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Introduction

Scope

Phoenix Progressive Certifications Enterprise Pvt. Ltd. (PPCE) provides impartial and independent audit and certification services for organizations operating Quality Management Systems complying with the requirements of ISO 9001:2008 (Quality management Systems), ISO 9001 (including ISO 15161: 2001 – Guidelines on the application of ISO 9001:2000 for the food and drink industry), ISO 14001:2004(Environmental Management Systems) and HACCP (Food Safety Systems).
The management stresses the importance of impartiality in the carrying out of PPCE’s operations and actively identifies and manages potential conflicts of interest to ensure the objectivity of its certification activities.  Formal identification and management of potential conflicts of interest have been detailed in a document titled ‘Conflict of interest: Risk analysis’.  This document can be made available by contacting PPCE at the email address on the official website.  Any specific concerns regarding impartiality may be recorded on the feedback form available on our website.  This will be brought to the attention of the Impartiality Committee (Advisory Council).  The Advisory Council’s decision shall be informed to the concerned party within 5 days.

Geographical areas of operation

Legal Status
Phoenix Progressive Certifications Enterprise is a Body Corporate and a legal entity incorporated under the Companies Act 1956, in India.  The main object of the company is to offer impartial and independent third party certification to organizations against various International Standards.

PPCE accreditation

PPCE offers JASANZ accredited certificates for Quality, Environmental Management, Food Safety Management, Occupational Health and Safety Systems, Information security management systems and Integrated management system certifications through Total Quality Certification Services International (TQCSI), it’s associate in Australia.
It also offers certificates for food safety against the TQCSI HACCP Code.  This code is the only one in the world that has been registered by JASANZ.

PPCE offers its services to all geographical locations within India.

Confidentiality and Impartiality
PPCE shall maintain complete confidentiality regarding all information with which it becomes acquainted as a result of its contract with the company.  All personnel employed or subcontracted by PPCE are bound by Confidentiality Agreements. 
PPCE shall conduct all certification activities with the highest degree of impartiality.  Objectivity of auditors and the certification panel shall be ascertained before every audit.  PPCE does not associate itself with any management system consultancy.  All clients shall be assessed for certification according to standard PPCE procedures, no matter which consultancy services they may have used. 2

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The Certification Process

Application For Registration

After having established the requirements for certification, the client should
fill in the application form provided by PPCE
include the application fee with the application form.  The fee will be mentioned in PPCE’s quotation.
Once PPCE receives the application along with the application fee, the client will be enrolled in its Quality Management System Certification Programme.  A letter to this effect can be issued on request as proof to the client’s customers that they have contracted with PPCE to achieve certification. In no way does the letter imply that Certification/Registration has been awarded to the client. All conflicts of interests for the certification activity will be resolved prior to undertaking the system audit  (Stage I & Stage II).  This is done through a contract review (Form 4), which is signed off by the Audit planning coordinator and/or the Quality Manager as required by procedure 13.

Documentation Review

A review of the management system documentation, (top tier documents including the Quality Manual and relevant procedures); will generally be conducted during Stage I of the System audit to ensure compliance with the relevant standard (refer ‘System Audit’).  A document review may also be required in certain other cases like a request for extension of the scope of certification.

Preliminary Audit Visit

The Preliminary Audit, or Pre-assessment, is an optional audit that an organisation may request in order to establish the degree to which the organisation is complying with the requirements of the standard before the System Audit. It is an assessment of the progress to be made before the system is ready for certification.  It provides an opportunity for the client to understand what the System Audit will entail in terms of methodology and content, as well as to identify weak areas that need attention.  Findings will be brought to the notice of the client so that necessary corrections can be made before the System Audit is undertaken.  This audit will also confirm that the allocated industry codes are applicable to the Scope as mentioned in the Application Form.
PPCE shall not conduct more than two Preliminary Audits for the same organisation.

