LMS Certification Limited (LMS) is a legal entity incorporated under the Companies Act 1956, in India. The main objective of the company is to offer independent third party certifications to organizations against various International Standards; (e.g. ISO 9001:2015; Quality Management System LMS Management Systems Pvt. Ltd. Is accredited by IAS (International Accreditation Service) for ISO 9001:2015, ISO 14001:2015, OHSAS 18001:2007; ISO 22000:2005; ISO 27001:2013; ISO 20000-1:2011; ISO 50001:2011 and DAC (Dubai Accreditation Centre) For 9001:2015, ISO 14001:2015, OHSAS 18001:2007.
LMS may grant and issue the certificate to the client under the following criterion
As per process flow
On acceptance of the Quotation, the certification agreement is signed between LMS and the client for providing certification of the client’s management system by LMS to the applicable international standard.
LMS shall conduct a stage –1 audit at client site to verify the adequacy of documentation with respect to the requirements of the applicable standard and also to understand and gather further information on the client activities and processes including applicable statutes, to plan for the stage –2 audits. The client shall satisfactorily resolve all the observations raised in document review along with other concerns / issues highlighted during the audit and the same confirmed to LMS before planning the stage –2 audit.
LMS shall submit a formal report to the client.
Note: for Multi site organizations Procedure PM 22 to be followed.
LMS ’s audit team shall visit the client’s premises, as per an agreed plan, to verify effectiveness of the client’s management system in meeting the requirements of the applicable ISO and other international management system standard. LMS shall submit a formal report to the client.
If a nonconformance is detected during audit, a Nonconformity Report shall be issued to the client. For the non-conformities raised during the audit client shall submit the correction and the corrective action (based on root cause) to LMS office within 20 working days from the last day of the audit. LMS shall verify the submitted correction and the corrective action and confirm the acceptance of the same to the client. Client shall take the correction and corrective action within the stipulated date and submit the documentary evidence to LMS to verify the effectiveness of action taken and accordingly to close the non-conformances.
In case of a major non-conformance, the effectiveness of action taken shall be verified at client site by a follow up visit or as communicated by the team leader on the closing day of the audit. This shall be completed within 90 days from the last day of the audit
In case of certification audit (fresh client) the LMS shall cancel the audit under the following conditions.
In case of certified clients LMS shall suspend the certificate under the following conditions
LMS shall recommend certification of the client’s management system, based on the following.
If the client is not recommended for certification LMS shall accordingly inform the client.
LMS shall issue the certificate against the applicable standard to the client provided that,
The Certificate is the property of LMS and shall be produced to LMS as and when requested
The certification will be valid for a period of three years from the date of approval of certification, subject to the satisfactory maintenance of the Management System as confirmed through agreed surveillance audits.
Surveillance audits shall be conducted regularly at the client site at least once in a year to confirm that the Client’s Management System continues to conform to the requirements of the standard to which it is certified.
The first surveillance audit shall take place within twelve months from the last day of the stage –2 audit and failure to comply with this requirement will lead to suspension and subsequently withdrawal of certification.
For the non-conformity raised during the surveillance audit the conditions stipulated in section 3.5 shall be applicable
In the case that a surveillance audit cannot be carried out because the client’s operations are affected owing to factors outside its control, e.g.: employee union strike, natural calamity, etc. the case shall be presented to LMS for a decision.
LMS shall submit a formal report to the client
The purpose of re-certification audit is to confirm the continued conformity and effectiveness of the client’s management system as a whole and its continued relevance and applicability for the scope of certification.
The Re-Certification audit shall include site audit and shall consider the performance of management system over the period of certification and shall also include a review of previous surveillance audit reports. The re-certification audit may have a stage –1 audit in situations where there have been significant changes to the management system, the client or changes to legislation.
LMS shall conduct the re-certification audit at least 60 days in advance to the expiration of certification so that the client has time to implement corrective actions before the expiry of the certification.
