action plan submitted by the Client. Similarly the Client shall have to eliminate all major non conformities within 90 days. Evidence of taking corrective action shall be submitted to the V3 Certification.
g. After receiving the evidences V3 Certification shall decide whether the submitted evidences inspire confidence about the effectiveness of the corrective action or not. V3 Certification may chose to revisit the audit site to verify effectiveness of the corrective actions, at Client’s cost.
h. After confirming, on the basis of objective evidences, that the Client’s Management system’s conforms to the audit standard, the V3 Certification audit team shall submit its recommendations for award of Certificate of compliance to the V3 Certification Technical committee.
i. The Technical committee shall review the whole audit process and the submitted audit report, and shall take appropriate decision. V3 Certification shall issue Certificate of conformity only in accordance with the established procedures and regulatory guidelines.
j. The client shall allow V3 Certification auditors, external experts / observers access to all work site, and documented information related to the applied scope. The client agrees to allow the auditors to interview its staff and review all records except accounts, specially the records of complaints received and the action taken on the same.
k. Competent Audit team selection will do by V3 Certification Certification staff as per the client scope and application codes and send the audit plan as well as audit intimation letter to the client via mail or courier. If client need to be change in audit team or audit plan, will confirm to V3 Certification Office within due time with proper justification.
l. If schedule visits will change or delay due to unavoidable reasons or valid reasons, V3 Certification will inform to client about the delay or change in visits.
m. If client need to cancellation the certification process, will inform to V3 Certification within due time or before audit team will go for audit with proper reason and justification.
n. If audits will carried out and client will inform to V3 Certification for cancellation after stage 2 audits. This will not acceptable by V3 Certification in any case. Client will bound to give full payment of V3 Certification or give appeal in V3 Certification’s Impartiality committee
Neither party shall be liable to the other party for nonperformance or delay in performance of any of its obligations under this contract, due to war, natural disaster, epidemic, go-slow, lockout or any other causes reasonably beyond its control.
This agreement is to be governed in all respects by Indian Law and in the event of a dispute the parties agree to submit to the jurisdiction of New Delhi Court.
This agreement shall become effective upon signing and shall continue in full force and effect for a period of three (3) years from the date of certification. This contract can be changed and renewed by agreement between both parties if desired. V3 Certification reserves the right to change these Certification Agreement & Rules without prior notification. Authorised Company Date Signatory Stamp Accepted by V3 Certification Representative.
