QAED — Certification Process (QAED-PD-02)

Overview

This document describes QAED’s procedure for certification of management systems to international standards. It covers stages from enquiry and quotation through Stage-1 and Stage-2 audits, surveillance, recertification, special audits, and actions such as suspension or withdrawal of certification.

Certification Process — Key Stages

1. Enquiries & Quotation: Initial contact and quotation to the client.
2. Certification Agreement: Signed after quotation acceptance between QAED and client.
3. Stage-1 Audit: Documentation review and preparedness check (on-site).
4. Stage-2 Audit: On-site evaluation of implementation and effectiveness.
5. Surveillance Audits: Regular follow-up (at least annually) to maintain confidence in the management system.
6. Recertification Audit: Conducted every three years to renew certification.
7. Special Audits / Re-audits: When needed for complaints, scope extension, changes, or follow-up on suspended clients.

Certification Agreement

On acceptance of the quotation, QAED and the client sign the certification agreement for certification against the applicable international standard.

Stage-1 Audit (Document Review & Site Assessment)

QAED conducts Stage-1 at the client site to verify documentation adequacy, gather information about the client’s activities, and plan Stage-2. The client must resolve observations from document review before Stage-2 is scheduled.

Objectives of Stage-1:

• Review documented management system information.
• Evaluate site-specific conditions and discuss preparedness for Stage-2.
• Confirm client understanding of the standard and identification of key processes and objectives.
• Obtain scope details: sites, processes, equipment, levels of control, statutory/regulatory requirements.
• Agree allocation of resources and details for Stage-2 planning.
• Check internal audits and management review planning and implementation.

Note: QAED may postpone or cancel Stage-2 if Stage-1 reveals significant issues or if changes occur that affect the management system.

Stage-2 Audit (On-site Implementation Check)

The audit team verifies the effectiveness of the management system against the applicable ISO standard and issues a formal report. Stage-2 focuses on implementation and performance.

Stage-2 includes auditing:

• Conformity evidence for all standard requirements.
• Performance monitoring, measurement, reporting versus objectives/targets.
• Conformance with statutory, regulatory and contractual requirements.
• Operational control of processes.
• Internal auditing and management review effectiveness.
• Top management responsibility for policies.

Audit Report and Nonconformity Handling

QAED provides a written audit report. Nonconformities (NCs) require corrective action plans from the client.

• Clients must submit correction and corrective action for NCs within 20 working days from the audit end date.
• QAED reviews submissions and verifies effectiveness; evidence of resolution is recorded.
• Major NCs must be verified on-site by follow-up visit or other agreed means within 90 days.

Cancellation / Suspension conditions: If corrections are not submitted in 20 working days, or major NCs are not closed within 90 days, QAED may cancel the initial certification audit or suspend an existing certificate.

Recommendation & Issue of Certificate

Certification is recommended when:

• Audit reports and team recommendations are accepted by QAED;
• All NCs are corrected and corrective actions accepted;
• Major NCs have been verified and closed or downgraded.

Certificates are issued only after closure of all NCs and remain the property of QAED. Certification validity is 3 years from approval, subject to surveillance audits.

Surveillance Audits

Surveillance audits are on-site but not necessarily full system audits. They maintain confidence that the management system continues to meet requirements. Each surveillance covers:

• Internal audits & management review
• Actions taken on previous NCs
• Complaints handling
• Effectiveness vs objectives/intended results
• Progress on continual improvement activities
• Operational controls and review of changes
• Use of certification marks

Frequency: Surveillance audits are conducted at least once a year. The first surveillance must be within 12 months of the last day of Stage-2.

Recertification Audit

Recertification confirms continued conformity and effectiveness across the whole management system and must be planned to allow timely renewal before expiry.

• Review prior surveillance reports and performance over the certification cycle.
• Recertification may require a Stage-1 if there have been significant changes.
• Recertification includes an on-site audit assessing overall effectiveness and relevance to the scope.

QAED conducts recertification audits at least 60 days before certificate expiry so corrective actions can be implemented in time.

If recertification is not completed or major NCs are not verified before expiry, the certificate will not be extended. Certificates can be restored within 6 months after expiry if outstanding recertification activities are completed; otherwise a Stage-2 will be required.

Special Audits

QAED may perform special (including unannounced) audits for:

• Scope extension requests
• Investigation of complaints
• Follow-up on suspended clients
• Changes to QAED certification requirements

Notice of Changes

By QAED

QAED will inform clients of changes to certification requirements and verify client compliance. Some changes may require a special audit.

By the Client

The client must inform QAED promptly about matters affecting the management system’s ability to meet the standard, including:

• Legal, commercial, or ownership changes
• Organizational or management changes (key personnel)
• Contact address or site changes
• Scope of certified operations
• Major changes to management system and processes

Maintaining Certification

Certification is maintained for 3 years provided:

• Surveillance audits are conducted as planned;
• All previous NCs are closed within agreed timeframes;
• Internal audits and management reviews continue as scheduled;
• Complaint records and remedial actions are maintained;
• All dues to QAED are paid.

Suspension, Withdrawal, or Scope Reduction

Suspension

• Occurs if the certified system persistently or seriously fails to meet requirements;
• If surveillance or recertification audits are not allowed at required frequencies;
• Upon misuse of logo or non-submission of corrective actions;
• Suspensions last up to 6 months and are publicly recorded by QAED. The client must stop using certification references during suspension.

Withdrawal

• Failure to resolve suspension issues within 6 months;
• Major legal complaints or malpractice; QAED losing accreditation; or client request.
• Upon withdrawal the client must return the certificate as directed.

Reduction of Scope

QAED may reduce the certified scope to exclude nonconforming activities, consistent with the certification standard.

Certification & Use of Logo

• Certificates are QAED property and must be returned on request.
• Clients may use the certification mark or logo as instructed by QAED, ensuring no misleading statements.
• Logo use must not imply product certification, be used on product packing, or be applied to business cards.
• Use of accreditation body logos must comply with AB/IAF regulations.

Publicly Accessible Information

QAED will publish on its website:

• Activities of QAED;
• Requirements for certification, audit processes, and certification lifecycle procedures;
• Register of certified clients with certification status;
• Appeal and complaint procedures.

Other information provided to QAED is treated as confidential.

Obligations of the Applicant / Certified Organization

• Continuously fulfill certification requirements for the granted scope.
• Cooperate with QAED and provide access to locations, information, documents, and records.
• Allow accreditation body personnel (e.g., EGAC) access when requested.
• Claim certification only for the granted scope and not use certification to bring QAED into disrepute.
• Inform QAED promptly of significant changes affecting certification (legal status, management, resources, scope).
• Pay fees as determined by QAED.

Obligations of QAED

• Publish certification status information (client name, certificate dates, scope).
• Give due notice of changes to certification requirements and verify client adjustments.