Step 1: Complete the questionnaire and return to IQS or request an information pack from your local office, which will include the questionnaire for the required service. Complete this questionnaire and return to IQS who will review the information provided and prepare and issue a Proposal of Cost (Quotation) for a three-years Cycle.
Step 2
On acceptance of the quotation, submit the signed and dated Application (which is the final page of the Proposal of Costs) to confirm your intent to utilize the services of IQS. A confirmation of receipt and invoice for the first year’s fees will be posted to you by return.
Step 3
On receipt of a signed Application, a Lead Auditor will be allocated to conduct your audits. He/she will contact you to agree a provisional schedule for the visits, explain the registration process and answer any questions you may have.
Step 4
Once your company’s Procedures and Manuals and other system documentation are complete, these will be reviewed against the requirements of the relevant standard. It may be necessary to carry out this review on-site supported by a limited audit to validate the effectiveness of the documentation prior to the registration audit. This is referred to as a Stage 1 Audit. You will be presented with a formal report of the findings from this audit.
Step 5
On completion of the Stage 1 audit the Lead Auditor will discuss and mutually confirm the registration audit date. This will take account of any time needed to make any adjustments to the documented system resulting from any deficiencies identified during the document review.
Step 6
The main registration audit will commence with an opening meeting. During this meeting the methodology and conduct of the audit will be explained. The itinerary will also be confirmed and an opportunity given for any questions you may have regarding the audit. Who attends the opening meeting is a matter for the client but it is recommended as a minimum the key management personnel responsible for the implementation of the system are in attendance.
Step 7
The registration audit will consist of sampling of objective evidence (records) observation of working processes and discussion with personnel at all levels of your company’s organization. For audits over several days a brief outline of the progress of the audit will be given at the close of each day.
Step 8
Should the Lead Auditor decide at any time during the audit that there is a complete breakdown of the system against the requirements of the standard, a meeting will be called with senior management to advise you of the Team’s findings and agree with you a course of action. It is worth noting however that this is a rare occurrence.
Step 9
On completion of the main registration audit (Stage 2), a closing meeting will be convened to provide an overview of the audit and detail the audit findings and recommendations. Any deficiencies identified will be documented within a Corrective Action Request (CAR). Where these deficiencies are minor in nature, the CAR will be designated as a minor. Where major deficiencies are noted then the CARs will be designated as major. In both cases a written indication of the action to be taken to address the deficiency before the certificate can be issued must be provided to IQS.
Step 10
It is general policy of IQS to produce a written report on site at the time of the main registration audit (where this not possible, a written report shall be prepared within 10 working days of the registration audit). This report will be submitted to IQS for review by the appropriate Certification Manager on behalf of the Independent Governing Council of IQS, whose role it is to ensure that IQS is impartial and fair in its dealings with its customers. The Governing Council reviews reports retrospectively.
Certificate Issue
Once the report has been successfully reviewed a Registration Certificate and Registration Schedule will be issued, usually within 15 working days of completion of the audit. IQS registered company mark is now available to be used by IQS client companies. The mark can be applied to stationery and publicity material that relates to the company’s Scope of Registration. This can include websites, brochures, product cards, walls, exhibition stands, advertisements etc.., and may also cover items such as company flags and vehicles.
Surveillance
Quotations will be provided on the basis of a 12 monthly or 6 monthly surveillance visit routine following the main registration audit and a quotation can be provided accordingly upon request. Should clients fail to effectively maintain their management system on a 12-monthly visit programme or during the main registration audit it is evident that there were sufficient concerns to indicate that more regular visits would be more appropriate, and then IQS would retain the right to impose 6 monthly surveillance visits until confidence is restored.
9.6.3 Re–certification (Triennial) 9.6.3.1 Recertification audit planning
9.6.3.1.1 The purpose of the recertification audit is to confirm the continued conformity and effectiveness of the management system as a whole, and its continued relevance and applicability for the scope of certification (in effect all aspects of the management system will be examined as per stage 2). A recertification audit shall be planned and conducted to
9.6.3.2.4
evaluate the continued fulfilment of all of the requirements of the relevant management system standard or another normative document. This shall be planned and conducted in due time to enable for timely renewal before the certificate expiry date.
The recertification activity includes the review of previous surveillance audit reports and considers the performance of the management system over the most recent certification cycle.