Where a Preliminary Audit has been planned in conjunction with the client and later cancelled or postponed at the client’s behest, cancellation charges shall be levied.  For audits cancelled between seven and four days prior to the planned date, 50% of the audit fee shall be chargeable.  For audits cancelled upto three days before the planned date, 75% of the audit fee shall be chargeable.  Audits cancelled on the planned date itself shall be charged at the full audit rate.

System Audit

The System Audit shall be conducted in two stages.
Stage I shall be performed in order to:
a) Audit the management system documentation
b) Evaluate the location and any specific conditions impacting the operation of the management system
c) Review the understanding regarding requirements of the standard and the management system
d) Collect necessary information regarding the scope of the management system, related statutory and regulatory aspects and compliance
e) Provide a focus for planning Stage II and to agree with the customer on details including the time required for interval between Stages I and II.
g) Evaluate the effectiveness of internal audits and management reviews, and the level of implementation of the management system
Stage II is conducted to evaluate the implementation, including effectiveness, of the customer’s management system. The Stage II audit shall always take place onsite and shall include:
a) Collecting information and evidence of conformity to all requirements of the applicable management system standard.
b) Verifying compliance to the findings of the stage 1 audit including documentation adequacy.
c) Reviewing results from performance monitoring, measuring, reporting and reviewing against key performance objectives and targets
d) Reviewing management responsibility, internal auditing and management review
All records resulting from the implementation and operation of the Management System must be made available to the audit team for evaluation.
The audit team shall compare what is documented against actual practices of the Company’s staff, and will look for objective evidence, such as records, etc., for verification.
At the end of this audit, the audit team shall make an assessment as to whether the organisation shall be recommended for certification on the basis of the nature and criticality of its findings.
The client shall sign a License Agreement to indicate acceptance of the terms and conditions laid down by PPCE regarding the use of the Certification Mark.
The findings of the audit contribute towards alerting the management and staff to opportunities for improved efficiency and waste elimination, which are very relevant aspects of any Management System.
For organisations where a pre-assessment has been conducted, the onsite time required for the System Audit shall not be reduced and the findings of the pre-assessment shall not have any bearing on the conduct of the System Audit. PPCE has the right to modify the proposal in case the information provided in the Quotation Request Form is incorrect, on the basis of Stage I audit, or during surveillance audits.
Where either stage of the System Audit has been planned in conjunction with the client and later cancelled or postponed at the client’s behest, cancellation charges shall be levied. For audits cancelled between seven and four days prior to the planned date, 50% of the audit fee shall be chargeable.  For audits cancelled upto three days before the planned date, 75% of the audit fee shall be chargeable.  Audits cancelled on the planned date itself shall be charged at the full audit rate.

Audit Findings

At the end of each audit, the audit team shall report its findings to the management.  Findings shall be classified as:
Positive Observation: Areas of strength that the company can exploit, or areas that have been strengthened since the audit team’s previous visit.

Discrepancy: A single or isolated set of deviation/s from the standard, having negligible impact on the QMS, or inefficient/unsafe practices, not within the purview of the management system in question, observed and reported to the management for its knowledge and/or action. 
PPCE will not specifically check for action taken against discrepancies outside the scope of the QMS.  Discrepancies within scope shall be verified at the next visit.

Minor Non Conformance: A single or small number of variations in the implementation of the system, from what has been prescribed in the Organization’s documentation or the relevant Standard, contributing to a limited impact on the overall management system.  This may include repetitive discrepancies in one or various department/s of an organisation contributing to an overall (limited) impact on the QMS in relation to an element of the Standard.

A corrective action plan must be submitted by the client for each minor nonconformance raised in order for the audit team to recommend certification or continuation.  The plan shall include a root cause analysis of the nonconformance, action planned and a target completion date.

Major Non Conformance: The total absence of, or failure to, implement and maintain, one or more quality system requirements, or a situation that would, on the basis of available objective evidence, raise significant doubt as to the quality of what the organization is supplying.   This may include repetitive minor nonconformances in one or various department/s of an organization contributing to an overall system failure in relation to an element of the Standard.

