Policy Statement

This Policy Statement guides the Health and Safety Management for Global Registrar of Systems (GRS). Our policy is to provide a zero-harm work environment for our employees and those affected by our work.

We are committed to provide safe and healthy working conditions, prevent work related injury and ill health and eliminate hazards and reduce OH&SMS risks.

We use ISO 45001:2018 and AS/NZS 4801:2001 management systems as a framework to establish OHSMS objectives, risks and opportunities.

We are committed to comply with all relevant legislations, regulations, codes of practices and safe operating procedures.

We ensure communication and active participation of our employees and contractors, promotion of our zero-harm culture, provision of adequate resources, implementation of OHS management systems and strive for our continuous improvement.

We comply with all relevant OHS legislations and other requirements to which GRS services are promised.

We identify all potential hazards and ensure all incidents and injuries accurately recorded, reported, and investigated.

We ensure that our employees and contractors will work safely, report incidents promptly, make safe decisions and actively engage in the promotion of safe work practices. Our leaders have their respective roles to ensure the provision of a safe working environment and are committed to providing ongoing safety awareness to GRS personnel.

Approved: General Manager Risk and Compliance

Updated on 5/10/2018

Global Registrar of Systems (GRS) declares that it will comply with the requirements of impartiality within all its certification activities. The confidentiality, objectivity, and impartiality of the certification activities by and on behalf of GRS, shall not be affected by the activities of its certified clients.

In addition to the commencement of GRS management, an Impartiality Committee is appointed to ensure that the policies, practices, and operations are in accordance with ISO17021-1:2015 and the guidance is issued in relation to this standard.

To show effective Implementation of the policy, GRS guarantees the following:

• GRS shall not certify another certification body for its activities related to management systems certification.
• GRS shall not certify own group companies (if there are such companies) or organisations that GRS is a part of or a member.
• GRS or any part of GRS and any entity under the organisational control, shall not offer or provide management system consultancy services for realisation, continuity, and sustenance of certification.
• GRS shall not allow any consultancy organisation to market or offer the activities of GRS.
• Personnel, who have provided consultancy, within two years to the organisation seeking certification, are not allowed to take part in audit or other certification activities.
• GRS shall not provide internal audits for its certified clients, and shall not certify a management system for which it has conducted internal audits within two years following the end of internal audits.
• GRS shall not state or imply that certification would be simpler, easier, faster, or less expensive if a specific consultancy organisation was used.
• GRS shall not provide services or specific and detailed advice or training on design, implementation, and maintenance of management systems subject to certification.
• GRS or its employees shall not participate in decision process of management system issues subject to certification.
• GRS and its employees shall not participate in preparation and procurement of manuals, guides, and procedures subject to certification.
• GRS shall not outsource audits to a management system consultancy organisation as this poses an unacceptable threat to the impartiality of the certification body though this does not apply to individuals contracted as auditors or technical experts.
• GRS shall not provide certification services to a client when relations between the consultancy company and GRS could lead to impartiality threat.
• GRS shall not allow any kind of pressures (commercial, financial, trade, administrative, moral, or other) over GRS and the personnel (to compromise impartiality) regarding the execution of their obligations as a Management Systems Certification Body according to ISO/IEC 17021-1:2015.
• GRS does not receive any financial support different from the invested in it and the fees of its services, also does not pay any commissions to consultants, therefore there can be no undue influence exercised on GRS by consultants.
• GRS shall not allow any pressures from other certification bodies to influence the certification process in the organisation. If other certification body declines to provide services for a client and the client requests the same service from GRS, then GRS shall investigate the reasons for declining before performing any other certification activities for the respective client.
• GRS shall not allow any undue influence from any employees and/or related persons/clients and/or consultancy organisations. If there is any such pressure, then GRS will apply requirements of ISO/IEC 17021-1:2015 and internal procedures in order to stop such practices.

Further, GRS identifies, analyses, and documents all possibilities for conflict of interests that emerge from certification processes including any conflicts that emerge from its relations. Presence of relations does not necessarily position GRS in a situation of conflict of interests. If some relations create impartiality threats, GRS documents and eliminates or decreases such threats. When potential impartiality threat arises, GRS eliminates it or decreases it. It is necessary to cover all possible sources of conflicts of interest that are identified regardless of their origin. This will promptly be presented to the GRS Board of Directors, and the process shall be controlled by the Impartiality Committee.

GRS requires from all employees, internal and external, to comply with impartiality rules as well as to reveal any situation known to them that may present them or GRS with a conflict of interests. GRS shall use this information as inputs in identifying threats to impartiality raised by the activities of such personnel or by the organisation that employs them. Such personnel, internal or external shall not be used unless they demonstrate that there is no conflict of interest. GRS shall not undertake any actions that threaten the impartiality and/or are potential conflicts of interest. When certain relations create unacceptable impartiality threats, then the certification shall not be conducted.