Recertification audit activities may need to have a stage 1 in situations where there have been significant changes to the management system, the organization, or the context in which the management system is operating (e.g. changes to legislation or others as identified).
Recertification audit (Triennial audit)
The recertification audit includes an onsite audit that addresses the following:
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a.) The effectiveness of the management system in its entirety in the light of internal and external changes and its continued relevance and applicability to the scope of certification.
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b.) Demonstrated commitment to maintain the effectiveness and improvement of the management system in order to enhance overall performance.
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c.) The effectiveness of the management system with regard to achieving the certified client’s objectives and the intended results of the respective management system (s).
For any major nonconformity, the International Quality Services IQS define time limits for correction and corrective actions. These actions are implemented and verified prior to the expiration of certification.
When recertification activities are successfully completed prior to the expiry date of the existing certification, the expiry date of the new certification can be based on the expiry date of the existing certification. The issue date on a new certificate shall be on or after the recertification decision.
If the International Quality Services IQS has not completed the recertification audit or the International Quality Services IQS is unable to verify the implementation of corrections and corrective actions for any major nonconformity prior to the expiry date of the certification, then recertification shall not be recommended and the validity of the certification shall not be extended. The client shall be informed and the consequences shall be explained for such case. 
9.6.3.2.5 Following expiration of certification, International Quality Services IQS can restore certification within 6 months provided that the outstanding recertification activities are completed, otherwise at least a stage 2 shall be conducted. The effective date on the certificate shall be on or after the recertification decision and the expiry date shall be based on prior certification cycle.
9.6.4 Special audits
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9.6.4.1 Expanding scope
International Quality Services IQS will, in response to an application for expansion to scope of certificate already granted, undertake a review of the application (contract review) and determine any audit activities necessary to determine whether or not the expansion may be granted, including the requirement to conduct a visit. This may be conducted in conjunction with a surveillance visit.
The certification decision maker will be responsible for granting an extension to scope based upon the information supplied. The process is the same as for initial certification following a stage 2 audit.
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9.6.4.2 Short notice audits
International Quality Services IQS may when necessary conduct short notice audits to investigate complaints, or in response to changes, or as follow up to suspended clients. In such cases:
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a.) International Quality Services IQS will describe and make known in advance to the certified clients the conditions under which these short notice visits are to be conducted, and
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b.) International Quality Services IQS will exercise additional care in the assignment of the audit team because of the lack of opportunity for the client to object to team members.
The report resulting from the short notice audit will be referred to the certification decision maker / competent person for consideration.
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Reference →
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a) QP08
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b) QP09
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c) QP10
Procedure for Marketing, contract and contract review Procedure for audit – planning, conducting and reporting Procedure for Certificate issue, suspension and withdrawal. 
Suspending, withdrawing or reducing the scope of certification
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9.6.5.1 International Quality Services IQS has a policy and procedure for suspension, withdrawal or reduction of the scope of certification, and has specified the subsequent actions to be taken.
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9.6.5.2 International Quality Services IQS suspends certification in cases when, for example:
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The client’s certified management system has persistently or seriously failed to meet the certification requirements, including requirements for the effectiveness of the management system.
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The certified client does not allow surveillance or recertification audits to be conducted at the required frequency or has failed to pay the due fees.
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The certified client has voluntarily requested a suspension
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In order to comply with regulations, including regulations applicable to specific industry
sectors.
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9.6.5.3 Under suspension, the client’s management system certification is temporarily invalid. International Quality Services IQS has enforceable arrangements with its clients to ensure that in case of suspension the client refrains from further promotion of its certification. International Quality Services IQS will make the suspended status of the certification publically accessible and shall take any other measures deemed necessary. In most of the cases the suspension will not normally exceed 6 months. The client will be notified in writing of the decision.
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9.6.5.4 International Quality Services IQS 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 the time established by International Quality Services IQS shall result in withdrawal (deregistration) or reduction of the scope of certification.
A certification decision maker / competent person will review clients under suspension and where withdrawal or reduction in the scope of certification is being considered.
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9.6.5.5 International Quality Services IQS 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 requirements of the standard used for certification. At the client’s request or following recommendations by the auditor, the scope of certification may be reduced to reflect the change of circumstances or activities. Any such reduction shall be in line with the requirements of the standard used for certification.
