1.1 INTRODUCTION:

International standards ISO 9001, 14001 & 45001 series stipulate the minimum requirements for a documented QUALITY / ENVIRONMENTAL / OHSMS management system to be established and a Certificate of Compliance to these standards has now become an international criterion of assessing a company’s credibility and capability to consistently meet quality standards to the customer satisfaction.

The purpose of this description of the AAPL Quality/Environmental /OHSAS Systems Certification Scheme is to provide relevant information regarding AAPL services for conducting our impartial and competent assessment of a company’s management system for issue and maintenance of an accredited certification ISO 9001, ISO 14001 & OHSAS 18001 Standard

The accredited certification scheme operated by AAPL is a third party system certification scheme with an objective of giving recognition to companies who have effectively implemented and operate a verifiable documented system. It covers the following scope:-

• Preliminary meeting to establish scope of registration and the applicable standard.
• Conduct of independent audits for certification·
• Issue of accredited certifications as per accredited scope sectors
• Surveillance visits for verification of conformance of quality systems to certification standard.
• The organization need to develop a system in respect to ISO 9001:2015/ ISO 14001:2015/ ISO 45001:2018 as per the applicable management system for which they need the certification.

❓ Enquiry and Fee Quotation:-
Upon receipt of an enquiry, the AAPL questionnaire is required to be completed by the applicant company. Based upon the information provided, a detailed offer is submitted for client’s consideration and acceptance.

❓ Application:-
Upon confirmation of acceptance of AAPL fee offer and the receipt of client’s application together with the application fee, the process of certification commences with scheduling of audits on mutually agreeable dates.

❓ Extension of Certification:-
Whenever the clients applies for the extension of Scope/ addition of sites, facilities etc. the same is verified during a special visit or at the next surveillance audit and based upon the recommendations of Lead Assessor and verification of audit reports a decision is taken for issue of amended certification for scope extension.

❓ Documentation Review and stage 1 Audit
For most management system, it is recommended that at least part of the stage-I audit be carried out at the client promises in order to achieve the objectives. An onsite review of the client’s optional quality/environmental management/OHSMS systems documentation is conducted to verify that the requirements of the applicable ISO standard are satisfactorily addressed. A report is issued listing any non-conformity against which corrective actions requires to be taken as per a corrective action plan to be submitted. The degree of implementation of the quality systems is also assessed to agree on a tentative stage 2 audit schedules. In particular, the records of the Internal Audit, Corrective Actions and the Management Reviews shall be verified to assess the level of Implementation of the Organization’s Quality System, so as to ensure that the Quality / environmental / OHSMS management System is mature before the Stage-II assessment is scheduled to be conducted. The evaluation may be carried out during Stage-I by the Organization’s. Management and risk analysis is carried out before proceeding to the next stage of audit.

INCASE OF IMS AUDIT:
The audit team as a whole shall satisfy the competence requirements for each technical area as relevant for each certification scheme covered by the scope of the combined audit. In cases where the audit team leader does not have the competence required to audit all management system standards covered by the combined audit, individual team members shall be appointed as the `lead’ for each applicable standard and be responsible for any related recommendations that fall outside the competence of the audit team leader.’

To determine the audit time for a combined audit covering two or more management system standards, e.g. A + B + C, AAPL shall calculate the required audit time for each management system standard separately (applying all relevant factors provided for by the applicable accreditation guidance and / or scheme rules for each standard).

calculate the starting point T for the duration of the combined audit by adding the sum of the individual parts (e.g. T = A + B + C). where appropriate, adjust the starting point figure by taking into account factors that may reduce (see annex 1) or increase the time required for the combined audit. These factors should include but not be limited to:

Stage 2 Audit:
Following the Stage-I audit, AAPL will conduct a Stage-II certification audit to assess conformity with the requirements of the applicable ISO standard. A report categorizing any non conformities or weakness in the implementation of the documented quality systems are issued. Corrective Actions and Follow-up.

The company is required to submit a Corrective Action Plan addressing the non-conformities within a given time frame. Corrective actions against all major conformities require to be verified during a follow up visit and / or through provision of objective evidence of effective implementation, prior to confirmation of certification. Observations are also recorded relating to various elements of the quality / environmental/ OHSMS systems which do not significantly affect the operation of the system but do nevertheless indicate a problem which may need correction.

🍎 In the event of major non conformities being identified (Category ‘A’) in respect of the implementation of any element of the quality system or several minor non-conformities being recorded against any one element which renders the system deficient but operable, a recommendation for certification is made subject to a CAP being submitted within 2 weeks and corrective actions being verified onsite and closed out through a special visit within 8 weeks of the assessment date, before certification is granted or as decided by CEO.