All employees are obliged to work in compliance with the requirements of ISO/IEC17021-1:2015 as well as of GRS contracts.

The top management is committed to a full compliance with this declaration.

Approved By:

General Manager Risk and Compliance

Date: 10/07/2017

Certification marks are the signs of credibility in management systems certification, and are valued by our clients. We best endeavour to protect the marks and ensure its appropriate use by our clients. Global Registrar of Systems (GRS) will control the use of certification marks and accreditation symbols by this policy implication.

OUR RULES TO ENSURE APPROPRIATE USE OF CERTIFICATION MARKS

• We only provide permission to use marks and accreditation symbols in legitimate circumstances.
• All certificates issued by GRS shall be remained as GRS properties and must be returned when requested.
• Our clients must only use certification marks and accreditation symbols in a way that accurately reflects the scope of their certification. This includes sites and locations certified and the management systems certified.
• We provide our clients with access to marks and symbols to promote their business as well as certification achievement appropriately.

REGISTERED COMPANY’S LOGO

• The GRS registered companies’ logos are granted to use in conjunction with the certification mark under the licence to those client companies who have obtained certification of their management systems by GRS after successful assessment to the applicable standards.
• The marks can be applied to stationery and publicity material that relates to the company’s Scope of Registration. This can include brochures, product cards, advertisements etc.
• The marks shall not be used on laboratory test reports, calibration and inspection certificates and not applied directly to the product or packaging, whether secondary or primary or in such a manner as to imply that any individual product has been approved. Where the logo is used, the Certificate Registration number must also be clearly indicated.
• The marks may be reproduced which is unlimited, but must conform to the given example by GRS.

ACCREDITATION LOGO

• Where the GRS Registration Certificate has been issued under JASANZ accreditation, Accreditation body’s logo is too used in combination with the GRS Registered companies’ logo, as applicable.
• The Accreditation Logo may only be used in combination with the GRS’s registered company’s logo and is limited to stationery, literature and other written promotional materials. It cannot be applied to the product or packaging whether secondary or primary, that the type of labels or identification plates are considered as parts of the product.
• Where clients use any statement on product packaging or in accompanying information that the certified client has a certified management system, product packaging will be considered that can be removed without the product disintegrating or being damaged.  Accompanying information is considered as separately available or easily detachable.  The statement shall in no way imply that the product, process or service is certified by this means. The statement shall include reference to identification (e.g. brand or name) of the certified client; the type of management system (e.g. quality, environment) and the applicable standard; and GRS identification that issuing the certificate.
• The Accreditation Logo may be reproduced which is unlimited, but must be in accordance with the example given by GRS.
• Certification marks and/or accreditation symbols must not be used in a way that could be misinterpreted as endorsing a product certification, laboratory tests, calibration or inspection report. They must not be used in any way that suggests a government authorisation or endorsement.
• The Certification Body/Accreditation Logo may be uniformly reduced or enlarged based on the size and shape of the printing materials.

• This use of certification marks and/or accreditation symbols must not be misleading or ambiguous in any way.
• If an accredited certificate holder fails to comply with GRS terms and conditions and with these regulations, or uses the logos in any misleading manner, GRS may advise for correction and corrective action, and in cases, GRS reserves the right to suspend, withdraw or cancel its certificate upon which action, the certificate holder shall immediately cease to use the logos and withdraw the existing stock of its stationery and other promotional brochures etc. bearing the logos, from further use. Such actions may further lead to publication of the transgression, and if necessary, legal action.

NOTE: Any misuse of GRS and JASANZ logos without prior approval is liable for penal prosecution as per the legal provisions of trade mark and patent laws primarily of Australia and New Zealand government, and of other relevant legal principles of the country or region in which the registered company is operating.

Approved By:

General Manager Risk and Compliance

Date: 18/12/2017

GRS ABN: 98614354415

GRS ACN: 614354415

Useful links about legislation:

Australia Australian Legislation

Safe Work Australia 

WorkSafe Victoria

Worksafe Western Australia

Worksafe New Zealand New Zealand Legislation

Worksafe New Zealand

UK United Kingdom Legislation

Health and Safety Executive

Canada Canada Legislation

GRS comply with a range of other requirements (eg. ANZ Standards, codes of practices, directives from assessment authorities, IAF and ISO/IEC 17021 seris of standards)

To know more about the compliance with other requirements, please call us on: 1300 007 477 or e-mail us.

For any Appeal and Compliant please call us on 1300 007 477 or please complete the form below and e-mail us to certification@grscertification.com.

Appeal and Complaint Request Form

Please download this Feedback Form and send us the filled out form via email.

Why should our organisation be certified?

QSE (Quality, Safety and Environment) certification provides confidence in the organisation’s ability to meet its own QSE policy, including the commitment to comply with applicable legislation, and to continually improve its performance. It does not ensure that the organization is currently achieving optimal system performance.