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9.7.1 International Quality Services IQS has a documented process to receive evaluates and makes decisions on appeals. The appeals handling process will be publicly available.
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9.7.2 Appeal committee of International Quality Services IQS is responsible for all decisions at all levels of the appeals handling process. The International Quality Services IQS ensures that the persons engaged in the appeals handling process are different from those who carried out the audits and made the certification decisions.
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9.7.3 International Quality Services IQS ensures that any submission, investigations and decisions on appeals shall not result in any discriminatory actions against the organization or person making the appeal (appellant).
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9.7.4 The appeals handling process includes at least the following elements and methods;
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a.) The process for receiving, validating and investigating the appeal, and for deciding what actions are to be taken in response to it, taking into account the results of any similar appeals
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b.) Tracking and recording appeals, including actions undertaken to resolve them.
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c.) Ensuring that any appropriate correction and corrective action are taken.
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9.7.5 International Quality Services IQS is responsible for gathering and verifying all necessary information to validate the appeal.
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9.7.6 International Quality Services IQS ensures that receipt of the appeal is acknowledged and will provide the appellant with progress reports and the outcome.
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9.7.7 The decision to be communicated to the appellant shall be made by, or reviewed and approved by, individual(s) not previously involved in the subject of the appeal.
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9.7.8 International Quality Services IQS gives formal notice to the appellant of the end of the appeals handling process.
Reference →a) QP07 Procedure for complaints and appeals
9.8 Complaints
9.8.1 International Quality Services IQS ensures that the complaints handling process is publicly available and IQS is responsible for all decisions at all levels of the complaints handling process.
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9.8.2 International Quality Services IQS ensures the submission; investigation and decision on complaints should not result in any discriminatory actions against the complainant.
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9.8.3 On receipt of a complaint International Quality Services IQS establish and confirm whether the complaint relates to certification activities that it is responsible for and, if so, dealt with it. If the complaint relates to a certified client, then the examination of the complaint considers the effectiveness of the certified management system.
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9.8.4 Any complaint about a certified client shall also be referred by International Quality Services IQS to the certified client in question at an appropriate time.
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9.8.5 International Quality Services IQS has a documented process to receive, evaluate and make decisions on complaints. The process is subject to requirements for confidentiality, as it relates to the complainant and to the subject of the complaint.
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9.8.6 The complaints handling process includes at least the following elements and methods:
a.) The process for receiving, validating, investigating the complaint, and for deciding what actions are to be taken in response to it,
b.) Tracking and recording complaints, including actions undertaken in response to them,
c.) Ensuring that any appropriate correction and corrective actions are taken,
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9.8.7 International Quality Services IQS will ensure that it gathers and verifies all necessary information to validate and process the complaint.
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9.8.8 International Quality Services IQS will wherever possible acknowledge receipt of the complaint and provides the complainant with progress reports on the outcome as a result of complain.
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9.8.9 The decision regarding the complaint is made, reviewed, approved and communicated by individuals not previously involved in the subject of the complaint.
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9.8.10 wherever possible, International Quality Services IQS will give formal notice of the end of the complaints handling process to the complainant.
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9.8.11 International Quality Services IQS will determine, together with the client and the complainant, whether and, if so to what extent, the subject of the complaint and its resolution is made to public.
Reference →a) QP07 Procedure for complaints and appeals
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9.9.1 International Quality Services IQS will maintain records on the audit and other certification activities for all clients, including all organisations that submitted applications, and all organisations audited, certified or with certification suspended or withdrawn.
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9.9.2 Records on certified clients includes followings as minimum:
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a.) Application information and initial, surveillance and recertification audit reports
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b.) Certification agreement
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c.) Justification of the methodology used for sampling
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d.) Justification for auditor time determination (9.1.4)
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e.) Verification of correction and corrective actions
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f.) Records of complaints and appeals, and any subsequent correction or corrective
actions
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g.) committee deliberations and decisions, if applicable;
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h.) Documentation of the certification decisions
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i.) Certification documents, including the scope of certification with respect to product,
process or service, as applicable
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j.) Related records necessary to establish the credibility of the certification, such as
evidence of the competence of auditors and technical experts.