🍎 Where the audit has revealed only minor non conformities (Category ‘B’) which need to be addressed through corrective actions, the certification may be recommended subject to the CAP ( Corrective Action Plan) being submitted by the company within 2 weeks together with objective evidences of the corrective actions taken. The corrective actions plan is required to be closed out upon physical verification of the satisfactory implementation at the first subsequent audit.

🍎 In the case of where “opportunities for improvement: (Category ‘C’) having been recorded during the certification audit, the actions, as applicable, are observed for effectiveness at the subsequent audit visit.

Upon completion of the review of all audit documentation and corrective actions being closed out, AAPL will issue the Certificate of Registration to the company.

Certificates issued by AAPL remain valid for three years subject to the conformance of the quality / environmental / OHSMS systems to the certification standards being verified and found satisfactory during periodical surveillance audits, though certificate will be expired after 01 year from the initial registration date and new certificate with extended validity will be issued after each surveillance audit. After three years from initial registration date, Certificate of Registration is renewed for a further term of three years after the conduction of a satisfactory reassessment.

AAPL Certifications are issued subject to the maintenance and continual conformance of the documented quality / environmental / OHSMS systems to the certification standards. Surveillance audits shall be conducted at periodic interact at least once a year during the three year term of validity of the Certificate followed by a re- assessment of the quality systems for renewal of the certification prior to its expiry. The frequency of the surveillance audits has to be at least once in 12 months from the date of closing meeting of the certification audit i.e., two surveillance audits to be conducted during the three year period of validity at annual interact. In case of nine monthly surveillance audit 3 surveillance audits will be conducted and in case of six monthly surveillance audit 5 surveillance audits will be conducted. The nine monthly and six monthly surveillance audits will be conducted in case the organization demands the same during the singing of the contract.

A special visit may require to be made to the certificate company’s premises in the following circumstances:

- AAPL has reason to believe that the documented systems are inadequately maintained with major deficiencies in operation.

- In case of any change in the management system standard due to which the certification requirements are going to be changed, client will be intimated in advance for the transition audit and audit will be scheduled after the consent of the organization. But the audit has to be done before the defined timeframe.

- upon intimation by the certified company, of any significant change in the certified documented system. Including extension of scope visit will decide, whether the extension of scope sector can be granted or not. This may be clubed with the surveillance audit this surveillance audit program shall include, at least

(A) Internal audit and management review
(B) A review of actions taken on NC identified during the previous audit.
(C) Treatment of complaint
(D) Effectiveness of the management system w.r.t. achieving the certified client objectives.
(E) Progress of planned activities aimed at continual improvement
(F) Continuing operational control
(G) Review of any changes
(H) Use of marks and or any other reference to certification

As a result of a complaint, by any party, any adverse publicity or contravention of the conditions of certification or other information received and suspended client. The special visits will be undertaken after due notice has been given and details agreed between AAPL and visits will be undertaken after due notice has been given and details agreed between the certified company. Due care is take of the following.

👉 Information is given to the client in advance regarding the re-source of the visit with details.
👉 Due care is taken to select the auditor to Safeguard Lack of Reason to client for objection to the auditor.

AAPL accredited certification scheme endeavors to provide a prompt, competent and impartial service to its clients. In case, an applicant, a certified company or any other interested party wishes to make a complaint in respect of the operation of AAPL certification scheme or appeal against a decision of the AAPL which is considered to be unfair and prejudicial to the interests of the complainant, AAPL will consider the complaint or appeal in accordance with Section P5 and P6 the AAPL Procedures Manual, a copy of which can be provided upon request.

The use of Logo is governed by the AAPL conditions and instructions applicable to The use of Accreditation and certification marks by certified companies. In case of lab certification, a separate instruction will be issued to the clients.

All assessments undertaken by AAPL are conducted by auditors qualified to the requirements of ISO 19011 with expertise matched with the nature of an applicant company’s activities under assessment. The company is advised in advance of the composition of the Audit Team and the schedule of audit for confirmation. The Team Leader is responsible for planning the audit in accordance with the requirements, assigning auditing functions to his team members and reporting, with authority to take final decisions in respect of the interpretation of the applicable requirements of the standard as well as makes recommendation regarding grant of certification based upon a review of the level of compliance of the systems in operation.

The applicant company is responsible for providing AAPL Auditors, an access to its relevant facilities and records, appointing a responsible person to co-ordinate the arrangements for audit and to provide all resources required by the audit team for performing their duties.

All audits are conducted in complete confidentiality of the company’s activities. AAPL office staff and auditing personnel are bound by a confidentiality agreement to safeguard the client’s classified information.

