Aseessment and Certification Regulation_Issue14_May2012

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Guardian Independent Certification Pte LtdIssue 14, May 2012P a g e | 1

ASSESSMENT AND CERTIFICATON REGULATION

1. GENERAL

1.1 The Assessment and Certification Regulation is applicable to all clients who are certified by

Guardian Independent Certification Pte Ltd (GIC)

1.2 GIC is a private limited company, financed through paid-up shares, is accredited by the

Singapore Accreditation Council (SAC).

1.3 GIC offers management systems certification services within the accredited scope granted

(the Services). The Services provides an independent audit and certification of an applicants

management system against a recognised and appropriate standard.

2. REQUEST& APPLICATION FOR CERTIFICATION SERVICES

2.1 Clients can request for the Services by sending an email to [email protected] receive a

questionnaire. Clients will fill detailed information about the scope of their operations in the

questionnaire and return it for GICs review on their request for the Services. If GI C accepts the

request, GIC prepares a quotation for clients acceptance. GIC reserves the right to decline any

request for the Services and would give the clients the reason for non-acceptance.

2.2 Upon acceptance of the quotation, clients must complete the Registration Form and return to

GIC with a cheque payment of the application fee. The Registration Form, together with the

quotation upon mutual acceptance by GIC and clients, serves as the contracting agreement with

GIC to provide the Services.

3. RIGHTS & RESPONSIBILITIES OF GIC

3.1 GIC reserves the rights and responsibilities for the Services. These include the rights to grant,

maintain, extend, reduce, suspend, and withdraw of certification approval.

3.2 GIC understands the importance of and is committed to impartiality in providing the Services.

GIC manages any conflict of interest to ensure objectivity of its certification assessment.

3.3 GIC will not market or offer the Services as being linked with the activities of an organisation

that provides management system consultancy. GIC will take action to correct inappropriate

claims by any consultancy organisation stating or implying that certification would be simpler,

easier, faster, or less expensive if GICs Services are used. GIC will not state or imply that

certification would be simpler, easier, faster or less expensive if a specified consultancy

organisation is used.

3.4 GIC grants the certification based on its review and audit of information, documents and

samples provided by clients during the performance of the Services. GIC cannot be held liable for

any inaccuracies, omissions or errors in the approved certification, audit reports and/or any

documents issued to clients by GIC in the performance of the Services.

3.5The certification granted by GIC does not exempt clients from their legal obligations required of

the services or products. Client is solely liable for any defects in their services and products and
mailto:[email protected]:[email protected]:[email protected]:[email protected]


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shall protect and indemnify GIC from any and all claims, costs, expense, loss or damage and

liability made by certified clients as a result of their failure to maintain their management systems

and /or of any negligent act.

3.6 GIC reserves the right to revise the certification scheme requirement or any normative

requirement for certification. GIC would give due notice to clients of any changes and for their

compliance with any new requirement.

3.7 GIC shall take appropriate actions with clients to deal with incorrect references to certification

status and/or misleading use of certification documents, marks and audit reports. Such actions

include requests for correction and corrective actions, suspension, withdrawal of certification, and

if necessary, legal action.

3.8 GIC shall not be liable for any cost, losses or charges incurred by the Clients in the event that

the performance of the Services and/or GICs obligations under the agreement is hindered or is

caused to be delayed by any default, act or negligence of the Clients.

4. RIGHTS & RESPONSIBILITIES OF CLIENTS

4.1 Clients must have a Management Representative (MR) who is responsible to ensure their

management system meets the requirements of the relevant management system standard. The

MR will be the contact person between GIC and clients. The MR shall ensure that all

documentation provided to GIC does not infringe any copyright, trademarks, licenses and any

intellectual property rights of any party.

4.2 Clients have the right to object to the inclusion of any auditor proposed by GIC for the

performance of the Services, on the grounds of competency or possible conflicts of interest.

4.3 Clients shall, with reasonable diligence, co-operate with GIC in its provision of the Services by

providing access to its premises, personnel, documentation required for the proper conduct of the

Services. Clients shall obtain necessary consents to facilitate GICs auditors entry into its

premises and to accommodate, where applicable, the presence of observers. Clients shall also

ensure a safe and secure working condition on site during the performance of the Services.

Clients shall inform GIC and its auditors of requirements to comply with any health, safety and

security regulations applicable to its premises.

4.4 Clients shall pay the fees for the Services invoiced by GIC in full and promptly on the due date.

GIC may impose an interest charge of 10%, compounded monthly on sum outstanding until the

payment is made. The fees and other charges are excluding of prevailing GST.