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k.) Audit programmes
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9.9.3 International Quality Services IQS will ensure that it keeps the records on applicants and clients secure to ensure that the information is kept confidential. Records will be transported, transmitted or transferred in a way that ensures that confidentiality is maintained.
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9.9.4 International Quality Services IQS has established a procedure on the retention of records. Records shall be retained for the duration of the current cycle plus one full certification cycle. Retention of records will also adhere to the requirements of legislation or regulation.
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9.9.1 International Quality Services IQS will maintain records on the audit and other certification activities for all clients, including all organisations that submitted applications, and all organisations audited, certified or with certification suspended or withdrawn.
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9.9.2 Records on certified clients includes followings as minimum:
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a.) Application information and initial, surveillance and recertification audit reports
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b.) Certification agreement
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c.) Justification of the methodology used for sampling
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d.) Justification for auditor time determination (9.1.4)
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e.) Verification of correction and corrective actions
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f.) Records of complaints and appeals, and any subsequent correction or corrective
actions
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g.) committee deliberations and decisions, if applicable;
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h.) Documentation of the certification decisions
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i.) Certification documents, including the scope of certification with respect to product,
process or service, as applicable
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j.) Related records necessary to establish the credibility of the certification, such as
evidence of the competence of auditors and technical experts.
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k.) Audit programmes
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9.9.3 International Quality Services IQS will ensure that it keeps the records on applicants and clients secure to ensure that the information is kept confidential. Records will be transported, transmitted or transferred in a way that ensures that confidentiality is maintained.
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9.9.4 International Quality Services IQS has established a procedure on the retention of records. Records shall be retained for the duration of the current cycle plus one full certification cycle. Retention of records will also adhere to the requirements of legislation or regulation.
4.3 Change in Certificate
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4.3.1 The client may request for change in certificate. This may be due to – ➢ Change in ownership
➢ Change in name of the company➢ Change in location➢ Increase or decrease in scope (products, services offered etc.) ➢ Increase or decrease in locations (opening / closing of site etc.)
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4.3.2 Client may request for change in certificate or reduction / expansion in scope to Quality Manager. Quality Manager shall review the request and decide for a special audit if the next audit is not due in near future or if the next audit cannot be proposed. Quality Manager also determines if the changed scope is within accreditation scope of
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4.3.3 In case of change in name of company or location without any change in management, the client shall submit ROC approval for the change. Where the management has changed, the details of M&A and ROC approval shall be submitted along with the request.
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4.3.4 The duration for the special visit shall be decided by Quality Manager and communicated to the client. The lead auditor submits a descriptive report detailing the changes, justification for reduction / expansion of scope and review of the impact of change in the scope (use of logos etc). Where expansion of scope is requested, the compliance to QMS for the respective activities and impact on other processes is verified. In case the special visit is carried out as a part of routine surveillance, the descriptive report is added to the surveillance report.
The report is reviewed as detailed in 4.1 and 40.2 above. A new certificate is issued with the same expiry date on successful completion of the above process. Quality Manager reviews the contract to determine change in contract w.r.t. duration for further visits etc.
4.4 Suspension and withdrawal or cancellation of certificates4.4.1 This instruction covers suspension procedures through withdrawal or cancellation of the
certification certificate and revision of the register of approved firms.
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Grounds for action are brought to the attention of the Quality Manager, who reviews the information and decides whether to proceed. Either way, the he / she issues a letter to the client via registered mail / courier advising them of the details of the grounds for action and the decision on whether to proceed.
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If the Quality Manager decides to proceed, the client must reply to International Quality Services IQS within fourteen days of receipt of letter.
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If the Quality Manager determines that the action or position contained in the client reply is satisfactory, he issues a letter stating this, and mails it to the client via registered mail.
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If actions are required, due dates must be set and Quality Manager must review the actions at those times to ensure that they are effectively completed in order to prevent suspension or cancellation.
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If the client does not reply in fourteen days, if the reply is not satisfactory, or if the actions required are not effectively completed in the allowed time, the Quality Manager determines whether to suspend or cancel certification.
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If the decision is made to cancel certification, the MD is responsible for suspending the client or canceling the client from the Register of Approved Firms, advising the client by registered mail / courier, and publicizing the cancellation, if necessary. MD cannot over-rule the decision made by Director Ops.