For a major nonconformance, the corrective action plan must be submitted to PPCE for approval much the same way as described above for minor nonconformances. In addition, it is necessary to allow a physical verification by PPCE, within 60 days of the audit, of the action taken.   If action is found satisfactory, the audit team shall proceed with its recommendation. If action is not satisfactory, PPCE shall inform the client that certification cannot proceed or shall be suspended until such time that effective action can be demonstrated, failing which, withdrawal of certification shall be initiated within a further 60 days from suspension.

Recommendation

If Stage II of the System Audit indicates only minor nonconformances for which corrective action plans have been received and accepted by PPCE, the auditor will recommend to the PPCE Certification Panel that the organisation be certified.  Upon acceptance, the client will be awarded a certificate confirming the organisation’s registration as a Certified Company, subject to clearance of all dues.
Note: The certificate shall not be released till such time that all dues are completely cleared.                                                

The certificate of registration is the property of Phoenix Progressive Certifications Enterprise, and shall not be copied or reproduced in any way without the prior written approval of PPCE.
The certification of registration will be valid for a period of three years from the date of issue of the certificate, subject to the condition that surveillance audits confirm satisfactory maintenance of the Management System.

Surveillance Audit

Surveillance audits are conducted regularly to ensure that the Client’s Management System continues to conform to the requirements of the standard to which it is certified. The purpose of these audits is to verify that the approved Management System continues to be implemented and to consider the implications of changes to the system initiated as a result of changes in the organisation’s operation.  Surveillance Audits are controls to confirm continuous conformity with certification requirements and usage of the Certification Mark.  
The frequency and number of these surveillance audits will depend on the efficacy of the client’s Management System. Five surveillance audits are preferred for regular maintenance and upgrade of the Management System during the three-year period of Certification of Registration.  In any event, at least one Surveillance Audit shall be conducted every year depending on the confidence of PPCE in the organisation’s Management System.
In the event that more than a single surveillance audit is conducted during a year, PPCE shall decide which elements are to be audited during each of the surveillance audits, ensuring that all elements of the Standard are audited once in the three-year cycle. However, certain key elements crucial to the success of the Management System will be included in each surveillance audit.  Some of these elements are internal audits, corrective actions and handling of customer complaints.
PPCE shall be granted access for surveillance purposes whenever deemed necessary.
Where surveillance audits have been planned in conjunction with the client and later cancelled or postponed at the client’s behest, cancellation charges shall be levied.  For audits cancelled upto seven days before the planned date, 50% of the audit fee shall be chargeable.  For audits cancelled upto four days before the planned date, 75% of the audit fee shall be payable.  Audits cancelled on the planned date itself shall be charged at the full audit rate.
For each surveillance audit conducted, PPCE will prepare a report that will provide the client with feedback regarding the results of the audit.
For major non-conformances, a follow-up audit shall be conducted to verify that corrective action taken is appropriate and adequate before continuation of the organisation’s registration is recommended.  Corrective action must be verified for effectiveness within the stipulated period of two months to avoid suspension of registration.
For minor non-conformances, a corrective action plan with analysis of root cause and target dates for completion shall suffice to allow the organisation’s registration to continue.  Corrective Action taken shall be verified at the subsequent audit and the non-conformance shall be cleared if action taken is found appropriate and adequate.  If corrective action is not found to be satisfactory, the non-conformance shall remain pending for clearance and an additional non-conformance against effective corrective action shall be raised.
Surveillance audits must be carried out within 150 days of the scheduled date to avoid suspension and within 180 days to avoid cancellation of registration with PPCE.  If a surveillance audit cannot be carried out because the organisation’s operations are affected owing to factors outside its control, e.g.: employee union strike, natural calamity, etc. the case shall be presented to the Quality Manager for review.  However, suspension cannot be waived beyond a period of 240 days.  Withdrawal shall be initiated within 30 days of suspension if an audit is still not scheduled.

