IQR Corp

QMS Certification Processes

AUDIT PROCESS

INITIAL CERTIFICATION PROCESS

Upon successful completion of the initial certification activities and affirmative recommendation by audit and final inspection personnel for the certificate, IQR will submit a request for issuance of the certificate to Technical Review. The Technical Reviewer issues final approval or denial for issuance of the certificate. Client has the right to appeal any decision made by the Technical Reviewer in accordance with IQR Appeals Handling Process.

  1. Clients, who through the application and audit process satisfy the terms of the IQR Management System Certification Program and the requirements of the applicable standard, will be granted a Certificate. Certificates are subject to the terms of this program, the applicable standard, and any additional requirements imposed by sector specific organizations.
  2. Upon acceptance of the application, IQR will:
    • Coordinate Stage 1 audit activity based on client timelines and expectations for certification;
    • Finalize selection of audit personnel. Client has the right to request information regarding proposed team members and may object to the use of any individual. IQR will take into consideration any request made for specific audit personnel provided such individuals meet IQR requirements for auditing;
    • Require submission of any necessary documented information for offsite review prior to Stage 1;
    • Conduct the Stage 1 Certification Audit. During the Stage 1 audit, the audit team will assess the organization’s overall preparedness for initial certification. The team will assess the implementation of the documented system against the requirements of the applicable standard and any requirements the client has established within the management system. At the conclusion of the audit, the audit team will provide a report identifying the fulfilment of the stage 1 objectives and any area(s) of concern that could be classified as a nonconformance during the Stage 2 audit. The report will also outline the readiness for the Stage 2 Audit.
    • Confirm Stage 2 audit activities based on client timelines, Stage 1 audit results, and expectations for certification.
    • Conduct Stage 2 certification audit. During the Stage 2 audit, the audit team will conduct an in-depth evaluation through interview and review of documented information to assess the overall effectiveness of the management system to meet the requirements of the applicable standard;
    • Perform a closing meeting, at the conclusion of the Stage 2 certification audit, providing the client with a verbal report of any nonconformities and/or opportunities for improvement identified during the audit. The client will have the opportunity to ask questions and/or address any nonconformance prior to the exit of the audit team. The audit team will provide the client with their conclusion, recommendation for certification, and any requirements for follow-up;
    • Upon completion of Stage 2 activities, provide a final written report along with requirements for any actions from the Client, by the due date specified on the NCR form provided;
    • As required, coordinate scheduling of visits for closure of nonconformities or re-audit.
  3. Client will:
    • Identify primary point of contact for IQR for audit coordination, awareness of complaints, and corrective action responses, as well as acting as a liaison for audit personnel;
    • Provide access by audit personnel to all facilities, work areas, records, etc. that support the proposed certification;
    • Make available required documented information to support the management system;
    • Make available copies of internal audit, management review, and complaints and their resolutions;
    • Provide timely response as is required to all nonconformities in the form of correction/corrective action;
      • Nonconformities identified following initial certification activities are documented on a nonconformity report (NCR) and must be responded to by the due date identified on the NCR.
      • Client is required to provide the correction, root cause and take appropriate and effective action so as to eliminate the cause of the identified nonconformity.
      • Evidence of actions taken is required in support of closure of NCR’s. Onsite verification of effective implementation may be required in order to demonstrate closure.
      • Certificates will not be issued to any client while an NCR remains open.
      • Client may make an appeal to IQR for any nonconformity issued for which it does not agree in accordance with IQR Appeals Handling Process.

Upon successful completion of the initial certification activities and affirmative recommendation by audit and final inspection personnel for the certificate, IQR will submit a request for issuance of the certificate to Technical Review. The Technical Reviewer issues final approval or denial for issuance of the certificate. Client has the right to appeal any decision made by the Technical Reviewer in accordance with IQR Appeals Handling Process.

Upon receipt of approval to issue the certificate, IQR will prepare and make delivery of the Certificate and the applicable marks for the associated certification scheme. The requirement for handling and use of these items is provided in The Proper Use of IQR CORP QMS Registration Seal(s).

TRANSFER OF CERTIFICATION

A transfer of certification can take place when the client has an existing and valid management system certification, granted by a certification body. Only valid accredited certification can be transferred. Certification that is suspended is not eligible for transfer. When a client is eligible for transfer IQR will perform a transfer review and certification activities to transfer the client’s certificate in accordance with IQR Audit and Certification Processes. If no problems are identified in the transfer review, IQR will maintain the current certification cycle and establish the audit program for the remainder of the client’s current cycle.