For non-conformities raised during the audit, the conditions specified in section 3.4 become applicable. LMS shall submit a formal report to the client.
3.9.1. LMS shall conduct special audits under the following conditions,
LMS shall conduct the re-certification audit at least 60 days in advance to the expiration of certification so that the client has time to implement corrective actions before the expiry of the certification.
For non-conformities raised during the audit, the conditions specified in section 3.4 become applicable. LMS shall submit a formal report to the client.
3.9.2. In case of short notice audits to investigate complaint, response to changes and follow up of suspension, LMS shall select auditors from earlier audits done on the client, because of the lack of opportunity for the client to object to the audit team
3.9.3. For non-conformities raised during the audit the conditions identified in section 3.4 shall become applicable.
3.9.4. LMS shall submit a formal report to the client.
LMS shall inform the client in advance any changes to its requirements for certification and shall subsequently verify that each client complies with this requirement. It shall necessitate a special audit in certain cases.
Client shall inform LMS (LMS) without delay, of matters that may affect the capability of management system to continue to fulfill the requirements of the standard used for certification. These may include changes related to,
LMS shall review the changes and accordingly discuss with client for an early verification to ensure that the capability of the management system continues to fulfill the requirements of the applicable standard.
The Certification is maintained for a period of 3 years under the following conditions,
(a) Suspension
LMS shall suspend certification in cases wherein
The suspension shall be for a period of maximum six 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’s management system certification is temporarily invalid and the client shall discontinue the use of logo or any reference of certification in advertising matter.
(b) Withdrawal
LMS shall withdraw the certificate under the following circumstances.
Upon withdrawal of certification the client ceases to enjoy the certification status and the client shall immediately cease use and distribution of any literature, stationary etc bearing the mark. The artwork supplied and all the original approval certificates are to be returned to STAUNCHLY MANAGEMENT & SYSTEM SERVICES PVT. LTD. (SMS).
(C) Reduction in scope of certification
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. Upon request from any party, LMS shall provide information related to the validity of a given certificate.
The certificates issued by LMS remain the property of LMS and must be returned where requested. The client authorized to use the certificate mark or its logo in advertising matter as per instruction given by LMS at the time of issuing the certificate.
The client, while using the its certification, shall ensure that it,
LMS shall make the following information publicly accessible through its web site and through documents PID-02& PID-03
All other information shall be treated as confidential.
All other information shall be treated as confidential.
LMS shall not give any special consideration to the client in terms of any financial or any concession in the requirements of new management system certification .
Under the management system certified, there is a provision for change in scope for certification and this shall be applicable to the following cases (This however does not apply to the reframing the scope to bring-in more clarity without change in the activity or the process)
The task given to audit team shall include,
(a) Termination-
The client and LMS shall have the right to terminate this agreement at any time giving 30 days of written notice of such termination. The client shall, in case of termination, reimburse to LMS all the dues up to date of termination. LMS if it so wishes, shall also charge a termination fee to be negotiated at the time of termination and this is in addition to the dues that are payable to LMS . In no case such termination fee shall not exceed 15% of the value of the agreement. All reimbursable are payable at the end of said 30 days period.
(b) Confidentiality-
LMS shall not disclose any information about the client or individual to a third party without the written consent of the client or the individual concerned. If LMS is required by law to release confidential information to a third party, the client or the individual concerned shall, unless regulated by law, be notified in advance of the information provided.
(c) Force majeure-
Delay in or failure of performance of either party hereto shall not constitute a default hereunder or give rise to any claim for damage if and to the extent such delay or failure is caused by an act of war, natural disaster, fire, explosion, labor dispute or any other event beyond the control of the party affected and which, by the exercise of reasonable diligence, said party is unable to prevent. The party affected shall notify the other party in writing of the causes and expected duration immediately after the occurrence of any such event
(d) Law & disputes-
The agreement for certification between LMS and client shall be governed by prevailing law in India. Any dispute arising in connection with the agreement, which cannot be settled by private negotiations between the parties, shall be referred to arbitration as per the Indian Arbitration Act, subject to Delhi jurisdiction. The decision of the arbitration shall be binding for the both parties.
