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MANAGEMENT SYSTEM POLICY
OEQ Certification Pvt. Ltd. (OEQ) is committed to offer Management System Certification Services to the highest standard to all organizations without any discrimination, by delivering competent, consistent, impartial and value-added conformity assessments.
We wish to achieve our aims as a major international accredited certification body and recognize that effective management of our customers, our staff, our certification / inspection process and our business results makes good business sense.
We want to achieve this by:-
• Offering certification and inspection services in accordance with ISO 17021-1:2015 that is fair, impartial and objective to all who wish to avail themselves of our service,
• Providing our customers with a professional service that is perceived to add value to their business and satisfy their expectations,
• Practicing sound certification and inspection principles through competent staff.
• Developing an open exchange of information with organizations and the public on
the certification and inspection services that we offer,
• Practicing sound business principles to manage the certification & inspection body and give a return on our share holder’s investment,
• Communicating this policy to our staff, customers and interested parties.
• Continual improvement in building capacity for meeting changing needs of certifications.
Managing Director
OEQ Certification Pvt. Ltd. - OEQ 01/01/2023
STATEMENT OF IMPARTIALITY
OEQ Certification Pvt. Ltd. (OEQ) objects to deliver certification services in the field of third- party Training, auditing and certification. OEQ Certification Pvt. Ltd. brings out its certification activities in an impartial manner and exercises utmost care in handling conflict of interest and ensuring objectivity in certification process and decision making. OEQ Certification Pvt. Ltd. undertakes to maintain freedom in certification and Training activities without influence of any commercial, financial or other interests.
Reference to Certification and Use of Marks
Purpose
The purpose of this procedure is to:
• Define the requirements to be followed by all certified clients regarding usage of marks and reference to certification
• Define which marks to be used by clients certified by OEQ.
Scope
Applicable for all clients certified by OEQ.
Procedure
✒ Director along with EC identifies the certification mark.
✒ Director along with EC has defined a policy for use of certification mark and circulated to all certified Clients through Certification Agreement.
✒ Following are the conditions when the client cannot use certification:
Not used on a product or product packaging seen by the consumer or in any other way that may be interpreted as denoting product conformity
Not to be applied to laboratory test, calibration or inspection reports, as such reports are deemed to be products in this context.
✒ Following are the conditions applicable to all certified clients of OEQ:
• Conforms to the requirements of OEQ when making reference to its certification status in communication media such as the internet, brochures or advertising, or other documents,
• Does not make or permit any misleading statement regarding its certification,
• Does not use or permit the use of a certification document or any part thereof in a misleading manner,
• Upon suspension or withdrawal of its certification, discontinues its use of all advertising matter that contains a reference to certification,
• Amends all advertising matter when the scope of certification has been reduced,
• Does not allow reference to its management system certification to be used in such a way as to imply that OEQ certifies a product (including service) or process,
• Does not imply that the certification applies to activities that are outside the scope of certification, and
• Does not use its certification in such a manner that would bring OEQ and/or certification system into disrepute and lose public trust.
✒ All the points mentioned above are incorporated by the technical Manager in the surveillance audit plan.
✒ Objective evidence is recorded in the surveillance audit report
✒ If any discrepancy is found related to certification and use of mark the following actions may be initiated
• Requests for correction and corrective action,
• Suspension of certificate,
• Withdrawal of certification,
• Publication of the transgression and,
• If necessary, legal action as per Indian Jurisdiction
Definitions & Abbreviations
Top Management : Governing body of the organization made of MD & EC
MD : Managing Director
OEQ : OEQ Certification Pvt. Ltd.
CAR : Corrective Action request.
Reference to Certification and Use of Marks
Purpose
The purpose of this procedure is to:
• Define the requirements for Stage-I & Stage-II audit
• Process steps and reporting
• Criteria for issue of certificate of compliance and conditions
• Maintain records
Scope
Applicable to all the Management systems to be certified by OEQ.
Definitions & Abbreviations
Top Management : Governing body of the organization made of MD & EC
MD : Managing Director
OEQ : OEQ Certification Pvt. Ltd.
CAR : Corrective Action request.
Document Review : Verify adequacy of the management system documents to the relevant contractual standard including any exclusion. Document review will be conducted on site along with Stage I audit or off site
Stage I : Verify the following
• Clients management system documentations
• Evaluate client’s location and site-specific condition
- Are the objectives / targets and policy of company determined?
-Are the conditions of client and site-special conditions adequate for the system(s)?
-List the company's legal regulations that they are obliged to abide by? -List the necessary licenses/permissions?