Triennial Audit

Certification of an organisation’s management system is valid for a period of three years.  At the end of this period, certification must be renewed through the conduct of another comprehensive audit on the lines of the System Audit (Stages I & II).  If the Triennial Audit reveals evidence that the client’s company has maintained and continually improved the status of its Management System, PPCE shall renew the certification of registration for another three years.
For triennial audits, when instances of nonconformance are identified by PPCE, the time limit for implementation of correction and corrective action shall be prior to expiry of certification.

Follow up audit

If one or more major non-conformances are found during a System or Triennial Audit, a follow up audit is conducted to verify action against the specific non-conformance.  Certification shall be recommended or continued as applicable if the non-conformance is cleared or reduced to discrepancy status.  Such verification must take place within two months.  If this timeframe is not adhered to in the case of a System or Triennial Audit, the organisation, at its own expense, shall need to undergo a complete audit all over again in order to achieve certification.  In case of a Surveillance Audit where a major nonconformance cannot be closed or reduced to minor within two months, registration shall be suspended for a period of sixty days.  If corrective action is still not verified within this time, the client’s registration shall be withdrawn.

Change of Address/ Extension / Reduction of the Scope of Registration

A client wanting to extend / reduce the scope of the registration to include / exclude products, processes, services or sites will need to make a written application to PPCE.

The application procedure for the extension of the scope will be the same as the application procedure for the initial scope of registration.  The fee will depend on the amount of work and time involved for extension of scope of registration.

PPCE will calculate the auditor duration required to conduct an audit covering those aspects required to be added to the scope.  If the audit finds no major non-conformities the client will be issued an amended Registration Schedule covering those aspects, but if the client fails to meet the certification requirements persistently or seriously then PPCE shall reduce the clients scope of certification to exclude the parts not meeting the requirements.

The client will retain the amended certificate of registration for the remainder of the tenure of the certificate.

The PPCE certificate shall bear the address of the site or sites where the audit was conducted.  If the client wishes to make a change in the address, a written application shall be made to PPCE, which shall determine what needs to be done to maintain the status of the registration.

Short notice audits, Verification visits & Modification to the Management System

Short notice audits by PPCE shall be planned:

1. to investigate complaints received from interested parties
2. to verify the QMS in case of changes by client with respect to

1. Legal, commercial, organizational status or ownership
2. Organisation and management (key staff at all levels)
3. Contact address and sites

For complaints, the team shall investigate and validate complaints against certified clients.  The audit shall be planned for a day or less and shall address specifically the area within which the complaint has been received.  The client shall be informed of the audit on the same morning for which it has been planned.  The audit team shall submit the findings of investigation to the Quality Manager for review and authorization of further action.

Accreditation body reserves the right to conduct ‘verification visits’ at a client’s premises at short notice. These may be random visits to verify the level of implementation of the management system or as a means of investigation of complaints.

If the client intends to modify the product, process or Management System, in any way that might affect compliance with the Management System, PPCE shall be informed immediately.  PPCE shall decide whether these changes need an additional audit.  Notice of an audit shall be given three days prior to the audit.  If it is found that the client has failed to inform PPCE of such changes to the Management System, registration status may be adversely affected.

Publicity by Certificate Holders

A certified client has the right to publish that its Management System has been successfully audited and registered.  The Certification Mark may be used on the company’s stationery and promotional material as indicated in the bromide, which will be provided on granting of certification.
In all its publications, advertisements and dealings, the certified customer shall ensure that there is not the slightest implication that the scope of Certification extends to more products, sites or locations than those registered by PPCE.

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General

General Conditions for Certification

The applicant shall supply the audit team with all relevant information to establish the status of the Management System.
If PPCE is not satisfied that all the requirements for registration are in compliance, it shall inform the applicant of the observed deficiencies and ask for corrective action to be taken.
For major nonconformances raised, once the client intimates that effective corrective action has been implemented within the stipulated time, PPCE will conduct a follow-up audit for those relevant parts of the Management System in question to verify appropriate and comprehensive compliance.  The follow up audit will be at extra cost to the applicant.
Where it cannot be established that effective corrective action has been taken within the specified timeframe, PPCE may define the specific activities and locations that may be certified and those that may not.