(e) Appeals
Client shall appeal to LMS in respect of the following,
(i)Non acceptance of client’s application for certification
(ii)Not granting, suspending, withdrawing or denying of certification
LMS shall deal with the appeals according to its procedure and shall be responsible for all decisions at all levels of the appeal handling process as per LMS procedure PM-13
LMS shall acknowledge the receipt of the appeal and shall provide the client with progress reports and the outcome.
(f) Complaints:
LMS shall investigate the complaint received about the client to decide what action need to be taken and the same shall be communicated to the client at an appropriate time as per LMS procedure PM-13. The identity of the complainant shall not be disclosed.
Complaints about LMS from the client or third party:
Depending on the nature of the complaint, Chairman of the Impartiality Board shall decide to conduct the investigation himself or appoint a complaint panel for each complaint. The complaint panel shall contain at least two members from the LMS ’s auditor panel who have not been part of the audit and also not involved in certification decision or involved in the subject of the complaint. Further, the complainant shall be given an opportunity to present the case to the panel in person if he so desires
The complaint panel shall investigate the complaint by looking into the records and / or talking to the complainant and LMS and shall take a decision taking into account the results of any previous such complaints.
The details of investigation and the correction and the corrective actions identified are recorded in the complaint register. Upon verification on the effectiveness of corrective action taken, LMS shall inform the complainant about the correction and corrective action taken and if the complainant is satisfied with the actions taken the complaint is treated as closed. The final Decision on the resolution of complaint shall be taken by the chairman of the impartiality Board.
Complaints about the certified client from its customers or any other third party:
LMS shall inform the client about the complaint received and ask the client to investigate the complaint and report the findings to LMS within two weeks from the date of receiving the complaint by the client.
If LMS does not receive any response from the client or the action taken by the client is not found effective, LMS shall inform the client accordingly and ask for a special audit at the client site by LMS On confirmation from the client LMS shall conduct a special audit as per LMS procedure, QP-07 and investigate the complaint.
If the complaint is of serious nature LMS shall initiate the special audit directly with the client.
As its policy, LMS shall not disclose the identity of the complainant to the client.
If any action is needed to be taken by the client LMS shall verify the effectiveness of such action by suitable means appropriate to the gravity of the problem.
If the corrective action taken by the client is found effective LMS shall inform the complainant accordingly and the complaint shall then be treated as closed.
LMS shall decide to make public the complaint and its resolution if agreed with client and complainant.
All the complaints received and their status with respect to their resolution are presented in the Management Review and the Impartiality Board meeting.
(g) Fees-
The fees shall be detailed in the quotation submitted by LMS Fees are charged on the basis of applicable rates at the time of submission of the quotation. LMS may revise the fee submitted in the quotation during the Certification period. Clients shall be notified of any change in the fee.
If any special audit is performed on the client as detailed in section 3.9, LMS shall charge an extra fee for such audits to cover the audit charges and other administrative costs and this shall be payable within 7 days from the date of invoice.
Cancellation of Audit shall involve re-imbursement of expenses incurred by LMS , if any.
(h) Access to the client site:
The client, at the request of LMS , shall permit access to their sites and records for LMS ’s auditors and authorized personnel on behalf of the accreditation body to which LMS is accredited. The same shall be communicated to the client in advance.
(I) Agreement Period
The agreement signed comes to force on and remains in the force until the expiry of the certificate, unless withdrawn for justified reasons or withdrawn by either party upon due notice given to the other party.
(j) Liability
LMS liability shall be limited to providing certification of the client’s management system and shall not in any way be responsible for the liabilities arising out of the client’s products or services.