AAPL does not offer or undertake internal audits to its clients as well as to other parties. Hence there is no chance of providing certification to any such party.

AAPL does not outsource audits to a Management System consulting organization to avoid any threat to impartiality.

AAPL does not market its activities as linked with the activities of the organization that provides management system consultancy.

AAPL shall take action to respond to any threats to its impartiality arising from the Actions of other persons, bodies or organizations.

AAPL and any part of it do not offer or provide internal audits to its certified clients. AAPL does not certify any management system on which it provided internal audits within two years following the end of the internal audits.

At any time of the Certification cycle the Accreditation Boards auditor may accompany the AAPL Audit Team for the evaluation of the AAPL Auditor’s. Also the accreditation Board auditors may visit personally without any representative from AAPL in both the cases organization is liable to allow them to audit there system and verify the documents related to Management System but under prior and timely information.

1.1 INTRODUCTION:

International standards ISO 9001, 14001 & 45001 series stipulate the minimum requirements for a documented QUALITY / ENVIRONMENTAL / OHSMS management system to be established and a Certificate of Compliance to these standards has now become an international criterion of assessing a company’s credibility and capability to consistently meet quality standards to the customer satisfaction.

The purpose of this description of the AAPL Quality/Environmental /OHSAS Systems Certification Scheme is to provide relevant information regarding AAPL services for conducting our impartial and competent assessment of a company’s management system for issue and maintenance of an accredited certification ISO 9001, ISO 14001 & OHSAS 18001 Standard

The accredited certification scheme operated by AAPL is a third party system certification scheme with an objective of giving recognition to companies who have effectively implemented and operate a verifiable documented system. It covers the following scope:-

• Preliminary meeting to establish scope of registration and the applicable standard.
• Conduct of independent audits for certification·
• Issue of accredited certifications as per accredited scope sectors
• Surveillance visits for verification of conformance of quality systems to certification standard.
• The organization need to develop a system in respect to ISO 9001:2015/ ISO 14001:2015/ ISO 45001:2018 as per the applicable management system for which they need the certification.

❓ Enquiry and Fee Quotation:-
Upon receipt of an enquiry, the AAPL questionnaire is required to be completed by the applicant company. Based upon the information provided, a detailed offer is submitted for client’s consideration and acceptance.

❓ Application:-
Upon confirmation of acceptance of AAPL fee offer and the receipt of client’s application together with the application fee, the process of certification commences with scheduling of audits on mutually agreeable dates.

❓ Extension of Certification:-
Whenever the clients applies for the extension of Scope/ addition of sites, facilities etc. the same is verified during a special visit or at the next surveillance audit and based upon the recommendations of Lead Assessor and verification of audit reports a decision is taken for issue of amended certification for scope extension.

❓ Documentation Review and stage 1 Audit
For most management system, it is recommended that at least part of the stage-I audit be carried out at the client promises in order to achieve the objectives. An onsite review of the client’s optional quality/environmental management/OHSMS systems documentation is conducted to verify that the requirements of the applicable ISO standard are satisfactorily addressed. A report is issued listing any non-conformity against which corrective actions requires to be taken as per a corrective action plan to be submitted. The degree of implementation of the quality systems is also assessed to agree on a tentative stage 2 audit schedules. In particular, the records of the Internal Audit, Corrective Actions and the Management Reviews shall be verified to assess the level of Implementation of the Organization’s Quality System, so as to ensure that the Quality / environmental / OHSMS management System is mature before the Stage-II assessment is scheduled to be conducted. The evaluation may be carried out during Stage-I by the Organization’s. Management and risk analysis is carried out before proceeding to the next stage of audit.

INCASE OF IMS AUDIT:
The audit team as a whole shall satisfy the competence requirements for each technical area as relevant for each certification scheme covered by the scope of the combined audit. In cases where the audit team leader does not have the competence required to audit all management system standards covered by the combined audit, individual team members shall be appointed as the `lead’ for each applicable standard and be responsible for any related recommendations that fall outside the competence of the audit team leader.’

To determine the audit time for a combined audit covering two or more management system standards, e.g. A + B + C, AAPL shall calculate the required audit time for each management system standard separately (applying all relevant factors provided for by the applicable accreditation guidance and / or scheme rules for each standard).

calculate the starting point T for the duration of the combined audit by adding the sum of the individual parts (e.g. T = A + B + C). where appropriate, adjust the starting point figure by taking into account factors that may reduce (see annex 1) or increase the time required for the combined audit. These factors should include but not be limited to:

Stage 2 Audit:
Following the Stage-I audit, AAPL will conduct a Stage-II certification audit to assess conformity with the requirements of the applicable ISO standard. A report categorizing any non conformities or weakness in the implementation of the documented quality systems are issued. Corrective Actions and Follow-up.