Why should we be ISO 14001 certified?

The purpose of ISO 14001:2015 is to provide organizations with a framework to protect the environment and respond to changing environmental conditions in balance with socio-economic needs. ISO 14001:2015 helps an organization achieve the intended outcomes of its environmental management system, which provide value for the environment, the organization itself and interested parties. Consistent with the organization’s environmental policy, the intended outcomes of an environmental management system include:
– enhancement of environmental performance;
– fulfilment of compliance obligations;
– achievement of environmental objectives

Why should we be ISO 9001:2015 certified?

ISO 9001:2015 specifies requirements for a quality management system when an organization: needs to demonstrate its ability to consistently provide products and services that meet customer and applicable statutory and regulatory requirements; and aims to enhance customer satisfaction through the effective application of the system, including processes for improvement of the system and the assurance of conformity to customer and applicable statutory and regulatory requirements.

Why should we be ISO 45001:2018 certified?

ISO 45001:2018 provides a framework for the enterprises to implement an effective Occupational Health & Safety Management System (OHSMS). A OHSMS enables company to identify hazards, assess risks and help business take preventative measures to avoid accidents or incidents. The certification process also help business achieve following aspects:

• The business can deliver confidence to employees about excellent health and safety practice;
• Preventing incidents could save downtime, hence improve the productivity;
• OHSMS can highlight the training requirements about critical safety areas and could help continually monitor health and safety performance.

Can ISO 9001:2015 Certification ensures quality of product/services?

It is important to recognize that ISO 9001:2015 defines the requirements for an organisation’s quality management system, not for its products and services. Certification to ISO 9001 should provide confidence in the organisation’s ability to “consistently provide products that meet the customer requirements as well as the applicable statutory and regulatory requirements”. It does not necessarily ensure that the organisation will always achieve 100% product conformity, though this should of course be a permanent goal.

ISO 9001:2015 certification does not imply that the organisation is providing a superior product or service, or that the product or service itself is certified as meeting the requirements of an ISO (or any other) standard or specification.

Does Management Systems Certification (MSC) define performance criteria?

MSC defines the requirements for an organisation’s Quality, Safety and Environmental (QSE) management system, but does not define specific management system performance criteria.

Does ISO 14001:2015 mean full regulatory environmental audits?

The ISO 14001:2015 certification process does not include a full regulatory compliance audit and cannot ensure that violations of legal requirements will never occur, though full legal compliance should always be the organisation’s goal.

Does 14001:2015 guarantee the prevention of environmental incidents?

Certification to ISO 14001:2015 does not necessarily indicate that the organisation will be able to prevent environmental accidents from occurring.

• INTRODUCTION

International standards such as ISO 9001:2015, ISO 14001:2015, AS/NZS 4801:2001 and ISO 45001:2018 series stipulate the minimum requirements for a documented Quality/Environment/Occupational Health and Safety Management systems of a company to be established, and a Certificate of Compliance to these standards has now become an international criterion of assessing a company’s credibility and capability to consistently meet quality standards towards meeting customer satisfaction.

1. PURPOSE

The purpose of this description of GRS Quality Safety Environment (QSE) certification schemes is to provide relevant information regarding GRS services for conducting an impartial and competent assessment of a company’s management system, and maintenance of an accredited certification against ISO 9001:2015, ISO 14001:2015, AS/NZS 4801:2001 and ISO 45001:2018 standards.

1. SCOPE

The accredited certification scheme operated by GRS is a third-party system certification scheme with an objective of giving recognition to companies who have effectively implemented, and operates in a verifiable documented system. It covers the following scopes:

• Preliminary meeting the scope of registration within the applicable standard.
• Conducting independent audits for certification.
• Issuing accredited certifications as per accredited scopes/sectors.
• Surveillance and other required visits for verification of conformance of systems to certification standards.

• APPLICATION AND PROPOSAL FOR CERTIFICATION

Enquiry and Application:

Upon receipt of an enquiry, the Application for Registration is required to be completed by the applicant company.

Proposal for services:

Based upon the information provided, an independent review will be done. After a successful review done a detailed offer is submitted for client’s consideration and acceptance. Upon acceptance of GRS services and fee proposal together with the applicable fees, the process of certification commences with scheduling of audits on mutually agreeable dates.

• AUDIT PROCESS

Initial certification audit shall be conducted in two stages: Stage-1 Audit and Stage-2 Audit.

Stage-1 Audit: Audit

The Stage-1 audit shall be conducted to achieve the following objectives:

• review the client’s management system documented information;
• evaluate the client’s site-specific conditions, and undertake discussions with the client’s personnel to determine the preparedness for the Stage 2 audit;
• review the client’s status and understanding regarding requirements of the standard, in particular, with respect to the identification of significant aspects, processes, objectives and operations of the management system;
• obtain necessary information regarding the scope of the management system, including the client’s site(s); processes and equipment used; levels of controls established (particularly in the case of multisite clients); and applicable statutory and regulatory requirements;
• provide a focus for planning the Stage-2 audit by gaining a sufficient understanding of the client’s management system and site operations, in the context of management system standards or other normative documents;
• evaluate that the internal audits and management reviews are performing as planned; and
• assess the level of implementation of the management system that substantiates the client if they are ready for the Stage 2 audit or not.