MAINTAINING CERTIFICATION

To ensure continued effectiveness of the management system, IQR will perform surveillance audits at established intervals, once per calendar year at a minimum. Surveillance schedules are established based on the date the certificate is issued. The IQR Business Operations Manager will contact the client to begin the scheduling process. The client is required to provide information regarding any changes to the organization since the previous assessment activity and in some cases, this may require the audit program to be adjusted. The Business Operations Manager will make the required changes, if needed, and confirm the audit date. In advance of the confirmed date IQR will provide an audit plan. Surveillance audits are carried out in the same manner as initial certification audits; however, the audit team only assesses a portion of the system. At a minimum, each surveillance audit will include a review of:

  • internal audit and management review;
  • a review of actions taken on nonconformities identified during the previous audit;
  • complaints process and any current complaints;
  • progress of planned activities aimed at continual improvement;
  • continuing operational control;
  • review of any changes;
  • use of marks and/or any other reference to certification; and
  • effectiveness of the management system with regard to achieving the certified client’s objectives and the intended results of the respective management system(s).

At the close of the surveillance audit, the audit team will provide the client with a verbal report of the audit conclusions, nonconformities and/or opportunities for improvement identified during the audit, and their recommendation for the continuation of certification. If the recommendation is for any action other than continuation, the auditor will provide feedback to the client and IQR regarding the recommendation. IQR will address the recommendation and inform the client of its decision. Upon receipt of the audit documentation, IQR will prepare and forward a formal written document to the client identifying a timeline required for any action.

Nonconformities identified during surveillance activities require response in the form of containment/correction, root cause, and corrective action or a corrective action plan within the timeline identified on the Nonconformance Report. Major NCR’s may require a full or partial re-audit of the management system for closure. In some cases, the client may be able to submit documentation supporting actions taken. Verification of effective implementation occurs during the next audit activity.

Surveillance of multi-site certifications is handled in the same manner as indicated above. IQR will provide client with intended dates and locations for each surveillance activity. The central function location will be required to be assessed at a minimum once per calendar year.

RE-CERTIFICATION PROCESS

Approximately 2 – 3 months prior to the expiration of client certification, IQR’s Business Operations Manager will contact the client regarding re-certification. In preparation for re-certification, the client will be required to provide information regarding any changes to the organization since the previous assessment activity and, in some cases, to submit a new application. IQR will review the previous term of certification to assess the activities of the client in the overall maintenance, improvement, and maturity of the management system. Based on these factors and any changes that may have occurred, IQR will prepare and forward an audit program outlining the next certification cycle.

Activities for re-certification are planned to ensure no lapse in the certificate occurs. The re-certification audit should take place no less than 30 days prior to expiration of the certificate. One week prior to the start of the confirmed audit date an audit plan will be provided to the Client.

The activities of the re-certification audit are the same as indicated for the initial certification audit (Stage 2). In the event changes have occurred to the client organization’s management system, IQR may elect to conduct a Stage 1 Audit.

Client will be required to address all nonconformities identified during the re-certification audit. No certificate will be re-issued while nonconformities remain open. Timelines for correction and corrective actions are identified on the IQR Nonconformance Report. For any major nonconformance, corrective actions shall be implemented and verified prior to the expiration of certification.

SHORT-NOTICE AUDITS

It may be necessary for IQR to conduct audits of certified clients at short notice to investigate complaints, or in response to changes, or as follow up on suspended clients. In such cases, IQR shall describe and make known in advance to the client the conditions under which such audits will be conducted and IQR shall exercise additional care in the assignment of the audit team because of the lack of opportunity for the client to object to audit team members.

CERTIFICATION PROCESS

ISSUANCE, RESTORATION, SUSPENSION AND WITHDRAWAL OF CERTIFICATIONS

  1. Purpose

The purpose of this procedure is to provide a process for granting, refusing, maintaining, renewing, suspending, restoring, withdrawing, or verifying certifications and expanding or reducing the scope of certification.

  1. Initial Certifications and Recertifications
    • Upon completion of the audit review process and a certification decision indicating recommendation for initial certification/recertification the Business Operations Manager will process the certification.
    • Should the certification request be refused, the Business Operations Manager shall prepare a written communication for the client stating the reason for refusal and resulting action.
    • If recertification activities are not successfully completed prior to expiry of existing certification, including verification of implementation of corrections and corrective actions for any major nonconformance(s), then recertification shall not be recommended, and the validity of the certificate shall not be extended. The Business Operations Manager will inform the client of the decision and any consequences in writing.
    • Any disputes or appeals arising from the results of the review for decision on certification shall be handled in accordance with IQR’s Customer Appeals process.
  2. Scope Extension/Reduction

Requests for extensions/reductions of scopes shall be reviewed by the Business Operations Manager who will determine whether any audit activities are necessary to decide whether the extension/reduction may be granted. Any necessary audit activities may be conducted in conjunction with a regularly scheduled audit, or a special audit may be conducted. Following the completion of the audit activities, the audit review process will be followed as outlined for Stage 2 assessments.