The company is required to submit a Corrective Action Plan addressing the non-conformities within a given time frame. Corrective actions against all major conformities require to be verified during a follow up visit and / or through provision of objective evidence of effective implementation, prior to confirmation of certification. Observations are also recorded relating to various elements of the quality / environmental/ OHSMS systems which do not significantly affect the operation of the system but do nevertheless indicate a problem which may need correction.

🍎 In the event of major non conformities being identified (Category ‘A’) in respect of the implementation of any element of the quality system or several minor non-conformities being recorded against any one element which renders the system deficient but operable, a recommendation for certification is made subject to a CAP being submitted within 2 weeks and corrective actions being verified onsite and closed out through a special visit within 8 weeks of the assessment date, before certification is granted or as decided by CEO.

🍎 Where the audit has revealed only minor non conformities (Category ‘B’) which need to be addressed through corrective actions, the certification may be recommended subject to the CAP ( Corrective Action Plan) being submitted by the company within 2 weeks together with objective evidences of the corrective actions taken. The corrective actions plan is required to be closed out upon physical verification of the satisfactory implementation at the first subsequent audit.

🍎 In the case of where “opportunities for improvement: (Category ‘C’) having been recorded during the certification audit, the actions, as applicable, are observed for effectiveness at the subsequent audit visit.

Upon completion of the review of all audit documentation and corrective actions being closed out, AAPL will issue the Certificate of Registration to the company.

Certificates issued by AAPL remain valid for three years subject to the conformance of the quality / environmental / OHSMS systems to the certification standards being verified and found satisfactory during periodical surveillance audits, though certificate will be expired after 01 year from the initial registration date and new certificate with extended validity will be issued after each surveillance audit. After three years from initial registration date, Certificate of Registration is renewed for a further term of three years after the conduction of a satisfactory reassessment.

AAPL Certifications are issued subject to the maintenance and continual conformance of the documented quality / environmental / OHSMS systems to the certification standards. Surveillance audits shall be conducted at periodic interact at least once a year during the three year term of validity of the Certificate followed by a re- assessment of the quality systems for renewal of the certification prior to its expiry. The frequency of the surveillance audits has to be at least once in 12 months from the date of closing meeting of the certification audit i.e., two surveillance audits to be conducted during the three year period of validity at annual interact. In case of nine monthly surveillance audit 3 surveillance audits will be conducted and in case of six monthly surveillance audit 5 surveillance audits will be conducted. The nine monthly and six monthly surveillance audits will be conducted in case the organization demands the same during the singing of the contract.

A special visit may require to be made to the certificate company’s premises in the following circumstances:

- AAPL has reason to believe that the documented systems are inadequately maintained with major deficiencies in operation.

- In case of any change in the management system standard due to which the certification requirements are going to be changed, client will be intimated in advance for the transition audit and audit will be scheduled after the consent of the organization. But the audit has to be done before the defined timeframe.

- upon intimation by the certified company, of any significant change in the certified documented system. Including extension of scope visit will decide, whether the extension of scope sector can be granted or not. This may be clubed with the surveillance audit this surveillance audit program shall include, at least

(A) Internal audit and management review
(B) A review of actions taken on NC identified during the previous audit.
(C) Treatment of complaint
(D) Effectiveness of the management system w.r.t. achieving the certified client objectives.
(E) Progress of planned activities aimed at continual improvement
(F) Continuing operational control
(G) Review of any changes
(H) Use of marks and or any other reference to certification

As a result of a complaint, by any party, any adverse publicity or contravention of the conditions of certification or other information received and suspended client. The special visits will be undertaken after due notice has been given and details agreed between AAPL and visits will be undertaken after due notice has been given and details agreed between the certified company. Due care is take of the following.

👉 Information is given to the client in advance regarding the re-source of the visit with details.
👉 Due care is taken to select the auditor to Safeguard Lack of Reason to client for objection to the auditor.

AAPL accredited certification scheme endeavors to provide a prompt, competent and impartial service to its clients. In case, an applicant, a certified company or any other interested party wishes to make a complaint in respect of the operation of AAPL certification scheme or appeal against a decision of the AAPL which is considered to be unfair and prejudicial to the interests of the complainant, AAPL will consider the complaint or appeal in accordance with Section P5 and P6 the AAPL Procedures Manual, a copy of which can be provided upon request.

The use of Logo is governed by the AAPL conditions and instructions applicable to The use of Accreditation and certification marks by certified companies. In case of lab certification, a separate instruction will be issued to the clients.

