• Understand business process of client through client information for certification and submit proposal
• Contract finalization and agreement
• Review management system documents for adequacy to relevant standard
• Conduct management system audit as per applicable standards

Certification process

Application

Information about the applicant organization is gathered through client information for certification (CIC). Details such as scope of certification, man power, statutory & regulatory requirements, exclusions, processes and product information are critical inputs for certification process

Application Review

The submitted CIC is reviewed to ensure the adequacy of the information for submitting the proposal and subsequent provision of certification services. The ability and competence to perform the certification is decided by CQC considering its accreditation scope. CQC shall submit the proposal for certification services for initial assessment and 2 surveillance audits for the 3 years period along with certification agreement and conditions for certification.

Proposal & Agreement

Commercial proposal is submitted to client providing information on number of audit Mondays required for each stage of audit process and professional charges associated. Upon acceptance of terms and condition stated in the proposal and client acceptance to condition for certification, a certification agreement is signed between CQC & Client. Agreement is signed in two originals. One is retained with client and other with CQC.

Initial Certification Assessment

Initial certification Assessment is conducted to evaluate the implemented management system and Decide on the maturity of the system and issue certificate of compliance. Initial assessment is conducted in two stages as per the requirement of ISO 17021.

• Stage I Audit: Conducted to assess the management system planning, validate the information provided in the client information for certification, required logistics and planning for Stage II assessment
• Stage II Audit: Verify compliance of the management systems to the planned arrangements and decide on the recommendation for certification based on assessment output.

Upon signing of the certification agreement, client shall coordinate the date for stage I audit. CQC shall inform client of the stage I audit schedule.

Stage I Audit

Stage 1 is conducted to evaluate site specific conditions, focus on Management System planning and planning for stage II audit, document review to evaluate the adequacy of the document to the applicable standard, allocation of resources for stage II audit, understand the scope/applicable statutory requirements/product standards/processes/evaluate client’s understanding of the applicable standard/aspect-impact study for EMS, hazard-risk analysis for OHSAS and hazard-risk analysis and HACCP study & plans for FSMS.

Assessment report shall be provided to client along with audit observations, if any. Client is responsible to plan for adequate corrective actions for audit observations along with revision to system documents, if required. Client shall communicate the corrective actions to CQC prior to stage II assessment. Output of stage I assessment and nature of observations may have impact on the stage II assessment schedule. Inadequate and ineffective corrective actions for stage I assessment may lead to major non-conformances in stage II assessment.

Stage II audit

Stage II audit is conducted to evaluate effective implementation of the Management System.

• Inform audit team nomination and audit program in advance.
• Conduct opening meeting to explain audit methodology.
• Verify effective implementation of the management System for adequacy to the scope of certification by examining personnel, policies, procedure and records on sample basis against the contractual standard.
• Stage II audit is carried our as per the checklist.
• Record Nonconformance and classify as Major or Minor.
• Conduct closing meeting and explain audit findings, recommendations and revision to scope of certifications if required.
• Provide copy of audit report with recommendations.
• Review the suitability of surveillance frequency and/or man days based on the audit findings.
• Review corrective actions provided by client for all the non-conformance reports by follow up audit or documentation verification.

Report Review and Issue of Certificate of Compliance

• Review of audit reports by CQC certification decision committee. Impartiality shall be maintained during such reviews.
• Resolutions of clarifications in the audit reports if any prior to approval of recommendations.
• Issue certificate of compliance valid for 3 years from the date of approval by certification decision committee.
• Issue instructions on the use of quality marks and accreditation mark

Surveillance Audit

• Conduct surveillance audit at agreed frequency to verify continued implementation of Management System as per the proposal.
• Verify the effectiveness of continuous implementation of Management System and planned processes during each surveillance audit ensuring to cover all processes at least once during each certification cycle.
• Conduct follow-up audit, if required.
• Verify use of Quality mark and accreditation mark as per CQC instructions.
• Provide recommendations on continuation of certification as per audit report provided at the conclusion of each surveillance audit.

 Re-certification

• Conduct re-certification audit prior to certification period for continuation of certificate of compliance and subsequently followed up by Surveillance audits as per the accepted proposal. Re-certification audit shall be completed before the validity of the previous certificate issued.

CQC Ltd is fully aware of the constraints and pressures that an organization can be subjected to. We understand that any formal system and controls adopted must be flexible and responsive to the growth and development of a business.

In the firm belief that the audit and certification process should be conducted in a spirit of partnership and openness with the client, CQC has established a set of guiding principles, which will be applied throughout the relationship:

·         We listen to our clients and respect their views and opinions.

·         We are professional in our actions at all times, whilst remaining flexible and fair in our approach.

·         We never promise something we cannot deliver.

·         We respect and maintain client confidentiality at all times.

We work in partnership with our clients, to promote the concept of continuous improvement in all aspects of their business.

It is a necessary objective of CQC to be completely impartial to deliver certification services which provide the market place with confidence, while maintaining the professionalism and credibility of the audit and certification process. CQC therefore ensure that impartiality is upheld as an integral part of the Audit process. As CQC is a self-financed independent organization, this also ensures that we retain our impartiality.

CQC ’ reputation for excellence is maintained by an internal independent Impartiality Committee, who have been appointed by the directors to monitor all aspects of our business activity. The CQC Impartiality Committee all have many years’ of direct experience in the individual sectors which they represent; thus enabling them to guarantee a wealth of knowledge and integrity for CQC .

CQC shall not accept applications for certification of organizations who report directly to a person or group who also have any type of operational responsibility for CQC.

CQC shall not enter into any partnerships to provide consultancy. However, CQC may provide auditor training when contracted by another body to do so, but such contractual agreement may not be advertised in any manner without prior review and approval of the CQC Office.

The following seven controls shall be implemented and complied with by all audit and certification staff to ensure that this Impartiality Policy is maintained throughout the audit process.

1. Auditors/Technical Experts are prohibited from participating in the Audit of any organization where they have provided consultancy or training (except where this has been professionally registered auditor training), or of any organization where they have any financial or commercial interest, for a minimum period of two years prior to the date of the organization’s Certification Application.
2. Auditors/Technical Experts shall not disclose or discuss any detail, before or after an Audit, to any member of staff other than their direct Management or other members of the team, as required by their Secrecy and Non-Disclosure agreement signed on commencement of employment.
3. Subcontracted Auditors/Technical Experts shall sign a Subcontractor Agreement and a Secrecy and Non-Disclosure Agreement and shall be included on the Office Potential Conflict Listing.
4. CQC ’ directly employed Management and Staff are prohibited from engaging in consultancy activities, which involve the active design, generation or implementation of a Management System.
5. CQC ’ directly employed Management and Staff are required to declare any financial interests or business activities on commencement of, and during, the period of employment. The details of which shall be recorded on the Office Potential Conflict Listing.
6. CQC ’ Management, Staff and Subcontracted Auditors/Technical Experts shall neither suggest nor imply that certification would be simpler, easier or less expensive if specific consultancy or training services were used. CQC ’ Management, Staff and Subcontracted Auditors/Technical Experts shall not offer consultancy or training services to CQC ’ clients to whom they have been assigned an audit; either during or after the audit has been completed.
7. Expertise Certification Process Quality Policy 

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