  1. Restoring Certification
    • Following expiration of certification, a client’s certification may be restored within 6 months from date of expiration provided that the outstanding recertification activities are completed within that time.  If recertification activities are not completed within 6 months of expiration of certification, at least a Stage 2 audit shall be conducted.
    • The effective date of the restored certificate shall be the recertification decision date.
    • The expiry date of the restored certificate shall be based on the prior certification cycle.
    • The original certification date may be kept on the restored certificate provided that the following dates are also included:
      • The current certification cycle start and expiry dates;
      • The last certification cycle expiry date; and
      • The date of the recertification audit.
  2. Suspension and Withdrawal
    • Recommendations to suspend or withdraw certification resulting from an audit follow the audit review process. If the recommendation for suspension or withdrawal is upheld, the Business Operations Manager shall prepare a Letter of Suspension or Letter of Withdrawal and forward to the client.
    • A Letter of Suspension includes the reason for suspension, the conditions of suspension, the terms for removal of suspension and restoration of certification, and information regarding the appeals process.
    • When the client has fulfilled the conditions for removal of the suspension, IQR will inform the client in writing that the suspension has been lifted. If the client is unable to comply with the terms and conditions for removal of the suspension, the certification will be processed for withdrawal.
    • Failure by the client to resolve the issues that have resulted in suspension within 6 months will result in withdrawal or reduction of the scope of certification, in most cases.
    • A Letter of Withdrawal includes the reason for withdrawal, the conditions of withdrawal, and information regarding the appeals process. When a client voluntarily requests suspension or withdrawal of their certification, the Business Operations Manager reviews the request and processes the suspension or withdrawal as stated above.
    • Suspension or withdrawal of certification may also be initiated by IQR outside of an audit activity for reasons including, but not limited to:
      • Client is unable or unwilling to allow access to their facility/site by IQR and/or audit personnel;
      • Client is unable or unwilling to address environmental concerns or issues associated with the facility/site;
      • Client is unable or unwilling to comply with new requirements for the Program or standard;
      • Client is found to be in violation of the terms and rules for use of the marks and/or certificate;
      • Client is unable or unwilling to meet financial obligations;
      • Client ceases to supply the products/services under the scope of certification; or
      • Client no longer complies with the IQR Management System Certification Program Terms and Conditions.
  3. Upgrading/Transitioning to New/Revised Standards

When upgrading to a revised standard, the client will be required to have an on-site audit conducted to verify their conformity; additional requirements from each sector will be taken into consideration when planning for the on-site evaluation (ISO, IAF, IAQG, ANAB, etc.). The client’s certification will be revised following completion of the audit review process.

  1. Verification of Certificate Status
  2. Certification status verification can be requested by sending a request via email to admin@iqrcorp.com

COMPLAINTS HANDLING PROCESS

CUSTOMER COMPLAINTS

  1. Purpose

The purpose of this procedure is to outline the process and responsibility for the handling of customer complaints.

  1. Responsibility and Authority

IQR retains responsibility for all decisions at all levels of the complaints-handling process. The Business Operations Manager has the responsibility for ensuring that complaints are documented and processed in accordance with this procedure and that the decision to be communicated to the complainant is made by, or reviewed and approved by, an individual not previously involved in the subject of the complaint. If the subject of a complaint does not allow the Business Operations Manager to conduct an impartial investigation, handling of the complaint will be assigned to another member of top management.

