1. Client shall observe the guidance on the management system standard and its procedure, requirements and regulations relating certification
    2. Client and EQA IMS shall cooperate on the below mentioned items for the smooth performance of the audit.
      • EQA IMS ensures to comply with the regulations related to certification system.
      • For certification audit, surveillance audit, Client shall allow access to the necessary places, premises and documentation for auditing. Client shall also allow such as 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 If Client does not allow these without good reason, its Certification can be suspended or withdrawn.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 of proprietary nature, registration shall not be granted, unless Client can obtain 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 organization agreed during initial, surveillance, and special audits, and these matters can be confirmed during conducting audits. In case the violation of laws or regulation exists before the audit, or EQA IMS becomes aware of any violation, EQA IMS can request a proper corrective action. In case if this corrective action is not properly applied, EQA IMS will not issue certificate, or EQA IMS may cancel or suspend certification if it is the period of surveillance audit or special audit. If EQA IMS becomes aware of any violation of laws and regulation, EQA IMS can request a proper corrective action and should confirm its result.
      • The person or organization that offered Client consultancy or training is not allowed to ask, answer and advise which can affect the audit.
      • Whole process of Client which is applicable as 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, which is not applicable at surveillance.
      • In the case of Clients who are Occupational Safety & Health System Management (OSHMS) certified, in the event of any occurrence of significant events such as fatal accidents, serious injuries, legal action by the regulatory authority, etc., the Client shall, without delay, inform EQA IMS accordingly. Additionally, the certificated client is required to inform EQA IMS at the time of surveillance or recertification, any Occupation Safety & Health related findings issued by third parties.
    3. EQA IMS shall explain, where certification scope of Client relates to specific program, necessary aspects to Client.
    4. EQA IMS officially selects the audit team and shall provide auditors with proper materials towards audit scope to be audited. Audit plan shall be fixed with close cooperation with Client and scope of operation to be performed by audit team shall be clearly defined and informed to Client.
    5. In case Client has objection regarding selection of auditors, technical expert composed in audit team and method and procedure of audit, EQA IMS shall notify Client of the reason for audit team change or disapproval.
    6. EQA IMS shall not recommend the certification before all the nonconformities found against those from certification audit is closed out with proper corrective action from Client.
    7. Initial audit are divided into stage 1 audit and stage 2 audits to perform, in principle, the audit shall be performed at the site of Client. In the case of recertification, in case there are no major changes on Client, only stage 2 audit need to be carried out.
    8. In selection of audit team, EQA IMS may appoint and compose contracted auditors into audit team and shall take responsibility for audit resulted from the selection.
    9. The surveillance audit is to be carried out minimum once per year and the certification from EQA IMS can be suspended or withdrawn accordingly when the surveillance audit is not carried out within 6 months from the surveillance due for whatever reason(s).
    10. Once agreed to appoint EQA IMS, Client shall pay the audit fee to EQA IMS, and if 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 complaint on Client’s management system or as and when EQA IMS deemed required due to feedback from external agencies, or in the event at that EQA IMS becomes aware that has been a serious incident related to occupational health and safety, for example, a serious accident, or a serious breach of regulation, in order to investigate if the client’s manager system has not been compromised and did 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 EQA IMS audit team during the special audit, shall provide grounds for EQA IMS to decide on the actions to be taken, including a 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 as part of the contracted agreement between EQA IMS and the client.
    13. Client shall inform EQA IMS of changes details, if any on personnel or sites, within 30 days since its occurrence, and EQA IMS may adjust auditor days at the following surveillance or re-certification visit.
    14. Client shall record all the complaints and negative findings, towards maintenance of management system received from personnel involved and interested parties. And then accordingly result of corrective action shall be maintained, which shall be available for audit at surveillance visit.
    15. Upon the certification approval, EQA IMS shall issue the certificate to the Client accordingly.
      Note: The issued certificate shall remain as 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 to provide 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 the additional issuance of certificate for special reasons, Client shall pay some additional fee.
    19. Validity of Client’s certificate is 3 years from the issuance date except transfer audit, which recognizes the validity of 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 for some cases.
    20. EQA IMS shall notify the Client 1month before the certification expiration date. And Client shall apply for the recertification before its expiration date.
    21. Client may apply to EQA IMS for expansion to scope at any point of time. Expansion to scope shall apply to technical extensions, where the scope of certification is added to or modified to reflect an increase in capability, or geographical extensions, where another branch is being added to the certification. Upon receipt of the client’s request for expansion to scope(s), EQA IMS shall undertake a review of the application and determine any audit activities necessary to decide whether or not the extension to be granted. In the event that EQA IMS decided that extension can be granted with audit activities, such extension audit may be conducted at a special visit or at the next surveillance. The client should note that additional mandays may be incurred at the next surveillance/recertification.
    22. When the client decides, or the auditor found that the scope of certification needs to be reduced, for example, the certified client no longer perform certain activities at a particular site or no longer perform 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 on the remaining scope
      • Reduced scope arising out of complaints
    23. For any types of certification(s), EQA IMS reserve 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 take response of action to revised standards.
        • The Client violates criteria in the use of certification mark at promotion.
        • The Client has voluntarily requested a suspension.
        • The suspension shall not exceed 6 months. Once exceeded 6 months, certification shall be withdrawn. If Client applies the certificate after cancellation, it shall be handled as a new assignment.