Interval between Stage-1 and Stage-2 Audit:

In determining the interval between the Stage 1 and Stage 2, consideration will be given to the needs of the client to resolve areas of concern identified during the Stage 1.  The Client Manager may also need to revise its arrangements for the Stage 2. If any significant changes occur, which would impact the management system, the Client Manager may consider the need to repeat all or parts of the Stage 1 audit. In such a case, the client will be notified in advance that the results of the Stage 1 audit may lead to postponement or cancellation of the Stage 2 audit.

Stage 2 Audit:

The purpose of the Stage 2 audit is to evaluate the implementation including effectiveness of the client’s management system. The Stage-2 audit must be conducted onsite that will include auditing of at least the following:

• information and evidence about conformity to all requirements of the applicable management system standard or other normative document;
• performance monitoring, measuring, reporting, and reviewing against key performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document);
• the client’s management system ability and its performance regarding meeting of applicable statutory, regulatory, and contractual requirements;
• operational control of the client’s processes; internal auditing and management review; and
• management responsibilities for implementing the client’s policies.

In the Stage-2 Audit, the audit team/auditor shall spend at least 75% of time for conducting the onsite audit. While preparing the audit program, GRS shall ensure that the audit team spends the majority of Stage-2 audit time in verifying the effective implementation of the management system in the locations where the organisations’ activities take place. The team also will include on-site audits of the temporary sites.

If there are any exclusions, that will be clearly identified in the audit report, and the validation of exclusions will be verified during the Stage-2 assessment.

Requirements for Audit Sites and Audit Duration Calculation for QMS, EMS, and OHS/OHSMS:

General and specific requirements for Audit Sites and Audit Duration Calculation for QMS, EMS, and OHS/OHSMS will be adequately following Audit Duration calculation procedure of GRS.

Multisite Requirements:

GRS shall provide certification of multiple site organisations based on sampling in accordance with IAF MD1:2018 and except that all high OHS/OHSMS complexity sites shall be included in the certification, surveillance and re-certification audit samples. Multisite duration shall be calculated following GRS Audit Duration Calculation procedure.

Surveillance Audit Process:

GRS Surveillance Audit shall be conducted within one calendar year form the date of initial certification. GRS shall ensure that the date of surveillance audit should not be more than 12 months from the date of certification decision.

Surveillance activities include on-site audits for assessing the certified client’s management systems’ fulfilment of specified requirements with respect to the standard against which the certification is granted.

Other surveillance activities may include enquiries on the aspects of certification, reviewing any client’s statement with respect to its operations (e.g. promotional material, website), requests to the client to provide documents and records (on paper or electronic media), and other means of monitoring the certified client’s performance.

Surveillance Audit shall include:

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

Re-certification Audit Process:

The purpose of the recertification audit is to confirm the continued conformity and effectiveness of the management system as a whole, and its continued relevance and applicability for the scope of certification. Recertification audit shall be planned and conducted to evaluate the continued fulfilment of all the requirements of the relevant management system standards or other normative documents.

GRS recertification audit must be conducted prior to the expiry of certification. Prior to the recertification audit, information related to systems, processes, or scope of operations shall be communicated between the client and GRS.

GRS recertification audit include the review of previous surveillance audit reports and consider the performance of the management system over the most recent certification cycle. Where there have been significant changes to the management system, the client, or the context in which the management system is operating, GRS may initiate a Stage 1 audit in the changed situations (e.g. changes to legislation).

Recertification audit include an on-site audit that addresses the following:

• the effectiveness of the management system in its entirety in the light of internal and external changes and its continued relevance and applicability to the scope of certification;
• demonstrated commitment to maintain the effectiveness and improvement of the management system in order to enhance the overall performance;
• the effectiveness of the management system with regard to achieving the certified client’s objectives and the intended results of the respective management system (s).

When recertification activities are successfully completed prior to the expiry date of the existing certification, the new certificate may be issued. In that case, the certification date will follow the certification cycle based on the current assessment.

In case, if GRS has not completed the recertification audit or is unable to verify the implementation of corrective actions for any major nonconformities prior to the expiry date of the certification, recertification will not be recommended, and the validity of the certification will not be extended. The client shall be informed, and the consequence shall be explained.

Following expiration of certification, GRS can restore certification within six months, provided that, the outstanding recertification activities are completed, otherwise at least a stage 2 audit shall be conducted.

The effective date will be noted on the certificate on or after the recertification decision, and the expiry date will be based on the previous certification cycle.