-Verification of the shifting system including dispersion of total employee numbers per each shift provided by the application. Justification of selected shift that will be audited during Stage-2 Audit
• Verify client’s preparedness for Stage II audit
• Review client status and understanding regarding the requirements of the standard
• Collect information regarding scope, processes, statutory and regulatory requirements, exclusions claimed etc
• Review the allocation of resources/logistics for stage II audit
• Internal audit and Management Review are planned and
performed
• Identify concerns if any in the planning of management system
Stage II : Verify the following:
• Compliance to contractual standards, documented Systems, statutory and regulatory requirements.
• Effective implementation of the planned management systems
• Awareness of the system across the organization
• Acceptance of the management system for Recommendation for issue of certificate of compliance with/without conditions or otherwise.
Follow up Audit : Follow Up audit is recommended when it is considered that on site verification is required to verify the corrective actions for the non-conformances recorded during any base audit. Verify the following:
• Effectiveness of the Corrective action taken for the non-conformances identified during the base assessment.
• Revision to the system documents if any
Procedure
✒ For every client post registration and contract review an audit program is generated by technical Manager.
✒ OEQ follows a three years certification cycle with minimum of following assessments to be covered as a part of every audit program.
• 2 Surveillance Audits (Once every year)
• Re-certification (If client is retained for next cycle)
✒ All Audit Plan and Schedule are approved by any member of EC or Director on sampling basis. The audit program is communicated to the audit client and consensus is taken from them regarding the program
✒ Depending on the scope, Objective, criteria and EA code, number of man-days is selected for the audit client. While selecting number of days IAF Mandatory Document number is considered and as per the Procedure of Audit Time Calculation
✒ Depending on the factors mentioned above Audit team is selected which includes Audit team leader and auditor. If required Technical Expert is also selected if the auditor is not technically competent.
✒ Document review is done by the Audit team leader to check the readiness of Management system and provide the clearance for audit plan. If auditor feels appropriate, he can club document review with stage 1.
✒ Stage-1 Executed as per plan and if required follow up audit is also considered for planning.
✒ Auditor initiates CAR based on findings of Stage 1 audit
✒ Stage-2 Executed as per plan considering following parameters: - Opening Meeting - Plant / Facility Tour - Process wise audit Closing meeting
✒ If the system conforms to the criteria, Auditor generates the conformance part of the report and the audit kit is sent to OEQ for review.
✒ If there are no Major Non conformities during the audit, the following steps will be initiated:
• Auditor to post recommendation for certification in the closing meeting and initiate CAR for all minor NC's.
• Audit client initiates CA based on the findings and submits the CAR's along with supporting document to OEQ for review
• OEQ auditor reviews the CAR and forwards to EC for certification decision
• For Minor NC – There should be 30 Days of Time Period for Sending the CA Report.
✒ If there are Major Non conformities during the audit, the following steps will be initiated:
• Recommend a follow up audit and request for CAR.
• Audit client initiates CA based on the findings and submits the CAR's along with supporting document to OEQ for review.
• OEQ auditor reviews the CAR and recommends clearance for follow up audit.
• For Major NC-There Should be 90 Days of Time Period for Follow up Audit.
✒ Technical Manager to plan for follow up audit in coordination with Audit client and Auditor and the audit kit is sent to OEQ for review.
✒ If the audit kit is complying, EC recommends for certification. Technical Manager to courier the copies of Certificate to the client.
✒ Technical Manager to circulate the surveillance audit plan at least seven days before the audit.
✒ EC/Technical Director allocates auditor as per auditor selection work instruction
✒ Auditor executes the audit as per audit plan and evaluates the conformance against criteria
✒ If the system conforms to the criteria, Auditor generates the conformance part of the report and the audit kit is sent to OEQ for review.
✒ Technical Manager to plan for follow up audit in coordination with Audit client and Auditor and the audit kit is sent to OEQ for review.
✒ If the audit kit is complying, EC recommends for continuation of certification.
✒ Client processed for Re-Certification post two Surveillance Audits
✒ If the major non conformity is not closed, Auditor to recommend Suspension and withdrawal process
Suspension and Withdrawal
Purpose
The purpose of this procedure is to:
• To define the mechanism of OEQ’s granting, refusing, maintaining, renewing, suspending, restoring or withdrawing certification or expanding or reducing the scope of certification
• The following is the policy and procedure for granting, refusing, maintaining, renewing, suspending, restoring or withdrawing certification or expanding or reducing the scope of certification and the subsequent actions by OEQ.
Scope
Applicable to all the Management systems certified by OEQ
Definitions & Abbreviations
Top Management : Governing body of the organization made of MD & EC
MD : Managing Director
OEQ : OEQ Certification Pvt. Ltd.
CAR : Corrective Action request.