4.5 Clients who are granted certification approvals shall inform GIC without delay, of matters that

may affect the capability of their management system to continue fulfilling the required standard

used for certification and approval. These changes include, but not limited to:-

The legal, commercial, organisational status or ownership

Organisation and management, eg. Key managerial, decisionmaking or technical staff


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Contact address and sites

Scope of operations under the certified management system

Major changes to the management system and processes

4.6 Clients who are granted certification approvals shall:-

Conforms to the requirement of GIC when making references to its certification status in

any communication media such as in brochures, the internet, advertising and other

documents

Not to make or allow any misleading statement regarding its certification and do not use

or allow the use of a certification document or any part of it in a misleading manner

Not continue its use of all advertising matter that contains a reference to certification if

clients certification is suspended or withdrawn.

Amend any communication and /or advertising collaterals when its scope of certification

has been reduced

Not allow reference to its management system certification to be used to imply that GIC

certifies its product, service or process

Not imply that the certification applies to activities outside the scope of certification

Not use its certification in any manner that brings GIC and its certification system into

disrepute and loss of public trust.

4.7 Clients who are granted certification approvals who intend to discontinue their certification

shall notify GIC in writing at least two (2) months before the due date of the next surveillance audit.

4.8 Clients shall indemnify GIC against any costs, losses or charges sustained or incurred by the

Clients arising from their judgement, decision and/or actions taken on the basis of the information

given in the audit report provided and certificate of approval issued by GIC.

5. CONFIDENTIALITY

5.1 GIC safeguards Clients information obtained or created during the performance of the

Services.

5.2 GIC will divulge only Clients information detailed on the certification approval. GIC will inform

Clients in advance, of confidential information required to be make available by law and/or

governing regulations to third party, eg government agencies, accreditation bodies,

6. FEES AND PAYMENT

6.1 The fees payable for the Services are as follows:-

Application fee for initial registration and documentation examination

Assessment fee for initial assessment and issuance of the certificate

Reassessment fee, applicable should clients fail the initial assessment

Surveillance fee for certification maintenance


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The details of the fee are given in the quotation and will remain in force for a period of three (3)

years.

6.2 The fees payable will be invoiced accordingly and must be paid prior to its respective

assessments.

7. GICs CERTIFICATION PROCESS

7.1 Stage 1 Audit

7.1.1 Clients will submit their management system documentation for GICs appointed auditor(s)

to preview and examine to determine the clients system readiness for stage 2 audit.

7.1.2 Prior to the conduct of documentation preview, the appointment of the auditor(s)will be made

known to the clients. Clients have the right to object to the inclusion of any auditor proposed by

GIC on the grounds of competency or possible conflicts of interest.

7.1.3 GIC could repeat its stage 1 audit if it determines that clients are not ready to proceed with

the Stage 2 audit.

7.1.4 GIC may amend the agreement with Clients if it determines that adjustments to the stage 2

audit are necessary, eg. Change in scope, sites, audit man-days, auditors

7.2 Stage 2 Audit

7.2.1 Clients will be given an audit plan prior to the start of the audit. The audit team will meet with

the clients management to discuss the conduct of the audit and the audit process, including non-

conformities, observations and improvement opportunities identified during the audit.

7.2.2 The audit team will prepare an audit report detailing the findings, nature of corrective actions

to be taken and the scope of certification to the clients management after the audit.

7.3 Granting of Certification Approval

7.3.1 GIC will grant Clients its certification approval when Clients complete all agreed corrective

actions and are accepted by GICs auditors. The certificate issued to Clients detail the scope of

the management system found compliant at the time of audit. The certificate remains the property

of GIC.

7.4 Surveillance audit

GIC performs a minimum of one (1) surveillance audit annually to ensure Clients maintained its

management system to meet the requirements of the certification. The surveillance audit program

is on-going and is agreed with the Clients in the contracting agreement. Clients would be given

reasonable time to complete all agreed corrective actions on non-conformities raised at the

surveillance audit.

7.5 Re-Certification

GIC performs a re-certification of clients management system every three (3) years after the initial

certification approvals. Subject to the satisfactory outcomes of the surveillance audits and the re-

certification audit, GIC will re-issue the certification approvals to the clients. Clients shall be


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required to complete the re-certification audit and obtain certification approvals before the expiry

date of the current certification approvals to ensure continuity of the certification.

8. SUSPENSION, WITHDRAWAL, CANCELLATION OF CERTIFICATION APPROVALS

GIC reserves the right to suspend, withdraw, or cancel the certification approvals of clients by

giving notice to clients of GICs intention. GIC would brief its clients of the intention and will give

clients reasonable time to take corrective actions before making the final decision on the action to

be taken. GIC reserves the right to publish on its on-line client directory such actions taken.

9. EXTENDING OR REDUCING THE SCOPE OF CERTIFICATION

GIC reserves the right to extend or reduce the scope of certification approvals of clients upon

undertaking necessary review and/or any audit activities to decide whether or not the extension

may be granted or reduce the scope of certification to exclude the parts not meeting requirements.