6     NCR MANAGING PROCESS:

If required, GRS assessor may initiate following types of findings during the assessment.

1. Major Non-Conformance Request
2. Minor Non-conformance Request
3. Opportunity for Improvement (OFI)

Non-Conformance Request (NCR)_ Major: 

Nonconformity that affects the capability of the management system to achieve the intended results.

And /Or If there is a significant doubt that effective process control is in place, or that products or services will meet specified requirements.

And /Or A number of minor nonconformities associated with the same requirement or issue could demonstrate a systemic failure and thus constitute a major nonconformity.

Actions required:

In the case of a major NCR raised, the auditor has to review, accept and verify the corrections and corrective actions to ensure an effective close-out of the NCR. The close-out evidences need to be submitted to the auditor within the agreed time between the auditor and the client prior to commencement of the next stage of assessment as required.

All NCRs raised during the audit shall be closed out according to the actions outlined in the audit report, and by the due date as agreed by the auditor and the auditee. The date will be determined based on the risks and consequences involved in the NCR, but typically does not exceed 90 days from raising the NCR. All close out actions shall be recorded in the audit report.

In the case of an already certified client, failure to close out NCRs within the time limit means that suspension proceedings may be instituted by GRS. In the case of new clients, the audit process will not proceed to the following stage.

Effectiveness of corrections and corrective actions:

Upon receipt of correction and corrective action details for a major NCR, the auditor determines if these are acceptable. The client shall be informed of the result of the review and verification, and also be informed if an additional full audit, an additional limited audit, or documented evidence (to be confirmed during future audits) will be needed to verify effective correction and corrective actions.

Non-Conformance Request (NCR)_Minor: 

Nonconformity that does not affect the capability of the management system to achieve the intended results. However, a number of minor nonconformities associated with the same requirement or issue could demonstrate a systemic failure and thus constitute a major nonconformity.

Actions required:

This category of findings requires the auditor to receive client’s proposed corrective action plans, and review and accept the client’s plan for correction and corrective action.

Corrective action plan needs to be submitted to the auditor within the agreed time between the auditor and client based on its risk and consequence involved prior to commencement of the next stage of assessment as required.

Opportunity For Improvement (OFI):

It is a statement of fact made by the assessor referring to a weakness or potential deficiency in a management system which, if not improved, may lead to a nonconformity in the future, and actions will be required as detailed above.

In the case for observation for clients, generic information may be provided about industrial best practices but no specific solution shall be provided as a part of an opportunity for improvement.

Action required:

Clients may develop and implement solutions in order to add value to operations and management systems. All observations need to be addressed effectively and shall be verified during the following assessment.

Further Actions:

GRS Auditors may initiate various types of NCR (as mentioned above) during audits. Any NCRs raised as a result of audits shall be recorded within the audit report.

Where a nonconformity poses an immediate threat to OHS/OHSMS, GRS shall require an appropriate and immediate response (e.g. suspension of the audit until the risk is removed or significantly reduced).

If a member of the audit team, in their professional judgement, discovers a breach of an Act of Parliament, or a contravention of a regulatory requirement, then such a breach or contravention will be recognised as nonconformity as soon as practicable and urgently communicated to the organisation, and shall be recorded in the audit report.

If significant risk issues (e.g. safety, environmental, food safety, product legality/quality, etc.) are detected through such discover, an immediate or instant correction shall be requested. If this is not agreed and cannot be resolved to the satisfaction of GRS within the agreed timeframe, immediate suspension shall be recommended.

During the assessment if GRS assessor (s) discover a non-compliance with relevant to regulatory requirements, then such non-compliances are immediately communicated to the organization being audited. The non-compliance shall be recorded in the audit report (477269035 Assessment Report).

INTERNAL NCR Managing Process:

Any person related to GRS business can initiate an internal NCR by using Non-Conformance Request Form (Annexure#477269040 will be available upon request). Once all details are completed by the originator, then NCR shall be forwarded to the General Manager Risk and Compliance (GMRC). GMRC will discuss, and assign the NCR to the responsible person with an agreed action date, and finally close out the NCR. If an NCR raised against GMRC department, it will then be managed and maintained by GMO.

The following guidelines could be considered to initiate internal NCRs but may not be limited to:

The following guidelines could be followed to manage and resolve internal NCR process:

7 TRANSFER AUDITS

Applications for transfer of certification shall be treated in accordance with IAF MD2:2017, and limited to CABs accredited by JAS-ANZ for the certification of occupational health and safety management systems.

For Quality and Environment GRS will only take transfer application from companies certified by IAF signatory certification bodies.