The applicant shall enter into a legally binding contract with PPCE.  This contract shall consist of two agreements that shall be signed at different stages of the applicants association with PPCE.

• The Application Form, F03, shall be signed on acceptance of PPCE’s quotation and the terms stipulated in the regulations for Certification.
• The Trade Mark Licence Agreement, F12, shall be signed at the time of certification.

Both these agreements shall remain valid until the end of the current 3 year certification cycle.  New agreements shall be entered into for each re-certification cycle.
The applicant shall not claim or other wise imply that the certification applies to other locations or activities not covered by the issued certification.
PPCE shall give its certified clients due notice of any changes to its requirements for certification. This will include informing them about the changes in audit procedures. PPCE shall verify that each certified client complies with new requirements.

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Fees

Fees

The fees shall be detailed in the application form to be filled in by the client.  Fees are charged on the basis of applicable rates at the time of submission of the quotation. PPCE may revise the fee submitted in the quotation during the Certification period.  Clients shall be notified of any change in the fee.
If an additional audit is required due to the client’s request for a change in the scope of registration, PPCE shall charge an extra fee for such audit.
For any extra surveillance or follow-up audits that may become necessary owing to non-compliance or the client’s own will, PPCE shall charge over and above what is mentioned in the quotation.
PPCE shall charge the client for any extra work resulting from suspension/withdrawal/or cancellation of the Certificate.
If PPCE needs to charge extra fees for any scheduled or unscheduled work, it shall send a letter to the client giving a clear basis for the extra fee.

The applicant shall pay PPCE fees in the following structure:
Application fees (in rupees).
Stage I audit fees (in rupees).
Stage II audit fees (in rupees).
Special audit fees – where applicable – (in rupees).
Surveillance audit fees (in rupees).
Service tax as applicable subject to change in government rules.
Travel, Lodging & Boarding at actual.
Sundry expenses @ 3% & above invoice value excluding reimbursable expenses and application fees.      
Fees shall be payable within 7 days of the invoice date.

For system audits, triennial audits or scope extensions, a fresh certificate shall be issued after full and final payment is received by PPCE.  In case of non payment of fees within 90 days from the date of invoice, the certificate shall not be issued (i.e. will be cancelled).    

For already certified clients, certification shall be suspended after a period of 60 days from date of invoice, and withdrawn after a further 30 days if full and complete payment is not received by PPCE.

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Code of Conduct

Misuse of Certificate

PPCE has the right to suspend, withdraw, or take legal action against any certificate holder who misuses the Certificate of Registration, by making misleading or incorrect references to registration in any of its printed matter.  PPCE also has the right to publish in newspapers and other media the name of the Company and the reason for action being taken against it.

Suspension of Certificate

PPCE may suspend a certificate for a limited period if the certificate holder:

1. does not provide appropriate or timely Corrective Action for a Major Nonconformity raised during a Surveillance Audit within the stipulated  period.
2. misuses the certificate or Certification Mark by implying that the certificate covers areas other than those specifically mentioned in the Certificate
3. fails to correct within the stipulated time the false impression created by misleading printed material
4. does not honour Surveillance Audit schedules (certification shall be suspended if the client does not allow an audit within 150 days of the required schedule)
5. does not honour financial/contractual obligations with PPCE

is guilty of any other contravention of the PPCE code of conduct indicated in this document.

During the period of suspension the client may not project itself as registered under a Management System Programme.

PPCE shall send the registrant a letter informing him/her of the suspension explaining the reasons for such a suspension.  The letter shall also list the terms and conditions under which the suspension may be lifted.

Immediately prior to the lapse of the suspension period, PPCE shall carry out an investigation to verify that all the conditions necessary for lifting of the suspension have been fulfilled.  If it is found that the conditions have not been fulfilled, the certificate shall be withdrawn.

PPCE shall recover from the client all costs incurred for suspending and reinstating the Certificate.

