Assessment & Certification Regulation

  1. Client shall observe the guidance on the management system standard and its procedures, requirements, and regulations relating to certification.
  2. Client and EQA IMS shall cooperate on the below-mentioned items for the smooth performance of the audit.
    • EQA IMS ensures compliance with the regulations related to the certification system.
    • For certification audit and surveillance audit, Client shall allow access to the necessary places, premises, and documentation for auditing. Client shall also allow such access equally for special audit or confirmation which may be conducted by the accreditation body. If Client does not allow these without good reason, its Certification can be suspended or withdrawn.
    • In the case that certain specific data or other information related to legal or regulatory compliance are not made available to EQA IMS for review because of an assertion of legal privilege or proprietary nature, registration shall not be granted, unless Client can provide demonstration by objective evidence that full system requirements relating to legal compliance have been effectively implemented by sufficiently documented and verifiable means.
    • Client shall regularly conduct compliance evaluation for regulation and requirements which the organization agreed during initial, surveillance, and special audits, and these matters can be confirmed during audits. If a violation of laws or regulations exists before the audit, or EQA IMS becomes aware of any violation, EQA IMS can request a proper corrective action. If this corrective action is not properly applied, EQA IMS will not issue a certificate, or EQA IMS may cancel or suspend certification if it is during surveillance or special audit. If EQA IMS becomes aware of any violation of laws and regulations, EQA IMS can request a proper corrective action and shall confirm its result.
    • The person or organization that offered Client consultancy or training is not allowed to ask, answer, or advise in a way that can affect the audit.
    • The whole process of Client which is applicable as per the applied audit scope should be in operation at the time of Stage 1 and Stage 2 audit of initial certification and re-certification audit; however, this is not applicable at surveillance.
    • For Clients certified to Occupational Safety & Health Management Systems (OSHMS), in the event of any significant events such as fatal accidents, serious injuries, legal action by the regulatory authority, etc., the Client shall, without delay, inform EQA IMS. Additionally, the certificated client is required to inform EQA IMS at the time of surveillance or recertification of any OSH-related findings issued by third parties.
  3. EQA IMS shall explain, where the certification scope of Client relates to a specific program, the necessary aspects to the Client.
  4. EQA IMS officially selects the audit team and shall provide auditors with proper materials relating to the audit scope to be audited. The audit plan shall be fixed with close cooperation with the Client and the scope of operation to be performed by the audit team shall be clearly defined and informed to the Client.
  5. In case the Client has an objection regarding the selection of auditors, technical experts composed in the audit team, or the method and procedure of audit, EQA IMS shall notify the Client of the reason for audit team change or disapproval.
  6. EQA IMS shall not recommend certification before all the nonconformities found from the certification audit are closed out with proper corrective action from the Client.
  7. Initial audits are divided into Stage 1 and Stage 2. In principle, the audit shall be performed at the Client’s site. In the case of recertification, if there are no major changes at the Client, only Stage 2 needs to be carried out.
  8. In the selection of the audit team, EQA IMS may appoint and compose contracted auditors into the audit team and shall take responsibility for the audit resulting from the selection.
  9. The surveillance audit is to be carried out at minimum once per year, and the certification from EQA IMS can be suspended or withdrawn if the surveillance audit is not carried out within 6 months from the surveillance due date for whatever reason(s).
  10. Once agreed to appoint EQA IMS, the Client shall pay the audit fee to EQA IMS. If the Client does not pay the costs without any particular reason for more than 3 months, EQA IMS can proceed to suspend/withdraw certification.
  11. EQA IMS may carry out special audits, apart from the regular surveillance audit, if the need arises. Special surveillance is carried out for situations that arise from major complaints on the Client’s management system or as and when EQA IMS deems required due to feedback from external agencies, or in the event EQA IMS becomes aware of a serious incident related to occupational health and safety (e.g., a serious accident or serious breach of regulation) in order to investigate if the client’s management system has been compromised or did not function effectively. EQA IMS shall document the outcome of its investigation.