Pre-Transfer Review

The review shall cover the following aspects as a minimum and the review and its findings shall be fully documented:

• confirmation that the client’s certification falls within the accredited scope of the issuing and accepting certification body i.e. GRS;
• confirmation that the GRS’s accredited scope falls within its accreditation body scope;
• The reasons for seeking a transfer;
• that the site or sites wishing to transfer certification hold a valid accredited certification;
•       the initial certification or most recent recertification audit reports, and the latest surveillance report; the status of all outstanding nonconformities that may arise from them and any other available, relevant documentation regarding the certification process. If these audit reports are not made available or if the surveillance audit or recertification audit has not been completed as required by GRS’s audit programme, then the organisation shall be treated as a new client;
• complaints received, and actions taken;
• considerations relevant to establishing an audit plan and an audit programme. The audit programme established by the issuing certification body should be reviewed if available.
• any current engagement by the transferring client with regulatory bodies relevant to the scope of the certification in respect of legal compliance.

The pre-transfer review records shall be documented using Pre-Transfer Review Checklist (Annexure# 477269147).

Transfer of Certification:

• When a transfer of certification is envisaged from one CAB to GRS, GRS shall request the issuing certification body in writing, for obtaining following information in order to take a decision on certification:

• Copies of previous Certificates
• Copy of the most recent assessment report
• Records of NCRs (outstanding and any other available)
• Any complaints received/actions taken
• Any other information as needed

• Where the pre-transfer review (document review and/or pre-transfer visit) identifies issues that prevent the completion of transfer, GRS shall treat the transferring client as a new client.
• The justification for this action shall be explained to the transferring client and shall be documented by GRS and the records maintained.
• The normal certification decision making process in accordance with ISO/IEC 17021-1:2015 shall be followed including that the personnel making the certification decision be different from those carrying out the pre-transfer review.
• If no problems are identified by the pre-transfer review, the certification cycle shall be based on the previous certification cycle and GRS shall establish the audit programme for the remainder of the certification cycle.
• GRS can quote the organisation’s initial certification date on the certification documents with the indication that the organization was certified by a different certification body before a certain date.
• Where GRS has to treat the client as a new client as a result of the pre-transfer review, the certification cycle shall begin with the certification decision.
• GRS shall take the decision on certification before any surveillance or recertification audits are initiated.

8 SPECIAL AUDITS

A special visit may require to be made to the certified company’s premises in the following circumstances:

• GRS has reasons to believe that the documented system is inadequately maintained with major deficiencies in operation.
• In case of any changes in the management system standard due to which the certification requirements are going to be changed, client will be intimated in advance for the transition audit and audit will be scheduled after having the consent of the organisation, however, the audit has to be done before the defined timeframe.
• Upon intimation by the certified company, of any significant changes in the certified documented system including changes in the scope.
• In the case of closing out major non-conformances.
• Significant changes in scope.
• Changes in major operational sites.
• Independently from the involvement of the competent regulatory authority, a special audit may be necessary in the event that the GRS becomes aware that there 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 management system has not been compromised and did function effectively.

GRS shall document the outcome of its investigation.

The visit may be combined with the surveillance audit. The surveillance audit program shall include, at least the following:

• Internal audit and management review.
• A review of actions taken on non-conformances identified during the previous audit.
• Treatment of complaints.
• Effectiveness of the management system to achieving the certified client objectives.
• 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.

9 EXPANDING THE SCOPE OF CERTIFICATION:

Certification scope can be expanded if GRS identifies any situations where the certified organisation has a need to expand the scope to meet the requirements of standards. This may be identified in following circumstances:

• During the stage-1/stage-2/recertification/surveillance audit by the auditor(s), or during the independent verification of audit report.
• Clients requested to expand the scope may be because of expansion of business or relevant circumstances.
• Examples of extensions can be addition of the site/unit, product line, business line, and this can be done by conducting the extra Man-days of the audits as per the complexity of the extensions requested.

Clients will be notified by the auditor(s) about the potential expansion of scope and information to establish the requirements. Based upon the auditors’ comments and evidences provided by the client. GMRC will make the final decision about the scope expansion.

GRS will only expand the scope ensuring proper compliance with the requirements of the standard, and certificates will be valid with the expanded scope, and new certificates will be issued and communicated to the client.

Upon changes, the Certified Clients Register (Annexure# 477269048) will be updated accordingly, and GRS website will be updated with the latest information to make the amendment publicly accessible, and the client will be required to amend their advertising materials accordingly with the expanded scope.

10 SHORT NOTICE AUDIT:

It may be necessary for GRS to conduct audits of certified clients at short notice or unannounced to investigate complaints, or in response to changes, or as follow up on suspended clients. Short notice audits also can be conducted as a result of any adverse publicity or contravention of the conditions of certification or other information received. The special visits will be undertaken after due notice has been given and agreed between GRS and the certified company. Due care is to be taken for the following:

• Information is given to the client in advance regarding the visit with details.
• Due care is taken to select the auditor to mimimise any objections.

Independently from the involvement of the competent regulatory authority, a special audit may be necessary in the event that GRS becomes aware that there 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 management system has not been compromised and did function effectively. GRS shall document the outcome of its investigation using the audit report template (477269035 Assessment Report Template).

