Useful Resources
Certification & Audit Process Flow
- Exchange of information between client and certification body
- Review of application for certification
- Identification of areas of concern and request for additional information (if applicable)
- Development of audit programme
- Proposal for certification and confirmation of audit programme
- Client and certification body engage in formal arrangements for certification
- Select and appoint competent stage 1 team
- Planning for stage 1
- Conduct stage 1
- Resolve stage 1 areas of concern (if applicable)
- Confirm / appoint competent stage 2 team
- Plan for stage 2
- Conduct stage 2
- Resolve stage 2 areas of concern (if applicable)
- Initial certification audit conclusions
- Granting of initial certification and issuance of certification documents
- Confirm or adjust audit programme and appropriate audit follow-up and surveillance activities including frequency and duration. Special audits must also be taken into consideration.
Surveillance audits shall be conducted at least once a calendar year. The date of the first surveillance audit following initial certification shall not be more than 12 months from the certification decision date
- Exchange of information between client and certification body (e.g. change of scope); determine if changes to audit programme required
- Confirm audit programme and communicate to client
- Confirm appoint competent audit team
- Plan for surveillance audit
- Conduct surveillance audit
- Resolve surveillance audit areas of concern (if applicable)
- Surveillance audit conclusions
- Independent review of certification (if required)
Recertification activities to be completed before expiry of certification
- Exchange of information between client and certification body (e.g. change of scope); determine if changes to audit programme required
- Recertification audit planning
- Confirm audit programme and communicate to client
- Confirm appoint competent audit team
- Plan for recertification audit
- Conduct recertification audit(s)
- Resolve recertification audit areas of concern (if applicable)
- Recertification audit conclusions
- Recertification decision
- Granting of recertification and issuance of certification documents
- Confirm or adjust audit programme and appropriate audit follow-up and surveillance activities including frequency and duration. Special audits must also be taken into consideration.
Related Documents
The client may, through the appeals process outlined on the Exquisite Certification and Audit Limited (hereafter referred as “ECA”) webpage, request reconsideration of a decision made by ECA for reasons concerning incompetent or prejudice assessment results, including disagreements pertaining to audit findings, severity classifications, assessment approach, and enforced deadlines.
Notification of the intention to appeal could be supported by relevant facts or data for consideration during the appeals evaluation. Possible methods to receive an appeal could include, but not limited to, the following: ECA website form submission, email communication, verbal notification, commentary provided within customer satisfaction survey. The management team should seek out the following information, where appropriate, in order to assess the nature of the appeal:
- The name of the appellant
- Contact details for the appellant
- The application, audit, certification decision that is the subject of the appeal
- Description of the appeal
Those individuals involved in the evaluation of an appeals case should not comprise of the affected audit cycle assessment team composition. The results of the appeals process will not affect any relationships between the client organization and ECA, especially actions that would be considered preferential or biased in nature.
Once the decision regarding an appeal has been made, no counterclaim by either party in dispute can be executed to amend or change this decision unless additional, relevant supporting documentation is provided for review. Where similar appeals are received, ECA management team will consider the results of historical cases that have determined precedents when handling particular matters. In instances where the appeal has been successful and the certificate is issued or reinstated, no claim can be made against ECA for reimbursement of costs or any other losses incurred as a result of the withholding, suspension, or withdrawal notification.
A complaint is a formal record of a dissatisfaction by any user affected by a certified management system as verified by Exquisite Certification and Audit Limited (hereafter referred as “ECA”). Complaints can be received in various forms, including, but not limited to, formal submissions via the ECA webpage, written form by mail, email communication, and verbal notification.
If ECA is in receipt of a complaint for a certified client regardless of its current status of conformity for any management system(s) under review by ECA, ECA management team will review all information during the development of the initial case set up. ECA management team will serve as the authority on all inbound complaints and follow up handling processes. Additionally, ECA management team will remove any individuals that are considered part of the audit team composition supporting the Client Organization.