All assessments undertaken by AAPL are conducted by auditors qualified to the requirements of ISO 19011 with expertise matched with the nature of an applicant company’s activities under assessment. The company is advised in advance of the composition of the Audit Team and the schedule of audit for confirmation. The Team Leader is responsible for planning the audit in accordance with the requirements, assigning auditing functions to his team members and reporting, with authority to take final decisions in respect of the interpretation of the applicable requirements of the standard as well as makes recommendation regarding grant of certification based upon a review of the level of compliance of the systems in operation.

The applicant company is responsible for providing AAPL Auditors, an access to its relevant facilities and records, appointing a responsible person to co-ordinate the arrangements for audit and to provide all resources required by the audit team for performing their duties.

All audits are conducted in complete confidentiality of the company’s activities. AAPL office staff and auditing personnel are bound by a confidentiality agreement to safeguard the client’s classified information.

AAPL does not offer or undertake internal audits to its clients as well as to other parties. Hence there is no chance of providing certification to any such party.

AAPL does not outsource audits to a Management System consulting organization to avoid any threat to impartiality.

AAPL does not market its activities as linked with the activities of the organization that provides management system consultancy.

AAPL shall take action to respond to any threats to its impartiality arising from the Actions of other persons, bodies or organizations.

AAPL and any part of it do not offer or provide internal audits to its certified clients. AAPL does not certify any management system on which it provided internal audits within two years following the end of the internal audits.

At any time of the Certification cycle the Accreditation Boards auditor may accompany the AAPL Audit Team for the evaluation of the AAPL Auditor’s. Also the accreditation Board auditors may visit personally without any representative from AAPL in both the cases organization is liable to allow them to audit there system and verify the documents related to Management System but under prior and timely information.

This document is mandatory for the consistent application of the relevant clauses of ISO/IEC 17021-1 for audits of quality and environmental management systems. All clauses of ISO/IEC 17021-1 continue to apply and this document does not supersede any of the requirements in that standard. Although personnel numbers (permanent, temporary and part time) of the client are used as the starting point when considering the determination of audit time of management systems, this is not the sole consideration and account shall be taken of other factors affecting the audit time, including all those listed in ISO/IEC 17021-1.

1.1 Management Systems Certification scheme Conformity assessment system related to management systems to which the same specified requirements, specific rules and processes apply.

1.2 Client organization
Entity or defined part of an entity operating a management system.

1.3 Permanent site
Location (physical or virtual) where a client organization (1.2) performs work or provides a service on a continuing basis.

1.4 Virtual Site
Virtual location where a client organization performs work or provides a service using an on-line environment allowing persons irrespective of physical locations to execute processes.

Note 1: A virtual site cannot be considered where the processes must be executed in a physical environment, e.g., warehousing, manufacturing, physical testing laboratories, installation or repairs to physical products. Note 2: A virtual site (e.g. company intranet) is considered a single site for the calculation of audit time.

1.5 Temporary site
Location (physical or virtual) where a client organization (1.2) performs specific work or provides a service for a finite period of time and which is not intended to become a permanent site (1.3).

1.6 Audit time
Time needed to plan and accomplish a complete and effective audit of the client organization’s management system (ISO IEC 17021-1).

1.7 Duration of management system certification audits
Part of audit time (1.6) spent conducting audit activities from the opening meeting to the closing meeting, inclusive.

👉 conducting the opening meeting
👉 performing document review while conducting the audit
👉 communicating during the audit
👉 assigning roles and responsibilities of guides and observers
👉 collecting and verifying information
👉 generating audit findings
👉 preparing audit conclusions
👉 conducting the closing meeting

1.8 Audit Day
The duration of an audit day is normally 8 hours and may or may not include a lunch break depending upon local legislation.

1.9 Effective Number of Personnel
The effective number of personnel consists of all personnel involved within the scope of certification including those working on each shift. When included within the scope of certification, it shall also include non-permanent (e.g. contractors) and part time personnel. Refer to 2.3 for calculation of effective number of personnel.

1.10 Risk Category (QMS only)
For QMS, the provisions in this document are based on three categories, dependant on the risks posed by failure of the product or service of the client organization. These categories can be considered as high, medium or low risk. High risk activities (e.g. nuclear, medical, pharmaceutical, food, construction) normally require more audit time. Medium risk activities (e.g., simple manufacturing) are likely to require the average time to carry out an effective audit and low risk activities less time. (See Annex A, Table QMS 2)

1.11 Complexity Category (EMS only)
For environmental management systems, the provisions specified in this document are based on five primary complexity categories of the nature, number and gravity of the environmental aspects of an organization that fundamentally affect the audit time. (See Annex B, Table EMS 2)

2.1 Audit Time
2.1.1
The audit time for all types of audits includes the total time on-site at a client's location (physical or virtual) (1.7) and time spent off-site carrying out planning, document review, interacting with client personnel and report writing.