      Upon EQA IMS’s satisfactory review of the action(s) taken on those issue(s) raised (that had resulted in the suspension) have been resolved, EQA IMS shall restore the suspension accordingly. EQA IMS reserve the rights to proceed to withdraw or reduce the scope of certification if the affected client(s) failed to resolve those issue(s) raised (that had resulted in the suspension) in the established time frame.

    25. EQA IMS may withdraw certification of Client for the following situations.
      • The Client voluntarily provides EQA IMS with notification of giving up certification
      • The certification is temporarily suspended more than 3 times within the valid period of certification.
      • Action is not taken or no reply is received one month after notification by EQA IMS intent to withdraw.
      • It is deemed impossible to maintain certification to bankruptcy or insolvency of Client.
      • Witness audit, requested, is refused without any valid reason(s).
      • Corrective action has not been taken despite corrective action was requested due to misuse of certificate/logo.
    26. Client shall use certification mark according to the requirements of EQA IMS. However, if suspending or withdrawing of certification is firmly confirmed or if this certification contract is terminated, Client shall be refrained from using certification mark in all the advertisement and promotion.
    27. Client shall notify, in writing, EQA IMS of any changes as follow within 30 days from its occurrence.
      • Changes of certification standards or scope and audit criteria which is derived from changes in ownership and the management and staff (key manager, decision- maker) or changes in facilities (transfer, acquisition, merger, reduction, extension, reorganization)
      • In case validity of certification is to be suspended due to production line shut down or its employee’s strike.
      • Major changes in operational process, 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 to the local law and regulation, in which the management system certified is interrelated
      • Changes related to address and operation sites.
    28. EQA IMS shall notify Client of the following changes, if any, including on standards of certification or related.
      • Changes to certification scheme or any related standards of various kinds 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 which is obtained during certification audit without the prior-written- consent of Client. In case information is required by the law (from the different 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 management system even though the management system have 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 subject and shall notify Client of the result accordingly.
    32. When the dissatisfaction raised by Client is not properly settled or legal identification for the bilateral rights is requested the district court shall be that of Singapore’s court and both parties shall abide by 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 audit, affairs and services shall be relegated to the accreditation board by which 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 media mediation or fair transaction committee.
    34. In the event that the client makes a complaint against EQA IMS or EQA IMS receive complaint against any of EQA IMS’s certified client, EQA IMS shall validate the complaint prior to investigation. In the case of complaint against EQA IMS’s 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 follow :-
      Client Complaint Against EQA IMS
      Step 1: EQA IMS investigate the complaint.
      Step 2: EQA IMS document the result of the findings and send to client.
      Step 3: Where it is confirmed that EQA IMS is at fault, EQA IMS shall remedy the issue(s), if required.
      Step 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
      Step 1: EQA IMS investigate the complaint.
      Step 2: EQA IMS document the result of the findings and send to both the complainant and certified client.
      Step 3: Where it is confirmed that EQA IMS’s 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.
      Step 4: EQA IMS write to the complainant informing 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 these clients(s).

35. EQA IMS reserve the right to amend this Assessment & Certification Regulation when deemed necessary, without the need to notify the certificated client(s).