  • Complaints Procedure
    • Complaints Filed Against IQR
      • Any client or other interested party may file a complaint with IQR regarding any matter related to: the certification process, IQR staff and/or management, or IQR auditors.
      • Complaints may be submitted to any IQR staff member and are accepted in writing, over the phone, and via email to admin@iqrcorp.com.
      • All Complaints made against IQR by current clients are documented by the CEO, including disputes to audit or certification decisions.
      • Complaints against an auditor’s performance or conduct will be documented by the CEO and reviewed with the auditor. They will also be used as an input to the auditor’s annual evaluation, competency, and risk review.
      • All other complaints are documented and discussed as part of the IQR Management Review.
    • Complaints Filed Against IQR Clients
      • Any interested party may file a complaint with IQR regarding any matter related to: a certified client’s management system, and/or product related issues that may be a result of the management system.
      • Complaints may be submitted to any IQR staff member and are accepted in writing,  and via the IQR website. Complaints can be made anonymously.
      • Upon receipt of a customer complaint, the Business Operations Manager will review the complaint and confirm whether the complaint relates to certification activities under the responsibility of IQR. If the complaint relates to certification activities controlled by IQR, the Business Operations Manager will open an investigation. If the complaint does not relate to certification activities controlled by IQR, the Business Operations Manager will inform the complainant and the complaint will be closed.
        • If the complaint relates to a IQR certified client, then examination of the complaint will consider the effectiveness of the certified management system.
        • The Business Operations Manager will determine the actions required to validate and investigate each complaint and will decide what actions need to be taken in response to each complaint, on a case-by-case basis.
        • Any valid complaint about a certified client will be communicated by IQR to the certified client in question at an appropriate time. When informing the client about the complaint submitted (and in all instances during the process) confidentiality requirements shall be taken into consideration.
        • Wherever possible, IQR will provide the complainant with progress reports regarding the investigation of the complaint.
        • Unless otherwise noted, closure of complaints including the provision of feedback (and actions to be taken) to the complainant is due 60 days from date of receipt.
        • Wherever possible, IQR will provide formal notice of the end of the complaints handling process to the complainant.
        • IQR will determine, in consultation with the certified client and the complainant, whether the subject of the complaint and its resolution will be made public, and if so, to what extent.
        • Once the investigation has concluded, the Business Operations Manager or delegate will review the outcome and determine if correction and corrective action are necessary.

APPEALS HANDLING PROCESS

CLIENT APPEALS

  1. Purpose

To define the actions taken to process and adjudicate client appeals.

  1. Responsibility and Authority

IQR retains responsibility for all decisions at all levels of the appeals-handling process. The Business Operations Manager or delegate is responsible for selecting members of the Appeals Committee and chairing meetings. The Business Operations Manager or delegate is responsible for ensuring that the persons engaged in the appeals-handling process are different from those who carried out the audits and made the certification decisions. Members of the Appeals Committee are responsible to remove themselves from the appeals-handling process where a conflict of interest would prevent impartiality.

  1. Right to Appeal

All clients have the right to appeal any decision made with regard to the certification or audit process. The client must make an appeal to IQR in writing within 30 days of being notified of an impending action, including but not limited to: suspension, withdrawal, reduction of scope, or audit nonconformities.
Submission, investigation and decision on appeals shall not result in any discriminatory actions against the appellant.

  1.  Procedure
    • Upon receipt of an appeal from a client, the Business Operations Manager will acknowledge receipt of the appeal in writing. Additionally, a progress report will be provided to the appellant within two weeks of receipt.
    • Upon receipt of an appeal from a client, the Business Operations Manager will appoint three contract auditors to serve on the Appeals Committee. Members will not have participated in the evaluation or certification under appeal. The Business Operations Manager will serve as the fourth member of the Committee (non-voting) and act as Chair. Selection of members of the Appeals Committee shall take into consideration representation of program or scheme for the appellant (i.e. environmental, etc.).
    • Following selection and acceptance of the Appeals Committee members, a record of the appeal and supporting documentation is forwarded to each Committee member, allowing sufficient time for review.
    • The Appeals Committee will review all documentation for specific items that are under appeal and may request to interview any involved party to resolve any conflicting issues.
    • The Business Operations Manager will convene a meeting of the Appeals Committee.
    • After review and discussion of the appeal, the Appeals Committee will vote upon the appeal. A majority vote is required to act upon an appeal. The vote shall include recommendation for actions to be taken by either IQR or the client in response to the appeal.
    • After a majority vote on the appeal, the Business Operations Manager will advise the client in writing of the result and advise the client of right to further appeal, as applicable. The email to the client with the results of the appeal shall be saved with the appeal documentation.
    • Upon receipt of the decision of the Appeals Committee the client may contest the decision of the Appeals Committee to the Business Operations Manager. The Business Operations Manager will convene a second Appeals Committee, as per the process above, consisting of participants not involved in the first Appeals Committee. The decision of the second Appeals Committee is final.