ECA management team may determine that a complaint is actually an inquiry to certificate status for a certified management system maintained by ECA, where public look up was not accessible or functioning appropriately via ECA website. This will treat as an inquiry, the complaints handling process is terminated upon response provided to the requesting party.
Where a certified client is the subject of a complaint, a representative of the ECA management team will promptly communicate these actions to the certified client within an appropriate timeframe while maintaining the integrity of any ongoing investigations.
Where information received for a complaint is insufficient for ECA for evaluate, a representative from ECA management team will follow up with the complainant to obtain additional information or clarification, where appropriate.
In extenuating circumstances where the results of a complaint leads to the modification of a conformity decision for a management system, ECA management team may determine the need to publicize these actions. In these cases, ECA will seek input from both the certified client and affected complainant, as appropriate, prior to disseminating information on the basis of confidentiality and local laws governing public disclosure of events.
The complaints handling process will be started within three (3) business day by ECA.
Once the decision regarding a complaint has been made, no counterclaim by either party in dispute can be executed to amend or change the decision unless additional, relevant supporting documentation is provided for investigation. Where similar complaints are received, ECA management team will consider the results of historical cases that have determined precedents when handling particular matters.
Exquisite Certification and Audit Limited’s (hereafter referred as “ECA”) top management is committed to impartiality in its certification activities, and has appointed an independent Safeguarding Impartiality Committee to monitor the impartiality issue.
- ECA shall be responsible for the impartiality of its conformity assessment activities and shall not allow commercial, financial or other pressures to compromise impartiality.
- ECA shall not certify another certification body for its management system.
- ECA shall not offer or provide management system consultancy.
- ECA shall not provide any internal audits to the company.
- ECA shall not outsource audits to a management system consultancy company.
- ECA is a unique and independent certification company. No sister company was noted.
- ECA’s activities shall not be marketed or offered as linked with the activities of management system consultancy company.
- ECA personnel shall not be used by ECA to take part in an audit or other certification activities if they have been involved in management system consultancy towards the client.
- ECA shall take action to respond to any threats to its impartiality arising from the actions of other persons, bodies or company.
- All ECA personnel shall act impartially and shall not allow commercial, financial or other pressures to compromise impartiality.
All personnel of ECA are committed to fully compliance with this declaration. All personnel of ECA including its General Manager, Certification Manager, key management personnel, auditors and technical experts are required to complete and sign the compliance of the confidentiality and nonconflicted and code of conduct document.
Processes for granting, refusing, maintaining of certification, suspending or restoring, or withdrawing of certification, expanding or reducing the scope of certification and cancellation certification.
Granting, refusing, maintaining of certification
Exquisite Certification and Audit Limited (hereafter referred as “ECA”) will make the decisions of granting, refusing, maintaining of certification based on the following criteria:
- Compliance with the certification requirements, including the standard requirements
- Completion of the correction and corrective actions for nonconformities raised in the audit on or before the required completion deadline
- Undertaking the surveillance audit at least every 12 months to maintain the certificate
Suspension of certification
The certified client may be suspended in cases when, for example
- the client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system;
- the certified client does not allow surveillance or recertification audits to be conducted at the required frequencies and timeframe;
- the certified client has voluntarily requested a suspension.
On suspension of the certificate, the client shall immediately cease to make any use of any accreditation or certification marks. The client shall discontinue its use of all media that contains any reference thereto (e.g., business card, letterhead, website, etc.) and returns any certification documents as required by ECA.
ECA will confirm in writing to the client on suspension of certificate.
At the end of the suspension period, an investigation will be carried out to determine whether the indicated conditions for reinstating the certificate have been fulfilled. On fulfilment of the conditions the suspension shall be lifted. If the conditions are not fulfilled the certificate shall be withdrawn.