2.1.2
The duration of a management system certification audit (1.7) should typically not be less than 80% of the audit time calculated following the methodology in Section 3. This applies to initial, surveillance and recertification audits.

2.1.3
Travel (en-route or between sites) and any breaks are not included in the on-site duration of management system certification audits.

2.2 Audit Day(s)
2.2.1
Tables QMS 1 and EMS 1 present the average audit time of management systems certification audits calculated in audit days. National adjustments on the number of days may be needed to comply with local legislation for travel, lunch breaks and working hours, to achieve the same total number of days of auditing from Tables QMS 1 and EMS 1.

2.2.2
The number of audit days allocated shall not be reduced at the planning stages by programming longer hours per working day. Consideration can be made to allow efficient auditing of shift activities which may require additional hours in a working day.

2.2.3
If after the calculation the result is a decimal number, the number of days should be adjusted to the nearest half day (e.g.: 5.3 audit days becomes 5.5 audit days, 5.2 audit days becomes 5 audit days).

2.2.4
To help ensure the effectiveness of the audit, AAPL should also consider the composition and size of the audit team (e.g. ½ day with 2 auditors may not be as effective as a one day audit with 1 auditor or 1 audit day with one lead auditor and one technical expert is more effective than 1 auditor day without the technical expert).

2.3 Calculation of the Effective Number of Personnel
2.2.4
To help ensure the effectiveness of the audit, AAPL should also consider the composition and size of the audit team (e.g. ½ day with 2 auditors may not be as effective as a one day audit with 1 auditor or 1 audit day with one lead auditor and one technical expert is more effective than 1 auditor day without the technical expert).

All certificates issued by AAPL remain the property of AAPL and must be returned when requested. Certificate holders must ensure that no incorrect references to AAPL certification system or misleading use of certificates or marks occur.

The AAPL Registered Company’s Logo is granted under licence to those client companies who have obtained certification of their Quality, Environmental And Occupational Health & safety Management Systems by AAPL after successful assessment to the applicable standard of ISO 9001, 14001 & ISO 45001 series.

Where the AAPL Registration Certificate has been issued under accreditation board, Accreditation body’s logo is too used in combination with the AAPL Registered companies’ logo, as applicable.

Ambiente Assessment Pvt. Ltd. (AAPL) Registered Company’s Logo can be applied to stationery and promotional materials that relates to the company’s Scope of Registration. This can include brochures, product cards, advertisements etc. The mark shall not be used on laboratory test reports, calibration and inspection certificates and not applied directly to the product or packaging, whether secondary or primary or in such a manner as to imply that any individual product has been approved. Where the logo is used, the Certificate Registration number must also be clearly indicated.

The logo may only be reproduced in a single colour which is unlimited, but where practical should conform to existing preprinted stationery, brochures, letterheads or other promotional materials of the Company.

The Accreditation Logo may only be used in combination with the AAPL Registered company’s logo and is limited to stationery, literature and other written promotional materials. It cannot be applied to the product or packaging whether secondary or primary. Where the organization (the client) wishes to use any statement instead of using the symbols of the certification & accreditation bodies, the statement shall in no way imply that the product, process or service is certified by this means. The statement shall include reference to:

• Identification (e.g. brand or name) of the certified client;
• The type of management system (e.g. quality, environment) and the applicable standard;
• The certification body issuing the certificate.

AAPL understands the importance of impartiality in carrying out our management system certification activities manages any conflict of interests and ensures the objectivity of our management system certification activities.

👉 Do not pursue or plan to pursue business activities, which could jeopardize impartiality.
👉 Do not advertise certification/auditing services, which could affect impartiality.
👉 Do not employ personnel that may affect impartiality.
👉 Do not cater to clients where there would be a breach of impartiality.
👉 Prohibits our external auditors from participating in the audit of any organization to which they have done consultancy or training(other than professionally registered auditor training), or they had any financial or commercial interest for a minimum period of 2 years prior to the date of application of the organization for registration.
👉 Ensures that when allocated a particular contract, Audit staff shall not disclose or discuss any detail; before or after the audit; to any member of staff other than their direct Management or other members of the team, as required by the “Code of conduct, confidentiality, conflict of interests and intellectual property agreement” and “Secrecy and non disclosure agreement” signed on the commencement of employment.
👉 Ensures that all subcontracted audit staff or technical experts used by AAPL shall sign a Confidentiality Agreement & conflict of interests.
👉 Prohibits our own employees from engaging in consultancy, which may involve the active design, generation or implementation of a Management System.
👉 Ensures that all directly employed Management and Staff are required to declare all financial interests or business activities on commencement and during the period of employment.
👉 Ensures that its staff or subcontractors shall not imply that certification would be simpler, easier or less expensive if their consultancy or training services were used. In addition to this, subcontract staff cannot offer consultancy or training services to AAPL’s clients that they have been assigned to audit, during or after the assigned task has been completed.
👉 Is responsible for, and retains absolute authority for decisions relating to certification, including the granting, maintaining, renewing, extending, reducing, suspending and withdrawal of certification.
👉 Include in our annual internal audit to review both virtual and potential risks to AAPL’s impartiality which will be reviewed by the AAPL top management in association with impartiality committee member.
Issue: 01.    Date – 02.01.2023    Rev – 00, date - nil,

