To document, establish, implement and maintain the system for granting, refusing, maintaining, extending, reducing, renewing, suspending or restoring suspension and withdrawal of certification against management system standards referenced in section MSM-04 of the Management System Manual as per requirements of ISO/IEC 17021-1:2015, and other applicable international standards for certification bodies providing management system certification.
This procedure is applicable to all audits carried out on the client during a certification cycle.
Scheme Manager
4.1 General
4.1.1 LMS ensures that the person or the group of persons involved in the decision making for granting, refusing, maintaining, extending, reducing, renewing, suspending or restoring suspension and withdrawal of certification against management system standards have not participated in the audit.
4.1.2 LMS ensures that the personnel involved in decision-making as stated above have the competence to evaluate the audit processes and the related recommendations of the audit team. The competence requirements are identified in the document WI-03.
4.1.3 The composition of certification panel who takes decision for granting, refusing, maintaining, extending, reducing, renewing, suspending or restoring suspension and withdrawal of certification against management system standards is identified in document WI-03, certification panel
4.1.4. Before taking a decision, the certification panel shall review the audit reports to confirm that
4.2. Granting the Certification
4.2.1 The final audit reports after initial assessment by Scheme Manager (Procedure: PM-10) are submitted to the certification panel for the technical review and approval
4.2.2In addition to the points stated in section 4.1.4 the review shall also confirm,
4.2.3 Depending on the risk factor attached to each technical area, the composition of the certification panel is addressed in WI-03. The certification panel shall review the audit reports and take appropriate decision. The review comments and the decision are recorded in LMS-FM-028
4.2.4 After the decision to grant certification, arrangement is made for the issue of certificate. Initially a draft certificate is prepared and it’s correctness of entries verified by the Scheme Manager.
4.2.5 The certificate is signed by Managing Director or by Authorized Person and is issued to the client along with other documents identified in WI-05.
4.2.6 If the recommendation made by the assessment team is not accepted by the panel, the client and the audit team are accordingly informed with an explanation. LMS shall further interact with the client to initiate appropriate action to resolve the issue.
4.2.7. Certification Document
The final certificate shall be sent to the client along with conditions for the use of logo and the certification mark, PID-03 and the logos in soft copy.
4.2.8 The Certification document shall include:
4.2.9 Validity period of certification document: The certificate issued against any specific management system standard is valid for three years from date of decision on certification
4.2. (A) Refusing the Certification.
4.3 Maintaining the Certification
he Certification is maintained for a period of 3 years under the following conditions.
4.4. Expanding the Certification Scope
4.4.1. Any request by the client for any expansion of scope is dealt as per procedure, PM-07.
4.4.2. The decision for granting extension is taken as described in sections 4.1 and 4.2 of this procedure.
4.4.3. LMS shall issue a new certificate with amended scope without any change in the certification period as identified in the previous certification document. The new certificate shall contain revision number and date.
4.5. Reducing the Certification
4.5.1. LMS shall decide to reduce the client’s scope of certification by excluding the parts not meeting the requirements, when the client has persistently and seriously failed to meet the certification requirements for those parts of the scope of certification. Such exclusions shall be consistent with the certification standard.
4.5.2. If the reduction in scope is requested by the client it shall be dealt as per procedure –PM-07
4.5.3. The decision for reducing the scope is taken as described in sections 4.1 and 4.2 of the procedure.
4.5.4. LMS shall issue a new certificate with amended scope without any change in the certification period as identified in the previous certification document. The new certificate shall contain revision number and date.
4.6 Renewing the certification or re-certification
4.6.1 LMS shall renew the certification as per procedure for re-certification PM-09
4.6.2. LMS shall make decisions on renewing certification based on the following,
4.6.3 The decision for re-certification is taken as described in sections 4.1 and 4.2 of this procedure.
4.6.4 LMS shall issue a new certificate as described in sections 4.2.8 and 4.2.9 of this procedure
4.7 Suspending, Restoring or Withdrawing Certification
4.7.1 Suspending certification
4.7.1.1 LMS shall suspend certification in cases wherein
4.7.1.2 For re-certification and surveillance audits if the client does not submit the corrective action within 20 workings days from the date of audit, it shall lead to suspension of certification.
4.7.1.3 For certification audit the failure on the part of the client to submit the corrective action within the stipulated time may lead to show cause notice by LMS. If the client does not respond favorably within 03 months the audit shall be treated as cancelled.
4.7.1.4 The suspension shall be for a period of maximum 06 months and the suspended status of the client shall be publicly made available in the register of certified clients being maintained by LMS at its registered office. During this period the client shall discontinue the use of logo or any reference of certification in advertising matter, as directed by LMS, at the time of giving notice of suspension and the same also addressed in PID-02 (Rules and Regulations for Certification) and LMS-FM-060 (Certification Agreement) addressed in.
4.7.1.5 The decision for suspending certification is taken by the certification panel of LMS.
4.7.1.1 Restoring certification
In most cases, the suspension would not exceed six months, after complying with Suspension conditions and Closure Recommendation of CAR’s as per CRB Decision or recomendation/Management Decision Certification Can be Restored.
4.7.2 Withdrawing certification
4.7.2.1 LMS shall withdraw the certificate under the following circumstances.
4.7.2.2 Upon withdrawal of certification the client ceases to enjoy the certification status and shall accordingly return the certificate as directed by LMS at the time of withdrawal notice.
4.7.2.3 The decision for withdrawing certification is taken by the certification panel of LMS.
4.7.3. upon request from any party LMS shall correctly state the status of certification of a client’s management system as being suspended, withdrawn or reduced.
LMS shall recommend certification of the client’s management system, based on the following.