IMPARTIALITY POLICY

IQR IMPARTIALITY POLICY

  1. IQR, in understanding the importance of impartiality, ensures the program and all certification activities are carried out objectively and free from any conflict of interest. All staff, management, and audit personnel are required to communicate any potential risks to conflict of interest and impartiality directly to IQR. The IQR Impartiality Committee oversees impartiality.  Client is required to assist IQR in ensuring that activities are free from conflict of interest by communicating to IQR any relationships with staff, management, or audit personnel that would pose a risk to the impartiality of the certification process. This includes any other personnel involved with the certification process, to include sector organizations, accreditation body personnel, consultants, and internal auditors.
  1. IQR ensures that all information about the client, whether gathered during audit activities or provided directly to IQR by the client, remains confidential. No staff, management, or audit personnel will divulge information regarding the client to any party without written consent. This does not include providing information to third parties, such as accreditation bodies or sector specific organizations that require sharing of information regarding certified organizations as part of the certification scheme. If the client’s certification requires such sharing of information, signing of the IQR Proposal grants IQR consent to provide such information. When IQR is required by law or authorized by contractual arrangements (such as with the accreditation body) to release confidential information, the client shall, unless prohibited by law, be notified of the information provided.

CONFIDENTIALITY POLICY

IQR CONFIDENTIALITY POLICY

IQR ensures that all information about the client, whether gathered during audit activities or provided directly to IQR by the client, remains confidential. No staff, management or audit personnel will divulge information regarding the client to any party without written consent. This does not include providing information to third parties, such as accreditation bodies or sector specific organizations that require sharing of information regarding certified organizations as part of the certification scheme. If the client’s certification requires such sharing of information, signing of the IQR Proposal grants IQR consent to provide such information. When IQR is required by law or authorized by contractual arrangements (such as with the accreditation body) to release confidential information, the client shall, unless prohibited by law, be notified of the information provided.

USE OF CERTIFICATION MARKS & LOGOS

RULES FOR USE OF MARKS/CERTIFICATE 

Upon Certification, the client is entitled to use the IQR Mark, the accreditation body symbol, and the certificate as evidence of certification.

  1. The Certified Organization is henceforth referred to as “certified”. Any and all reference to the certificate is considered a “Certification”. The term certified should not at any time be used in conjunction with product or service. When referring to the Certification, it is advisable to refer directly to the Management System to eliminate any misunderstanding regarding the product or service the organization provides.
  1. The IQR Mark MAY NOT, under any circumstances, be used directly on or closely associated with products in such a manner as to imply that the products themselves are certified.
  1. Organizations whose product/service includes test, calibration, or inspection reports may not use the IQR or accreditation body marks on their reports or certificates.
  1. When the IQR Mark is used, it must always be in conjunction with the company’s name and location.
  1. The IQR Mark may only be used on correspondence, advertising, and promotional materials which are related to the goods or services referenced in the scope of the company Certification.
  1. Certified clients are permitted to use a statement on product packaging or in accompanying information that the certified client has a certified management system, providing that the statement in no way implies
    that the product, process or service is certified by this means and that the statement includes reference to all of the following: identification (e.g. brand or name) of the certified client; the type of management system (e.g. quality, environmental) and the applicable standard; and the certification body issuing the certificate. Product packaging is considered as that which can be removed without the product disintegrating or being damaged. Accompanying information is considered as separately available or easily
    detachable.
  1. The Client shall immediately, upon written notification, cease and desist use of the IQR Mark in any manner which IQR interprets as misleading.
  1. The Certified Organization shall immediately, upon written notification, cease all use of the IQR Mark upon suspension or cancellation of their certificate.
  1. Any misuse of the IQR Mark is cause for suspension or cancellation of the Certified Organization’s Certificate.
  1. When reproducing the IQR Mark, no changes may be made to the color or format of the mark. The size shall be such that all features of the symbol are clearly distinguishable, the length of a side being no less than one-fourth inch, and there shall be no distortion of its dimensions.
  1. The Certified Organization has the responsibility to take care of the use or representation of the Certificate. No Certified Organization may, at any time, infer that the certificate is applicable to any other location or site of the organization other than the one(s) indicated on the certificate.
  1. IQR will review the use of marks and/or certificates during surveillance and re-certification activities. In the event the client is found to be out of compliance of requirements for use of the marks and/or certificates, IQR will require immediate action or the discontinued use of the marks and/or certificate. Representation of the certification is limited to the scope and locations identified on the certificate. If the client is unable to comply with the requirements for use of the marks and/or certificates, IQR may suspend or withdraw certification.

Company Profile

International Quality Registrars (IQR) Corporation is in the business of providing our clients with professional, cost effective QMS Certification for ISO 9001 Quality Management Systems.

We also provide QMS Subcontract Assessments and Training Solutions for clients with ISO 13485 and AS9100 Quality Management Systems.