11 GRANTING CERTIFICATION:

Information for granting initial certification:

• Application received from the client (Application for Registration Annexure# 477269034) and confirmation of information provided to GRS through the application review process (Application Review Form Annexure#477269140). During the review, GRS will ensure that the organisation/client has fulfilled all the requirements of relevant management standards. GRS will also consider that there is no adverse report, information, complaint recorded about the client regarding the effective implementation of management systems

• The audit report and comments on the nonconformities and, where applicable, verification of the corrective actions taken by the client (Assessment Report Annexure#477261035);
• The audit report and confirmation on the audit objectives that have been achieved; and a recommendation whether or not to grant certification (Technical Review and Granting Certification Checklist Annexure # 477269030), together with conditions related to any nonconformities or observations (Assessment Report Annexure#477261035).

If GRS is not able to verify the implementation of corrections and corrective actions of any major nonconformity typically within six months after the last day of stage 2, GRS shall conduct another stage-2 prior to recommending certification.

Granting Certification:

Upon completion of audit activities, and subsequent independent verification of the audit recommendation, the GRS management may consider issuing the certificate of registration in favour of the client. GRS Technical Review and Granting Certification checklist (Annexure # 477269030) must be completed with satisfactory outcomes prior proceeding to the next step of certification decision.

The outcome will be notified to the client electronically. The review process may request to provide further information to finalise the certification decision.

 Certification Documentation:

12 MAINTAINING CERTIFICATION/RENEWING CERTIFICATION:

GRS shall make decisions on maintenance and renewal of certification based on the results of the Surveillance Audit (Annexure 477269126) /Re-certification Audit (Annexure#477269125) as well as on the results of the review of the clients’ systems over the period of certification and non-conformities; and complaints, if any, received from the beneficiaries of certification. Maintenance/Renewal of certification approval decision will be based on the outcome of the audit.

13 REFUSING CERTIFICATION:

GRS has the right to refuse certification at any stage of the certification process. The possible circumstances (any or all) are following:

• GRS auditor(s) determine that the client does not have resources to meet the requirements of the scope of certificate and/or the applicable standard, and unable to get recommended for continuation of certification.
• GRS identifies excessive or serious complaints by interested parties, or finds any social conflicts.
• Failure to clear up the agreed payment as per GRS terms and conditions.
• The client is failed to identify actions against the changes of relevant standards, or actions were not implemented within specified period.
• Any other condition deemed inappropriate by GRS management including violation of GRS general terms and conditions.

Refusal process will be initiated by issuing Refusal Letter (Annexure # 477269062) explaining the detailed terms and conditions of refusal. If the client still fails to take actions within the stipulated time, GRS will withdraw/cancel to issue certificates, and communicate to the client.

The customer may need to re-apply to GRS for Initial Certification using the Application for Registration (Annexure # 477269034). When all the reasons for the refusal have been removed and communicated to GRS. Any application received from a refused client will be processed as a new client.

14 SUSPENSION OF CERTIFICATION:

In any or all of the following circumstances, GRS may suspend the Certificate of Registration:

• The client does not conduct the surveillance or recertification audits to be conducted at the required frequencies (the date of first surveillance audit cannot be more than 12 months from date of certification decision; Surveillance audits are conducted at least once a calendar year).

• The client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system.
• Failure to submit the non-conformance report (s) within the agreed time.
• Major lack of effective implementation of corrective actions within agreed time limits in respect of non-conformities identified during surveillance audits.

• GRS auditor(s) determine that the client does not have resources to meet the requirements of the scope of certificate and/or the applicable standard, and unable to get recommended for continuation of certification.
• GRS identifies excessive or serious complaints by interested parties, or finds any social conflicts.
• Failure to clear up the agreed payment as per GRS terms and conditions.

• The client is failed to identify actions against the changes of certification system, or actions were not implemented within specified period.
• Any will full misuse of logo of GRS and the Accreditation Authority, or unable to implement corrective actions on certification marks within the allocated time.
• Use of certificates beyond the certification scope, or it is appeared that the client has provided misleading and/or materials, which have direct impacts on making certification decision.
• GRS determines that the client does not comply with the agreement(s) and/or contract(s), or does not comply with ‘obligation of certified’ client.
• Any other condition deemed inappropriate by GRS management including violation of GRS general terms and conditions (for example, in relation to fees and payments, certification marks or logo use, or any other failure of clients to follow certification approval or maintenance requirements as specified by GRS or its accreditation body).
• The certified client voluntarily requested a suspension.
• Information on incidents such as a serious accident, or a serious breach of regulation necessitating the involvement of the competent regulatory authority, provided by the certified client or directly gathered by the audit team during the special audit, shall provide grounds for the GRS 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 system seriously failed to meet the OH&S certification requirements.