Suspension : Condition arising out of a complaint from interested parties including regulatory authorities under which audit has to be planned preliminarily for the purpose of investigation and review planned corrective action
Procedure
✒Granting
• OEQ shall grant the certification to Client only when the Certification Audit Report has to be submitted by the related Auditor and Verification of Clearance of Non-Conformities (either minor or major) & its Objective evidences submitted by the Client & technical review of the Audit Report.
• Responsibility for the Granting of Certification is Technical Director.
✒Refusing
• OEQ will refuse the application of Client in the following cases:
- Due to Unavailability of Competent Auditor
- If related scope not comes under the accreditation scope of certification
• Responsibility of Refusing of Application is Technical Manager/Technical Director
✒Renewing
• OEQ shall renew the certification of client according to the three-year certification cycle for verifying the performance of the Organization:
a) 1st Surveillance Audit – After 11 months from the date of Issuance of Initial Certification
b) 2nd Surveillance Audit – After 11 months from the date of Issuance of 1st Surveillance Certification
c) Re-Certification Audit- After 11 months from the date of issuance of 2nd Surveillance Certification
• Responsibility of Renewing of Certification is Technical Manager/ Technical Director.
✒Suspending
• OEQ shall suspend certification in cases when, for example, a 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(Maximum 30 Days form the Due Date), the certified client does not make the payment for certification despite several reminders, or the certified client has voluntarily requested a suspension. OEQ’ s decision on suspending the certification shall be communicated to the client in writing.
• Under suspension, the client's management system certification is temporarily invalid.
✒Restoring
• OEQ shall restore the certification as per the following
- If the Client submits the Corrective action report within the 30 days of time period in case of minor non-conformity and 90 Days of time period in case of major non-conformity and also in case of major non-conformity there should be a provision of re-visit of auditor at client’s location for the verification of effectiveness of Closure of Non-Conformity.
After Suspension there is 15 Days of time period for the renewing of certification after Verification of Effectiveness of System by the Auditor at the time of Re-Visit, Without Re-Visit no any certification will be restored.
• Responsibility for Renewing of Client is Technical Manager
✒Withdrawing
• OEQ shall restore the suspended certification 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 time established by the OEQ shall result in withdrawal or reduction of the scope of certification.
NOTE: In most cases, the suspension would not exceed six months. OEQ’s decision on withdrawing certification shall be communicated to the client, in writing, through letters
• OEQ has enforceable arrangements with the certified client concerning conditions of withdrawal ensuring upon notice of withdrawal of certification that the client discontinues its use of all advertising matter that contains any reference to a certified status.
✒Reducing
• OEQ shall reduce the client's scope of certification to exclude the parts not meeting the requirements, when the client has persistently or seriously failed to meet the certification requirements of those parts of the scope of certification. Any such reduction shall be in line with the requirements of the standard used for certification. OEQ’s decision on reducing the scope of certification shall be communicated to the client, in writing, through letter.
• Upon request by any party, OEQ shall correctly state the status of certification of a client's
management system as being suspended, withdrawn or reduced.
• The responsibility and authority to execute this procedure lie with the Technical Director, who is also the final authority for granting certification.
✒Expanding
• OEQ shall expand the scope of certification only after the Re-Visit of the Auditor at Client’s Location for the Compliance Verification of extended scope of certification. OEQ’s decision on expanding the scope of certification shall be communicated to the client, in writing, through letter and also there is a provision of issuance of another certification with expanded scope of certification.
• The Responsibility of expanding the scope of certification is Technical Manager/ Technical Director.
Handling Appeals
Purpose
The purpose of this procedure is to:
• The purpose of this procedure is to handle all received appeals from certified clients or open market regarding OEQ certification related activities.
Scope
It is applicable to all the received appeals against OEQ through written or any other verbal source.
Definitions & Abbreviations
Top Management : Governing body of the organization made of MD & EC
MD : Managing Director
OEQ : OEQ CERTIFICATION LLP
MR : Management Representative.
Corrective Action : Action taken to eliminate the root cause of the non conformance.
Procedure
✒ Appeal Request received from following sources through email which is displayed on the website:
• Client under certification process
• Customer of Certified Client
• Consumer Forums Legal authorities
✒ Director accesses the email for received appeals.
✒ Director acknowledges the appellants about receipt of appeal through email.
✒ Director through appropriate sources validates the appeal
✒ If the appeal is not valid, Managing Director communicates back to the appellant with justification.
✒ If the appeal is valid, Managing Director & EC form an ACTION TEAM.
✒ Members will be different from those who carried out audits and made the certification decision.
✒ Action Team to initiate interim Short-term Containment action.
✒ Action team to verify whether similar appeals have been reported in past 3 years.
✒ Action Team to investigate the concern raised in the appeal.
✒ EC to verify the investigation outcomes.
✒ Action Team to propose suitable Corrective action
✒ EC in coordination with Technical Director validates the action proposed and recommends them for implementation.
