SUSPENSION AND WITHDRAWAL
Approval: Technical manager
Related to: 17021-1:2015 9.6.5
Suspension is part of certification decision process
Procedure « Complaints and Appeals »
Template « Suspension Control Form »
1 Suspension of certificate
1.1 Reasons for suspension
There are three main reasons for suspension.
- 1. Suspension initiated by AQC is a result of one of these situations:
- There is a persistent failure of the client’s management system to meet the certification requirements – this includes the effectiveness of the management system
- A major nonconformity is raised during a special surveillance, which indicates that insufficient action was taken by the client to solve raised nonconformities.
- Failure to accept a surveillance audit within the specified time period (SV1, within 12 months of certification decision and SV2 annually from SV1).
- Improper use of AQC logo was discovered and has not been resolved effectively by the client after notification by AQC
- The client may request a voluntary suspension because of system change or deterioration
that is expected to result in major nonconformities at the next routine surveillance. AQC shall require necessary corrective actions and continuance of the routine surveillance plan to document the actual situation. After the visit the client has 180 days to solve any nonconformity, a special surveillance shall then be arranged.
- In some cases, the suspension can be a reduction of scope if the standard requirements are not met in some parts of the client management system. This shall be done in line with the standard requirements and following the normal decision and certificate issuance processes
1.2 Suspension process
The decision of suspension shall be made by the TM. The suspension letter documents the decision and shall be sent by registered post to the client.
The certification manager shall inform the reason of the suspension when initiated. Then issue a suspension letter (which shall be sent registered post so receipt can be verified) to the client by the TM.
The period of suspension (which is usually not more than six months – this shall be defined by the CM in the suspension letter) shall be monitored by the TM. Actions taken during the period of suspension (records of telephone calls, meetings etc.) shall be recorded on the form to provide a record of activity.
During the period of suspension, the client shall not promote or advertise its certification registration.
1.3 Suspension lifting
The suspension period shall not exceed six months, after which another Special Surveillance visit shall be arranged to review the situation.
The suspension period shall be properly managed by the certification manager CM, therefore it is expected that there shall be regular communication with the client (which is recorded.) If, it can be demonstrated that the Client’s Management System is in compliance with requirements at this Special Surveillance, following recommendation from the Lead Auditor conducting the Special Surveillance, suspension may be lifted by the Technical Manager and the routine surveillance plan re-instated.
If it has been demonstrated that the client is taking action to clear the nonconformities, but has not completed the effective implementation, it is possible for the Lead Auditor to recommend an extension of three months on the initial suspension period. If, in the opinion of the Lead Auditor conducting the Special Surveillance, the Client has been unwilling or unable to clear the nonconformity, withdrawal of the Certificate shall be recommended to the Technical Manager. This Special Surveillance report is reviewed by the Technical Manager to verify the decision.
Lifting of a suspension is a decision process, therefore all information to support the lifting of a suspension shall be given to the TM for approval.
2 Withdrawal of certificate
Withdrawal of certificate shall be initiated only when it is apparent that corrective action output, including suspension, does not bring compliance with the Management System Certification requirements.
The following procedure shall be followed when a recommendation for withdrawal has been received by the Technical Manager concerning a certified Client: The entire last Certification Cycle history regarding the Client’s certification shall be reviewed by the Technical Manager of the appropriate AQC office.
The Technical Manager shall decide to take one of the following courses of action:
- Allow for extension of suspension for a maximum three months followed by another Special Surveillance (In case the suspension is extended, the procedure above shall be repeated). Only one extension of suspension shall be allowed during the three-year contract with a given Client.
Or
- Approval by the Certification Manager that withdrawal of the certificate is enforced.
The Technical Manager shall make a written notification to the client’s senior executive, with copy to the Director and the Impartiality Committee as to the outcome of this decision. If it is decided that withdrawal shall proceed, Technical Manager shall report decision with all supporting documentation at the next meeting of the Impartiality Committee.
The Technical Manager shall advise the Client’s Senior Executive by registered mail. They shall request the return of all approval certificates issued and accompanying logos. Claims to certification made on company websites, advertising material etc. shall also be removed.
A website check shall be made by the relevant AQC office that this has been done. The client shall be notified of AQC Appeal and Complaint Process and advised that an appeal may be raised within four weeks of the said notification. Records of this activity shall be maintained. The Technical Manager shall notify any other AQC Subsidiary, holding accreditation for a Certificate issued to the Client in question, at this stage that withdrawal of that certificate has been enforced. Contract shall be cancelled.
Where a client has one certificate with multiple standards, based on the reason for withdrawal the certification manager shall decide if the certificate is reissued with the standards not affected by the withdrawal. e.g. Joint ISO 9001/ ISO 14001 certificate, ISO 14001 withdrawn, no impact on ISO 9001 management system, certificate reissued for ISO 9001.
3 Cancellation of the contract
Cancellation of the contract may be self-initiated or enforced by AQC, and shall be undertaken in accordance with the provisions of the contract.
In all cases, every reasonable effort shall be made by AQC to preserve a contract with a complaining client or a client found to be non-compliant, but genuine, in its intent to take necessary corrective actions. If the contract is cancelled at the client’s request, the Technical Manager shall acknowledge cancellation in writing to the client and request that approval certificates and accompanying logo’s be returned.
If the contract is cancelled the clients have shall be advised in writing at the same time as the withdrawal of the certificate. In either of the above cases the client shall be requested to return all certificates and logos. If appeal is upheld and certification is reinstated, the original certificate cycle and validity is maintained.