  12. Information on incidents such as a serious accident or a serious breach of regulation necessitating the involvement of the competent regulatory authority, provided by the certified client or directly gathered by the EQA IMS audit team during the special audit, shall provide grounds for EQA IMS to decide on actions to be taken, including suspension or withdrawal of the certification in cases where it can be demonstrated that the client’s system seriously failed to meet the OH&S certification requirements. This shall form part of the contracted agreement between EQA IMS and the client.
  13. Client shall inform EQA IMS of change details, if any, on personnel or sites within 30 days of occurrence, and EQA IMS may adjust auditor days at the following surveillance or re-certification visit.
  14. Client shall record all complaints and negative findings toward the maintenance of the management system received from personnel and interested parties. The results of corrective actions shall be maintained and made available for audit at surveillance visits.
  15. Upon certification approval, EQA IMS shall issue the certificate to the Client.
    Note: The issued certificate shall remain the property of EQA IMS.
  16. Regardless of the magnitude of any damage(s) that may arise due to EQA IMS action(s), once validated, EQA IMS shall limit its professional indemnity to any client’s claim to an amount equivalent to the initial assessment fee or one single annual surveillance fee. Subject to the client’s concurrence, EQA IMS may opt to discontinue providing certification service.
  17. In the usage of certificate and certification mark, Client shall abide by the “Maintenance, Certificate and Logo Control” as set by EQA IMS. In the event that the certificate and certification logo are misused, EQA IMS can demand corrective actions from the Client. If the Client does not take the appropriate corrective actions, EQA IMS can suspend/withdraw certification.
  18. For additional issuance of a certificate for special reasons, the Client shall pay an additional fee.
  19. Validity of the Client’s certificate is 3 years from the issuance date except transfer audits, which recognize the validity of the certificate only for its remaining period. At EQA IMS’s discretion, EQA IMS may decide to issue the certificate with less than 3 years’ validity in some cases.
  20. EQA IMS shall notify the Client 1 month before the certification expiration date. The Client shall apply for recertification before its expiration date.
  21. Client may apply to EQA IMS for expansion to scope at any time. Expansion to scope applies to technical extensions (where the scope of certification is added or modified to reflect an increase in capability) or geographical extensions (where another branch is being added to the certification). Upon receipt of the request, EQA IMS shall review the application and determine any audit activities necessary to decide whether the extension should be granted. If audit activities are needed, such extension audit may be conducted at a special visit or at the next surveillance. Additional man-days may be incurred at the next surveillance/recertification.
  22. When the client decides, or the auditor finds, that the scope of certification needs to be reduced (e.g., the certified client no longer performs certain activities at a particular site or no longer performs a particular process), the auditor shall inform the client to submit a request to EQA IMS. EQA IMS shall decide if an unscheduled visit will be necessary, based on the following criteria:
    • The reduced scope impacts the remaining scope
    • Reduced scope arising out of complaints
  23. For any type of certification(s), EQA IMS reserves the right to grant or refuse approval.
  24. EQA IMS may suspend certification for the following situations:
    • The client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system.
    • The Client does not allow surveillance or recertification audit to be conducted.
    • The Client does not respond to revised standards.
    • The Client violates criteria in the use of certification mark in promotion.
    • The Client has voluntarily requested a suspension.

    The suspension shall not exceed 6 months. Once exceeded 6 months, certification shall be withdrawn. If the Client applies for certification after cancellation, it shall be handled as a new assignment.

    Upon EQA IMS’s satisfactory review that the issues which resulted in the suspension have been resolved, EQA IMS shall restore the certification accordingly. EQA IMS reserves the right to withdraw or reduce the scope of certification if the affected client(s) fail to resolve the issues within the established timeframe.

  25. EQA IMS may withdraw certification of the Client for the following situations:
    • The Client voluntarily notifies EQA IMS of giving up certification.
    • The certification is temporarily suspended more than 3 times within the valid period of certification.
    • No action is taken or no reply is received one month after notification by EQA IMS of intent to withdraw.
    • It is deemed impossible to maintain certification due to bankruptcy or insolvency of the Client.