✒ If action implementation takes long time intermediately status is updated to the appellant by Technical Director.
✒ Action Team establishes elements to track effectiveness of action proposed.
✒ Horizontally deploy those actions in other areas / processes & close the appeal request
✒ Director/EC communicates through a formal notice, about the resolution taken against the appeal to the entity who has initiated this appeal.
✒ The Maximum time for the Resolution of Appeal is 48 Hours i.e., means within 48 Hours of time OEQ will Resolve the Issue.
Handling Clients complaints
Purpose
✒The purpose of this procedure is to handle all received complaints from certified clients or open market regarding OEQ or its certified clients.
✒The procedure defines the requirements for:
• Investigating to determine the root cause for the non conformance.
• Initiating corrective action to eliminate the root cause
• Monitoring the effectiveness of implementation of corrective action.
Maintaining the results of corrective actions taken.
Scope
It is applicable to all the received complaints against OEQ or its certified clients through written or any other verbal source.
Definitions & Abbreviations
Top Management : Governing body of the organization made of MD & EC
MD : Managing Director
OEQ : OEQ Certification Pvt. Ltd.
MR : Management Representative.
CA : Corrective Action
Non conformance : It is the deviation from the defined criteria. It is a result of not complying with the requirements.
Corrective Action : Action taken to eliminate the root cause of the non conformance.
Procedure
✒Complaints received from following sources through email which is displayed on the website:
• Client under certification process
• Customer of Certified Client
✒Technical Director accesses the email for received Complaints
✒Technical Director acknowledges the complainant about receipt of complaint through email.
✒Technical Director through appropriate sources validate the complaint
✒If the complaint is found to be invalid, Technical Director communicates back to the complainant with justification.
✒If the complaint is found to be valid, Technical Director & EC forms an ACTION TEAM.
✒Members of this team will be different from those who carried out audits and made the certification decision
✒If the complaint is not related to OEQ, Technical Director to demand CAR from Certified Client.
✒If the complaint is related to OEQ, Action Team to initiate interim Short-term Containment action.
✒Action Team to investigate the concern raised in the complaint
✒EC to verify the investigation outcomes
✒If the investigation is invalid a re-investigation is recommended
✒If the investigation is valid, Action Team to propose suitable Corrective action
✒EC in coordination with Technical Director validates the action proposed and recommends them for implementation
✒If action implementation takes long time intermediately status is updated to the complaint by Technical Director
✒Action Team establishes elements to track effectiveness of action proposed.
✒The action taken is evaluated for effectiveness.
✒If the action is not effective the proposed action is reviewed.
✒If the action taken is effective, horizontally deploy those actions in other areas / processes & Close the Complaint.
✒Technical Director communicates through a formal notice, about the resolution taken against the complainant to the entity who has initiated this Complaint.
✒The Maximum time for the Resolution of Complaint is 24 Hours i.e. means within 24 Hours of time OEQ will Resolve the Issue.
Non-Conformity closure by Client
Purpose
✒The purpose of this procedure is to guide the clients certified by OEQ, to initiate the corrective action to eliminate the root cause of the nonconformities in order to prevent recurrence.
✒The procedure defines the requirements for:
• Investigating to determine the root cause for the non conformance.
• Initiating corrective action to eliminate the root cause
• Monitoring the effectiveness of implementation of corrective action.
• Maintaining the results of corrective actions taken.
Scope
It is applicable to all Non-Conformities identified during Document review, stage-I, Stage-II, Surveillance audit, and any other special audit.
Definitions & Abbreviations
Top Management : Governing body of the organization made of MD/Director & EC
MD : Managing Director
CAR : Corrective Action Request
OEQ : OEQ Certification Pvt. Ltd.
MR : Management Representative.
CA : Corrective Action
Non conformance : It is the deviation from the defined criteria. It is a result of not complying with the requirements.
Corrective Action : Action taken to eliminate the root cause of the non conformance.
Procedure
✒Non - Conformity Identified by OEQ through following sources:
✒Initiate Corrective Action Request and submit to the Client
✒Define the problem / Non-Conformity
✒Identify Cross Functional Team to Solve the problem.
✒Process Owner to initiate interim Short-term Containment action.
✒Verify effectiveness of Containment action
✒Root Cause analysis (System/ Occurrence/ Escape)
✒Verify the Root cause
✒Process Owner selects and implements Corrective Action
✒Process Owner establishes elements to track effectiveness of C.A.
✒Verify the effectiveness of C.A.
✒Horizontally deploy C.A. in other areas / processes & close the corrective action request
✒Update all other Procedures/Work Instructions.
✒Submit the CAR's along with supporting Documents.
✒Verification of CA by OEQ auditor (Surveillance / Follow up Audit).
✒Close the CAR and forward to OEQ office along with audit report