Withdrawal of a Certificate

A Certificate may be withdrawn if:

1. the client has not corrected the infractions mentioned in the letter of suspension within the stipulated period of two months
2. inadequate measures are taken by the company in the case of suspension
3. the client fails to allow a Surveillance Audit within 180 days of the original surveillance audit schedule
4. the client fails to comply with the due settlement of its financial obligation within the stipulated period

PPCE shall send a letter to the registrant informing him about the withdrawal of the Certificate and the reason for the withdrawal.

The company is not entitled to reimbursement of Audit fees if the certificate is withdrawn.

The Organisation may give notice of appeal against PPCE’s decision to withdraw the Certificate.  (Refer section on Appeals).

The website shall at all times display a list of registered clients along with their current certification
status.  In addition to this, PPCE reserves the right to publish the withdrawal of a Certificate in any
way it sees fit.

Cancellation of A Certificate

PPCE shall cancel a Certificate if:

1. the company does not wish to renew certification
2. the product, process or service is no longer offered
3. the Company goes out of business.

No fees will be reimbursed.

PPCE reserves the right to publish the cancellation of the Certificate.
PPCE shall display on its website, the client name, location and current certification status.

The Database Manager shall, on request, provide information regarding validity and other details that PPCE may disclose at liberty.

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Complaints & Disputes

Complaints & Disputes

Complaints may be lodged by any party against PPCE or its registered clients.  Disputes may be lodged in relation to a disagreement between a party and PPCE regarding PPCE’s decisions or interpretation of legal requirements binding either party.
Complaints and disputes may be lodged by calling into the PPCE Head Office or regions, or may simply be registered by logging onto the PPCE website.
Complaints for which an immediate resolution is possible shall be looked into by the Quality Manager and action taken shall be informed to the party within 7 days of receipt. 
If a complaint cannot be immediately resolved, the party shall be informed of proposed action to be taken and timeframe within which it shall be completed within 10 days of receipt.
Disputes shall be referred to the Chairman of the Board of Directors and a resolution shall be communicated within the same timeframes indicated above.  If the complainant is still unhappy with the verdict, an appeal may be lodged as described below.

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Appeals

Appeals

Complaints may be lodged by any party against PPCE or its registered clients.  Disputes may be lodged in relation to a disagreement between a party and PPCE regarding PPCE’s decisions or interpretation of legal requirements binding either party.
Complaints and disputes may be lodged by calling into the PPCE Head Office or regions, or may simply be registered by logging onto the PPCE website.
Complaints for which an immediate resolution is possible shall be looked into by the Quality Manager and action taken shall be informed to the party within 7 days of receipt. 
If a complaint cannot be immediately resolved, the party shall be informed of proposed action to be taken and timeframe within which it shall be completed within 10 days of receipt.
Disputes shall be referred to the Chairman of the Board of Directors and a resolution shall be communicated within the same timeframes indicated above.  If the complainant is still unhappy with the verdict, an appeal may be lodged as described below.
Appeals
An Appeal may be lodged in writing with the Quality Manager against decisions by PPCE.  Redressal may be sought from the Appeal Panel of PPCE through an Appeal Form, issued on request, accurately and completely filled in, for its consideration.
The Appeal Panel shall be constituted by the Director from amongst members of the Advisory Council on the basis of industry expertise.  (Please see foot note)
The party shall be informed of the composition of the Appeal Panel.  The party shall have the right to object to the constitution of the Panel as well as the right to present her/his case at the hearing, which shall not take place later than 21 days of acceptance of the Appeal Form by the Quality Manager.
The decision of the Appeal Panel shall be communicated to PPCE not later than sixty days of the hearing.
The decision shall be communicated to the appellant by PPCE within 3 days of being reached followed by a formal, written communication.
The appellant may not make any claim against PPCE for reimbursement of costs or any losses incurred as a result of the decision.
Submission, investigation and decision on appeals shall not result in any discriminatory actions against the appellant
Phoenix Progressive Certifications Enterprise Pvt. Ltd. reserves the right to add to, delete from, or change this code of practice without prior notification.

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