GIC will notify client on action to be taken and reserves the right to publish on its on-line client

directory such actions taken.

10. CLIENTS REGISTRY

GIC maintains a registry of its certified clients, which list the clients contact, addresses and

certified scope as detail in the certification approvals. The registry is regularly updated, at least

every six (6) months. The published information in the registry is made available on GICs website

to any enquirer.

11. USE OF CERTIFICATION MARK

10.1 Clients will be provided with instructions on the use and application of the GIC and

Accreditation Body Marks (the Marks)

10.2 Certified clients shall use the Marks in connection with the scope detail on the certification

approvals. The Marks must always be accompanied with the clients certificate number and is

used only in conjunction with the certified clients name. Clients must not offer the certified scope

from any other address that the address stated on the certificate except on related site(s).

10.3 The Marks must not be used in any way that would indicate product approvals. The Marks

must not be used on a product or product packaging or in any manner that may imply product

approvals.

10.4 The Marks shall not be used on laboratory test, calibration or inspection reports.

10.5 Certified clients shall discontinue the use of the Marks found unacceptable by GIC. Any

statements deem misleading by GIC shall also be withdrawn promptly by the certified clients.

10.6 If certification approvals are suspended or withdrawn, certified clients shall immediately

remove the Marks and all references to certification approvals.

12. COMPLAINTS, DISPUTES AND APPEALS


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11.1 Clients who may wish to make a complaint could submit in writing to the GIC management,

stating specific details of the nature of the complaint. The GIC management will conduct an

internal investigation and conclude its investigation with corrective actions where deem necessary.

11.2 GIC will notify certified clients of any complaint about them that is received from their

customers or any other party. GIC would give certified clients reasonable time and opportunity to

response to the nature of the complaint raised. GIC will investigate on the compliant and take

appropriate actions. If the complaint relates to clients certified activities, GIC will examine the

effectiveness of clients certified management system at the surveillance audits.

11.3 GIC requires certified clients to maintain a Complaints File detailing their customers

complaints and clients responses and corrective actions. GICs auditors will review any

complaints and customer feedback during the surveillance and/or re-certification audits.

11.4 Clients may appeal and/or dispute any decision and/or actions taken by GIC by submitting in

writing, the details to the GICs Scheme Manager for escalation actions to the GIC Independent

Certification Board (the ICB). The ICB shall appoint suitable persons and/or an Appeal

Committee to investigate and/or review into the disputes and/or appeals. The ICB shall impose

appropriate remedial or conciliatory actions to resolve the disputes and/or appeals. Records of the

ICBs deliberations are noted in the ICBs minutes.

11.5 If an appeal is raised, clients and GICs assessors will be called upon to state their case in

private with the appointed Appeal Committee. The decision of the Appeal Committee shall be final

and shall not be subjected to further appeals.

For more information, please email or contact us as follows:

Guardian Independent Certification Pte Ltd

10 Ubi Crescent #04-52 UbiTechpark Singapore 408564

Tel: +65 6742 3075

Fax: +65 6742 5495

Email: [email protected]
mailto:[email protected]:[email protected]:[email protected]


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Appendix 1

1.1.1 GLOSSARY OF TERMS

a. CompanyThis is the registered company GUARDIAN INDEPENDENT CERTIFICATION PTE LTD.

b. Independent Certification Board (ICB)This is the committee established to control the certification process.

c. Scheme ManagerThis is the person appointed to ensure impartiality of the Scheme.

d. AuditorThis is qualified and experienced Lead Auditor r appointed by GIC for assessment andsurveillance assignments.

e. Management System StandardThis is the standard against which an applicant or organization is assessed. Other normatives maybe used that are recognized by the accreditation body. (These include but are not limited toISO9001, SS 506/OHSAS 18001 etc)

f. Management SystemThese are the documented processes, which are established to meet the requirements of theruling management system standard.

g. Enquirer

This is an organization that requests information regarding the Scheme.

h. Appeals CommitteeThis is a committee appointed to hear any appeal regarding assessment and certification. Acommittee will be appointed for each appeal and will consist of a chairman and at one member.None of the committee will have any conflicting interests in or personal relationships with thesubject of the appeal.

i. Certification Approvals

This is a certificate of assessment issued to an organisation that has been assessed as having amanagement system that meets the requirements of the standard.

j. Certified ClientsThis is the certificate holder

l. SAC

Singapore Accreditation Council is a national recognized body that accredits GIC against definedproduct codes.

m. MarksThese are the logosthat can be used by the certified clients.


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1.2 Appendix 2

ADVERTISING LOGO AND MARK OF ACCREDITED REGISTRATION - SAC

Documents

Aseessment and Certification Regulation_Issue14_May2012