4.4.2 The following reasons are considered grounds for suspension or cancellation: Originator Signature Approved by Signature
Procedure for Certificate issue, suspension and withdrawal
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Major non-conformance(s) or effective corrective action not implemented within a specified time period.
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Improper use of the certificate, symbol or logo not remedied to the satisfaction of International Quality Services IQS.
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Client ceases to supply product or service of the certified quality system for an extended period of time.
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Client’s certified management system has persistently fails to meet any of the requirements for certification including requirements for the effectiveness of the management system.
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Client fails to meet financial obligations to International Quality Services IQS.
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Client makes a formal request to withdraw certification.
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Infringement by the client of any contractual conditions between the client and International Quality Services IQS.
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Client is unable or unwilling to ensure conformance to revisions of standards.
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Existence of a serious complaint, or a large number of second- or third-party complaints, which indicate that the quality management system is not being maintained.
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Client does not allow routine surveillance to be conducted at the required frequency
4.4.3 The suspension or cancellation can be initiated if the client does not allow the routine surveillance to be conducted at the required frequency. The routine surveillance is carried out not more than 12 months from the last audit. In case the audit is not done within 12 months (13 months in case of yearly surveillance), the certificate is suspended and a letter is sent to the client requesting him to agree for the audit. In case of a delay up to 3 months (15 months from the last audit), the audit time shall be extended by 50% of the routine surveillance time (at least 1 day). Successful completion of the audit within 15 months shall not impact the certification.
In case the audit is not done within 15 months, the certificate is cancelled and the client shall be considered as a fresh case for certification.
The above is for special conditions like strike, natural calamities, business operations (case to case basis) etc.
4.5 Conditions for Suspension or Cancellation of Client Certification*4.5.1 Subject to actions by the client, the following steps will be taken leading to possible
suspension or cancellation of the client’s certification:
• Unless a reply is received to the letter accompanying notification within 14 days, certification will be suspended and a notification of suspension may be published at the discretion of International Quality Services IQS.
Procedure for Certificate issue, suspension and withdrawal
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The client’s response to the accompanying letter will be reviewed and the proceedings may be put on hold while clarification is sought.
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Where mutually agreed-upon corrective action is to be implemented, a time period for implementation will be specified and a review of the corrective action undertaken at the appointed time. This may be the subject of a special surveillance visit or of review of submitted objective evidence, at the discretion of International Quality Services IQS. Should the corrective action not be considered adequate or not be completed by the appointed time, certification will be automatically suspended.
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In the case of serious circumstances, International Quality Services IQS may invoke suspension during the period pending the implementation of corrective action.
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Where suspension has been invoked, unless otherwise specified, the client must advise International Quality Services IQS every 14 days of the current situation of corrective action. Failure to meet this requirement will result in cancellation of the client’s certification.
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Where suspension has been invoked due to failure to conduct surveillance audit, the client shall give justification for failure and offer suitable date. An additional day shall be added to routine surveillance days. The date shall not be later than 15 months from last audit. Failure to offer for audit within 15 months shall result in cancellation of certification.
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When corrective action to resolve the problem(s) taken by the client has been verified, certification will be resumed. The period of certification will not be revised to cover the period of suspension.
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Cancellation of certification will be invoked where; following suspension of certification, the client fails to respond to International Quality Services IQS communications within the 14-day grace period or fails to implement corrective action within the appointed time period.
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In extreme circumstances, International Quality Services IQS may invoke the cancellation of certification with immediate effect without recourse to initial certification suspension.
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Cancellation of certification will require the client to assume the status of non- approval and return all certification documentation to International Quality Services IQS.
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Use of certification documents, symbols, or logos by the client following certification cancellation may result in legal action being taken against the client.
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Re-approval after certification cancellation will be on the same basis, and follow the same process, as that of initial application for a new client. This will require a full assessment, with optional document review at the discretion of International Quality Services IQS.
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The de-certification will be published as a separate list and will be available at the International Quality Services IQS office and made available upon request.
4.6 Reduction in scope of Certificates issued
International Quality Services IQS shall wherever applicable reduce the scope of certification if during the time of routine surveillance audits / Re approval or Renewal audits it finds that the certified client has continually / seriously failed to meet the certification requirements for those parts of the scope of certification. The reduction in scope will be approved by the Quality Manager