As an employee/associate (full time, part-time or contracted) of AAPL, I pledge to uphold professional principles in the fulfillment of my responsibilities. In promoting high standards of ethical conduct, I shall:

a. 👉 Act professionally and ethically and impartially.
b. 👉 Strive to increase the competence and prestige of my profession.
c. 👉 Assist those in my employment or under my supervision in developing their management, professional and auditing skills.
d. 👉 Not represent conflicting or competing interests and shall disclose to any client or employer any relationship that may influence my judgment.
e. 👉 Not to discuss or disclose or transmit any information relating to an audit or client unless required by law or authorized in writing by the client and AAPL.
f. 👉 Not to accept any inducement, commission, gift or any other benefit from any client organizations, their employees or any interested party or knowingly allow colleagues to do so;
g. 👉 Be free from any commercial, financial and other pressures, which might influence the results of the certification process; i shall disclose my, financial problems, if any, to AAPL.
h. 👉 Make fair presentations of audit findings based on verifiable audit evidence and not intentionally communicate false or misleading information that may compromise the integrity of any audit or the certification process;
i. 👉 Not misrepresent own or any other individual’s qualification, competence, or experience and not undertake auditing work beyond my qualifications.

The management of Ambiente Assessment Pvt. Ltd. (AAPL) understands that one of the main and primary objectives of management system certification is to gain confidence from the public and related interested parties that an organization certified or verified by AAPL fulfills specified requirements. In this context, to retain the value of certifications, AAPL maintains the below policy for suspension, withdrawal or reduction of the scope of certification, which specifies the subsequent actions by AAPL Certifications.

Suspension and Withdrawal
AAPL shall suspend certification in the following cases:
1.) The client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system;
2.) The certified client does not allow surveillance or recertification audits to be conducted at the required frequencies;
3.) The certified client has voluntarily requested a suspension.

Apart from above mentioned cases additional specific reasons for suspension by AAPL include:

1.) Major nonconformities that could result in nonconforming product
2.) Failure to close a major NCR in the required time frame
3.) TFailure to meet the conditions of the certification agreement

Time
Suspension would not exceed six (6) months. Suspension leading to Withdrawal is used when a client has failed to meet the terms of the Certification Agreement. If more than six months’ elapse, the certificate shall be withdrawn or scope shall be reduced, except in emergency situations due to force majeure.

Reduction of Scope
In lieu of Suspension, AAPL may reduce the scope of client certification to exclude the parts not meeting the requirements, when the certified client has persistently or seriously failed to meet the certification requirements for those parts of the scope of certification. Any such reduction shall be in line with the requirements of the standard used for certification.

Restoration
AAPL will restore the suspended certification if the issue that has resulted in the suspension has been resolved. Technical reviewer of AAPL decides if the client has taken sufficient action to resolve the reason for suspension in sufficient time.

Failure to resolve the issues that have resulted in the suspension in a time established by AAPL will result in withdrawal or reduction of the scope of certification.

In all cases of suspension, withdrawal or reduction in scope and in restoration, the status will be updated in the AAPL client database and in the website in not more than fourteen (14) working days.

AAPL makes the agreement about certification withdrawal with the client to ensure the client shall stop using every promotion material related to certification when the client is informed the notification of withdrawal.

AAPL makes publicly accessible information about the certification status of a given certification through its website: www.qcsiso.com. On demand by the person concerned, the status of the client’s management system is clarified whether it is under suspension, withdrawal or reduction condition.

Annexure 34.      Issue No. 01     Issue Date – 02.01.2023     Rev No. - 00     Rev. Date – NIL

1. INTRODUCTION: An applicant, a certified company or any interested party may appeal against a decision of AAPL. The matter is referred to the Appeals Panel whose decision is final.