Upon suspension, the client management system certification is temporarily invalid. The suspended certification shall be restored if the issue that has resulted in the suspension has been resolved. Failure to resolve the issues that have resulted in the suspension in a defined timeline shall result in withdrawal or reduction of the scope of certification.
Withdrawing or restoring certification
Certification may be withdrawn in cases when, for example:
- the client fails to resolve issues that have resulted in the suspension in a defined timeline;
- the client fails to meet the terms of service for Certification (e.g., Failure to resolve major nonconformities, not accepting on-going assessment visits, etc).
In cases of withdrawal:
- the client must return all copies of the certificate to ECA;
- no reimbursement of assessment fees shall be given;
- withdrawal of the certificate shall be published by ECA and notified to the accreditation body.
On withdrawal of the certificate the client shall immediately cease to make any use of any accreditation or certification marks. The client shall discontinue its use of all media that contains any reference thereto (e.g., business card, letterhead, website, etc.) and returns any certification documents as required by ECA.
The decision to restore certification shall be recorded after any issues have been addressed and verified within the deadline. The certification can be restored to valid after ECA’s internal approval.
Expanding or Reducing the scope of certification
Requests for changes to scopes received from clients shall be reviewed by ECA and, in the case of an extension to scope; a decision will be taken on whether any additional on-site audit activity is required before a revised certificate is issued.
The scope of certification may be reduced in cases when, for example:
- the client ceases to provide part of the services or products within the scope of certification;
- the client fails to resolve the issues that have resulted in the suspension in a defined timeline shall result in reduction of the scope of certification if it affects only parts of the certification scope.
The need for change may also be identified during on-site audit activity and this shall be recorded and any recommendation for change will be subject to confirmation.
Upon successful changes to scopes of certification, the current certificate shall be requested for return by the client, the certificate shall be updated with the new scope of certification.
Cancellation of certification
A certificate will be cancelled if the certified client advises ECA in writing that it does not wish to renew the certificate or no longer offers the products, or the client does not timely commence application for renewal.
In case of cancellation:
- the client must return all copies of the certificate to ECA;
- no reimbursement of assessment fees shall be given;
- cancellation of the certificate shall be published by ECA and notified to the accreditation body.
Transfer Certificate Procedure
The certification transfer process is moving management system certificate from one certification body to another, and it requires a review of certain elements before execution. The transfer process requires the following:
- ECA’s assessment of the issuing certification body’s accreditation and on the previous work performed by the issuing certification body;
- The review of reports and other external audit-related documents; and
- Confirmation of the following:
- the issuing certification body is active and in good standing;
- the issuing certification body is accredited for the management system certificate that was issued; and
- the issuing certification body performed their assessments in accordance with the related normative standards.
The transfer cannot be accepted by ECA if the previous issuer has not performed previous audits in conformance with the related normative standards.
If there are open nonconformities at the time of the transfer process, ECA is required to assess the efforts in closing those nonconformities.
As part of the assessment, ECA is also required to communicate with the initial issuer regarding the intent of the client to transfer, confirmation that the existing certificate is active and in good standing, and the continuation of the audit program of the receiving certification body. The initial issuer must formally respond before the transfer process can continue.
Once the transfer certification process is done, the original issuance date and the current expiration date for an existing certificate are maintained, and there is no disruption to the certification term.
Scope Extension Procedure
Extension of scope (including technological and geographical extension) is acceptable under the certification requirements. The audit for extension of certification can be performed in surveillance audit or re-certification audit.
Extension to scope, who wish to add to or change their range of activities, either technological or geographical. This process may cover a number of changes to an existing scope, including:
- Addition / removal of activities
- Addition / removal of locations
The audit for extension of certification shall be performed by ECA in the schedule agreed by the client and ECA (e.g., surveillance audit or re-certification audit).
Following successful audit and closure of any non-conformity raised during the audit, the extension to scope will be granted and changed to the certification. A certificate with the extended scope will be issued to the client.