    • Witness audit, when requested, is refused without any valid reason(s).
    • Corrective action has not been taken despite being requested due to misuse of certificate/logo.
  26. Client shall use the certification mark according to the requirements of EQA IMS. If suspension or withdrawal of certification is confirmed, or if this certification contract is terminated, Client shall refrain from using the certification mark in all advertisements and promotions.
  27. Client shall notify EQA IMS in writing of any of the following changes within 30 days of occurrence:
    • Changes of certification standards or scope and audit criteria derived from changes in ownership, management and staff (key managers, decision-makers), or changes in facilities (transfer, acquisition, merger, reduction, extension, reorganization)
    • Where validity of certification is to be suspended due to production line shutdown or employee strike
    • Major changes in operational processes, facilities, and technology which may affect the scope and standards of certification
    • Major document changes to the management system
    • Sanctions imposed by relevant authority or non-compliance with local laws and regulations related to the certified management system
    • Changes related to address and operation sites
  28. EQA IMS shall notify the Client of the following changes, if any:
    • Changes to the certification scheme or any related standards that may affect the Client
    • Any other important changes
    • Changes related to address and operation sites
  29. EQA IMS shall not disclose confidential information to any third party, including materials and information about the Client obtained during certification audits, without the prior written consent of the Client. If information is required by law (from governmental agencies) or information relating to certification is requested by the accreditation body, such information shall be disclosed, and the Client shall be informed accordingly.
  30. The Client is primarily responsible for conformity of the management system even though the management system has been audited and certified by EQA IMS.
  31. Client may appeal against the certification decision by EQA IMS. EQA IMS shall convene an appeal committee, comprising independent personnel (not EQA IMS staff or members from the Assessment Committee) to review the appeal and shall notify the Client of the result accordingly.
  32. When dissatisfaction raised by the Client is not properly settled, or legal identification for bilateral rights is requested, the district court shall be that of Singapore’s court and both parties shall abide by the court’s decision.
  33. When both Client and EQA IMS cannot reach a consensus on a particular appeal case, it shall be relegated to the following mediators:
    • Disputes related to certification audits, affairs, and services shall be relegated to the accreditation board by which the Client is accredited.
    • Disputes over the audit fee related to contract shall observe the verdict reached by the district court of Singapore’s court.
    • Disputes over mutual slandering through media can be resolved by the decision of the media mediation or fair transaction committee.
  34. In the event that the Client makes a complaint against EQA IMS or EQA IMS receives a complaint against any EQA IMS certified client, EQA IMS shall validate the complaint prior to investigation. In the case of a complaint against an EQA IMS certified client, EQA IMS shall confirm if the complaint relates to the certification activities that it is responsible for. Once confirmed that the complaint is valid, EQA IMS shall proceed as follows:
    • Client Complaint Against EQA IMS
      1. EQA IMS investigates the complaint.
      2. EQA IMS documents the result of the findings and sends it to the client.
      3. Where it is confirmed that EQA IMS is at fault, EQA IMS shall remedy the issue(s), if required.
      4. EQA IMS shall review its internal procedures and amend if required, as part of correction and/or corrective action.
    • Complaint Against EQA IMS’s Certified Client
      1. EQA IMS investigates the complaint.
      2. EQA IMS documents the result of the findings and sends it to both the complainant and certified client.
      3. Where it is confirmed that the certified client is at fault, EQA IMS shall request correction and/or corrective action from the certified client. Where required, a special audit may be imposed.
      4. EQA IMS writes to the complainant informing them of the action(s) taken.
    • Without the written permission of the complainant, the information regarding the complainant and the subject of the complaint, inclusive of the complaint investigation process, shall be kept confidential.
    • Regardless of the outcome of any complaint or appeal brought against EQA IMS by any certified client, or any investigation initiated by EQA IMS against any certified client, EQA IMS shall continue to serve the affected client(s) impartially and shall not discriminate against these client(s).
  35. EQA IMS reserves the right to amend this Assessment & Certification Regulation when deemed necessary, without the need to notify certificated client(s).