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Certification Decision

1.0 Purpose

1.1 The purpose of this document is to outline the process to be followed in the decision making process for the initial certification of an organisations quality management system assessed by Fearnley Procter Certification FZCO for its compliance with ISO 9001:2015.

1.2 This document also outlines the process to be followed in the event that a quality management compliant certificate issued by FP Certification FZCO is at risk of suspension, withdrawal or the scope of certification may be reduced or extended.

2.0 Scope

2.1 This procedure applies to all FP Certification FZCO personnel involved in the decision making process surrounding client certification status based on collated evidence of compliance or non-compliance.

2.2 The scope of this procedure addresses the following decision making processes.

2.2.1 Initial Certification: Decision on the awarding of a certificate of compliance by FP Certification FZCO of an organisation’s quality management system to ISO 9001:2015

2.2.2 Suspension: Suspension involves invalidation of a certificate issued by FP Certification FZCO for a limited period of time. Suspension also includes restriction of the client to advertise or promote its certification of management system by Fearnley Procter Certification FZCO.

2.2.3 Withdrawal: Withdrawal involves permanent invalidation of certificate issued by Fearnley Procter Certification FZCO.

2.2.4 Reducing Scope: If FP Certification FZCO determines that the client organisation is unable to fulfil any part of the scope that it holds, through failure to close non-conformities; significant changes to activities and operation of the organisation; failure to comply with the requirements of the standard; or at the client organisations request, then it may reduce the scope of certification that was initially awarded.

2.2.5 Extending Scope: Where a FP Certification FZCO client organisation wishes to extend the scope of their certification to include other or new areas of their business they may do so through a formal application process which may result in an additional assessment to be conducted.

3.0 References

3.1 FP Certification FZCO Quality Manual

3.2 ISO 9001:2015 Quality Management Systems - Requirements

3.3 ISO/IEC 17000:2000 – Vocabulary and General Principles

3.4 ISO IEC 17021:2015 Conformity Assessment – Requirements for Bodies Providing Audit and Certification of Management Systems – Part 1 Requirements

3.5 ISO 19011:2011 Guidelines for Auditing Management Systems

3.6 IAF MD 5:2015 Determination of Audit Time of Quality and Environmental Management Systems

4.0 Definitions

4.1 Suspension: Temporary invalidation of the statement of conformity for all or part of the specified scope of attestation.

4.2 Withdrawal: Revocation, cancellation of the statement of conformity

5.0 Responsibilities

5.1 For initial certification decisions the appointed FP lead auditor shall be responsible for submitting the completed declaration form and client documentation to the FP Certification FZCO Manager to indicate the level of compliance.

5.2 The Certification Manager shall be responsible for making the final unbiased and independent decision as to whether the client receives certification or not.

5.3 The Certification Manager shall be responsible for the partial or complete suspension of a client organisations certificate issued by FP Certification FZCO.

5.4 The Certification Manager shall appoint an appropriate lead auditor to investigate and review evidence where a client organisation may have their certification suspended, withdrawn, scope of certification reduced or scope of certification extended.

5.5 The Certification Manager will submit the complete review and recommendation to the FP impartiality committee for final review.

5.6 The FP Certification Administrator shall be responsible for maintaining all records associated with a client organisation’s certification status.

6.0 Procedure

6.1 Initial Certification Decision

6.1.1 The FP Certification Manager shall review the audit declaration and client file containing all relevant information gathered during the assessment. The information shall include as a minimum,

  • Application review
  • Stage 1 Audit Report
  • Stage 2 Audit Report
  • Non Conformance and Corrective Action Records.

6.1.2 If the FP Certification Manager disagrees with the recommendations of the lead auditor, the FP Certification Manager shall justify and record the reasons for the decision.

6.1.3 If the FP Certification manager formed part of the original audit team or has identified a potential conflict of interest they shall delegate the decision making process to another member of the FP Certification Management Team.

6.1.4 The FP Certification Manager when the decision making process has been delegated shall ensure that the appointed decision maker understands the appropriate management system standard where certification is sought and demonstrates competency to evaluate the audit results and recommendation of the lead auditor.

6.1.5 The FP Certification Manager shall make the decision to determine whether or not the applicant client receives certification based on the following:

  • Confirmation that the audit report is sufficient with respect to certification requirements and scope
  • Correction and corrective actions have been accepted, reviewed and their effectiveness verified in cases of failure to fulfil a requirement of the management system standard or doubt is raised about the ability to achieve intended output
  • Other correction and corrective actions have been reviewed and accepted
  • Any other relevant information, (public information, comments from client on audit report(s).