2.1 ADMINISTRATION OF APPEALS:
In the event of an applicant, Certified Company or any interested party, wishing to contest any decision of AAPL, he shall, within 14 days after having been officially informed of such a decision, give notice in writing to AAPL of his desire to appeal against the decision. The receipt of the appeal is acknowledged and the applicant is informed of the progress made and the outcome.

On receipt of such an appeal, AAPL receiving the appeal shall be responsible for gathering and verifying all necessary information to validate the appeal. the QM, under the instruction of Director will advise the Board of Directors and the Impartiality Committee of the details of the appeal received. The Board of Directors will proceed to constitute an independent Appeals Panel in each case in consultation with the Impartiality Committee. The Appeals Panel will comprise of a Chairman who will be assisted by two members of the Impartiality Committee representing the area of technical expertise related to the nature of the appellant's activities under certification. The appellant will have the right to object to the inclusion of any person in the Appeals Panel. All members chosen to form the Appeals Panel shall not have been previously involved in the decision appealed against, or who carried out the audit and made the certification decision.

The meeting of the Appeal Panel shall be held within 30 days of the receipt of notification from the appellant and the appellant will be provided with at least 7 clear days of written notice of the time and place of the Appeals Panel Meeting. Prior to the meeting of the Appeals Panel the existing decision of AAPL is to remain in force.
At the Appeals Panel Meeting both the appellant and the appropriate representative from AAPL shall be entitled to be heard in confidence and majority decision of the Appeals Panel shall be final.

The Director shall ensure that the appellant is advised in writing of the decision of the Appeals Panel within 7 days of the decision. The QM shall record details of the appeal in the Register of Appeals and implement the decision of the appeals panel, as required.
On conclusion of the appeal, the QM will also review the grounds of appeal and evaluate if any possible improvements to AAPL Management systems are required. A description of the appeals handling process is available on AAPL website to make it publically accessible.

The QM shall ensure that the submission, investigation and decision on Appeals shall not result in any discriminatory actions against the appellant. QM takes appropriate corrective and preventive action on the identified root cause of the appeal and introduces necessary changes in the system procedure. The certification body shall give formal notice to the appellant of the end of the appeals- handling process.

Complaints:

1.1 👉 Any complaint received by AAPL in respect of its functions as a certification body or a company certified by it, shall be fully inxl font-bold mr-4stigated by the Director. The Technical Coordinator will verify the promptness and effectiveness of the actions taken in respect of the complaint received by AAPL. He shall ensure the prompt disposal of the complaint and the complainant being advised of the result of the investigation within six weeks of the receipt of the complaint. All complaints, after redressed & disposal, shall be closed through a closing note / closing call by the Director. Where applicable, certification will be restored as quickly as possible. Suitable preventive action will be taken to avoid recurrence of such cases. Any recurrence will be prevented. Effectiveness of the measures adopted will be assessed during the Management Review Meeting and necessary information is gathered and verified to validate the complaints.

1.2 👉 Unsatisfactory performance recorded on the "Client Satisfaction Form" by any AAPL client in respect of the audit conducted by AAPL auditors shall be treated as a complaint and dealt with accordingly.

1.3 👉 Complaints are received by TC and acknowledged (whenever possible), initially evaluated by QM for further decisions. The entire process to be followed meeting the requirement of confidentiality as it relates to the complaint and to the subject of the complaint. The complaints are recorded in the complaint register. A description of the complaints-handling process is publicly available on AAPL website and the progress is tracked by QM including actions undertaken in response to them.

1.4 👉 Complaint against an officer of AAPL including DIRECTOR/QM will be investigated by the Director technical or someone who is not involved in the process.

1.5 👉 The decision to be communicated to the complainant shall be made by or reviewed and approved by individuals not previously involved in the subject of the complaint.

1.6 👉 Whenever possible AAPL shall give formal notice of the end of the complaint handling process to the complainant.

1.7 👉 AAPL shall determine together with the client and the complainant whether and if so to what extent the subject of the complaint and its resolution shall be made public.

1.8 👉 Any complaint about the certified client and also referred by AAPL to the certified client is kept confidential.

1.9 👉 If the complainant is dissatisfied with AAPL response for the lodged complaint outcome or the process does not resolved within 3 months of the agreed timeframe (aged complaint) the complainant may be referred to Accreditation Board.
1.10 👉 QM takes appropriate corrective and preventive action on the identified root cause of the complaint and introduces necessary changes in the system procedure.

1.11 👉 Submission, investigation and decision on complaints shall not result in any discriminatory actions against the complainant.

1.12 👉 Any valid complaint about a certified client shall also be referred by AAPL to the Certified client in question at an appropriate time.