6.2 Suspension

6.2.1 FP Certification FZCO may take the decision to suspend client certification as a consequence of:

  • The client certified management system has persistently or seriously failed to meet certification requirements, including requirement for the effectiveness of the management system
  • The certified client does not allow surveillance or recertification audit to be conducted at the required frequencies
  • The certified client has voluntarily requested a suspension
  • Violations of the terms of the signed certification agreement:

    - Non-payment of fees
    - Incorrect use of certification mark/logos and reference to certification

  • Client has not successfully submitted a corrective action plan and/or objective evidence within 3 months of audit.
  • Client management system does not reflect the current organization and processes as result of changes, acquisition, diversification etc.
  • Major part of the management system not being implemented.

Under suspension client management system certification is temporarily invalid.

6.2.2 The FP Certification Manager will consider all available evidence, including audit reports, misuse of marks/logos etc. in case it is necessary to suspend certification.

6.2.3 If the source of information detailed in 6.1.1 above came from an external source the FP Certification Manager shall appoint a lead auditor to investigate and review evidence of claim.

6.2.4 The FP Certification manager shall prepare a written report based on the review of the available evidence. If suspension of client certification is decided, the FP Certification Manager shall inform client that the certificate has been suspended, detailing any actions that need to be completed as necessary. The suspension notification shall be communicated to client in writing and delivered by registered mail, return receipt also requested.

6.2.5 The client may appeal against the suspension of certification through the Complaints and Appeals Procedure QAP-011

6.2.6 The suspension period shall not exceed 3 months, after which another special surveillance visit shall be arranged to review the situation. If it can be demonstrated that the client management system is in compliance with requirements, following recommendation from lead auditor conducting special surveillance, suspension may be lifted by the FP certification manager and routine surveillance may be planned.

6.2.7 If it has been demonstrated that the client is taking action to close out the non-conformities but has not completed the effective implementation, following on the recommendation from lead auditor the FP certification manager can recommend three additional months of suspension.

6.2.8 If it is identified by the lead auditor conducting special surveillance, the client is unwilling or unable to clear non-conformities, withdrawal of the certification shall be recommend to the FP Certification Manager by the lead auditor.

6.2.9 The FP Certification Manager shall review the report to verify the recommendations of the lead auditor and can take a decision on withdrawal of certification as described in section 6.3 below.

6.2.10 FP Certification FZCO shall under no circumstances delegate the authority for granting, maintaining, extending, reducing, suspending or withdrawing certification to an external person or body.

6.3 Withdrawal of the Certificate.

6.3.1 A client’s certificate may be withdrawn as a consequence of the following:

  • The client has failed to meet certification requirements of a serious nature as to cause withdrawal without suspending certification first
  • The client has failed to resolve the issue causing a suspension of certification by an agreed upon date
  • The client has terminated the certification activity.
  • 6.3.2 The FP Certification Manager shall review all available evidence when a recommendation for withdrawal is received. The FP Certification Manager shall decide to take one of the following courses of action:
  • The FP Certification Manager can allow for an extension of three more months followed by special surveillance as detailed in paragraph 4.1
  • Approve the recommendation for withdrawal of the certification.

6.3.3 If the withdrawal of the certificate is decided the FP Certification Manager shall prepare a written report and submit the report to impartiality committee members with all supporting documents.

6.3.4 The decision of withdrawal of the certificate shall be formally communicated to the customer in writing including:

  • The termination of use certification mark and any reference certification
  • Return of certificates and copies issued by FP Certification
  • Cancellation of the contract
  • The customer shall be communicated by registered mail, return receipt also requested.

6.4 Changes to the Scope of Certification. Reduction or Extension of Scope

6.4.1 The scope of certification issued to a customer may need to be reduced or extended in response to changes to a customer operations and business.

6.4.2 Request for changes to scope if received from customers shall be reviewed by FP Certification Manager. The information and review shall be recorded in the contract review form.

6.4.3 Extension: In case of extension of scope the FP Certification Manager will take a decision on number of days of on-site surveillance which is required based on FP Certification QAP 009 Determination of Audit Timing and Duration procedure.

6.4.4 Reduced: When the failure of quality management system is related to a specific part of the client organization, the client’s scope of certification shall be reduced to exclude the part of the business that does not meet the requirements. Any such reduction shall be in line with the requirements of the standard used for certification.

6.4.5 A request to reduce the scope of certification shall be reviewed to ensure that it will not affect the frequency and duration of on-site audits.

6.4.5 The need for change may also be identified during on-site audit activity and this shall be recorded on the audit report and any recommendation for change shall reviewed by the FP Certification Manager.

6.4.6 Upon successful changes to the scope of certification, the FP Certification Administrator shall request from the client organisation to return the current certificate. The FP Certification Administrator shall update and issue a replacement certificate with new scope of certification detailed.

7.0 Records

7.1 All records relating to changes in the client organisation’s scope of certification shall be maintained by the FP Certification Administrator in the client file for a minimum 5 years.