Not meeting the legal compliance as a part of accredited OH&SMS Certification:

• Deliberate or consistent non-compliance shall be considered a serious failure to support the policy commitment to achieving legal compliance and shall preclude certification or cause an existing OH&SMS standard certificate to be suspended or withdrawn.
• If the facilities and work areas are subject to closure the OH&S risks change, as there may no longer be the same risks to employees, but there may be new risks applicable to members of the public (e.g. in case of lack of suitable maintenance and surveillance activities). GSR shall verify that the management system continues to meet the OH&SMS standard and to be effectively implemented in respect of the closed facilities and work areas, and, if not, suspend the certificate.

Suspension Process:

Suspension process will be initiated by issuing a Suspension Letter of Suspension (Annexure # 477269062) explaining the terms and conditions giving the client an appropriate time to resolve the issue that have resulted in the suspension.

Under suspension, the client’s management system certification is temporarily invalid, and in the suspension period (in most cases, the suspension would not exceed six months), the client organisation is neither allowed to use GRS certificates in any of its business purposes nor can use any GRS or JAZ-ANZ logos. The JAS-ANZ Register and GRS Certified Clients Register will be updated accordingly.

The certification and authorisation for using GRS certificates and logos can only be restored once all reasons for suspension are removed, and documented evidence was provided, and satisfactorily verified within GRS. A special audit may be required, and relevant audit procedures will be applied, where needed.

Restoring of Certification:

• Re-storing of certificates can only be possible upon successful implementation of action taken on the issues of suspension.
• The client is responsible to make a written request to re-store their certificates to GMRC.
• GMRC shall be responsible to review the re-storing request and make decisions on client request.
• Upon a successful review, certificates may be restored as its original condition. If the review is unsuccessful, GRS will not restore the certificate.

15 WITHDRAWAL OF CERTIFICATION:

GRS may decide to withdraw the certification of a client under any or all of the following conditions:

• The certificates were suspended under any of the conditions for suspension during the term of validity of its certification and the client fails to resolve the issues that have resulted in the suspension within the stipulated time established by GRS.
• The suspension period exceeds more than six months.
• The certified client voluntarily requested a withdrawal.

Withdrawal Process:

If the client fails to resolve the issues that have resulted in the suspension within the stipulated time established by GRS, the certifications will be automatically withdrawn without further notifications and will be stated in the Letter of Suspension/Withdrawal/Refusal of Certification (Annexure # 477269061).

Withdrawal means the certification is no longer valid, and upon withdrawal, all GRS certificates and logos will be permanently ceased. The client will be required to amend their advertising materials accordingly, and JAS-ANZ Register and GRS Certified Clients Register will be updated. GRS website will be updated with the latest information to amend any relevant information publicly accessible.

The customer needs to re-apply to GRS for Initial Certification using the GRS Application for Registration when all the reasons for the withdrawal have been removed and communicated to GRS. Any application received from a withdrawn client will be processed as a new client.

16 REDUCING THE SCOPE OF CERTIFICATION:

Certification scope can be reduced if GRS identifies any situations where the certified organisation was unable to comply with the requirements of the scope. GRS shall reduce the scope of certification to exclude the parts not meeting the requirements, when the certified client has persistently or seriously failed to meet the certification requirements for those parts of the scope of certification. Any such reduction shall be in line with the requirements of the standard used for certification. This may be identified in following circumstances:

• During the stage-1/stage-2/recertification/surveillance audit by the auditor(s), or during the independent verification of audit report.
• Examples of reductions can be deletion of the site/unit, product line, business line, and this can be done by conducting the extra man-days of the audits as per the complexity of the reductions requested

Clients will be notified by the auditor(s) about the potential reduction of scope and inadequacy of information to establish the requirements. Based upon the auditors’ comments and evidences provided by the client, GMRC will make the final decision about the scope reduction.

GRS will only reduce the unrelated part of the scope which does not comply with the requirement of the standard, and certificates will be valid with the reduced scope, and new certificates will be issued and communicated to the client.

Upon changes, the Certified Clients Register (Annexure# 477269048) and JAS-ANZ Register will be updated accordingly, and GRS website will be updated with the latest information to make the amendment publicly accessible, and the client will be required to amend their advertising materials accordingly with the reduced scope.

17 REQUEST TO CHANGE OR MODIFICATION OF CERTIFICATION

Any request to change or modify the scope of certification shall be managed by Certification Manager and Client Manager. The client is required to complete the GRS Application Form (Annexure # 477269034) and submit to GRS. Certification Manager shall be responsible to review the application, and then may take the following necessary actions to accommodate changes.

• Upon review, if variation audit is required to verify the implementation of proposed changes, the Client Manager shall be responsible to organise the variation audit. Once proposed changes (as a new Proposal for Certification Annexure # 477269038) are approved by GMRC through the whole process again, GRS will retire the previous certificates, and new certificates will be issued and communicated to the client.
• Upon issuing new certificates, the Certified Clients Register (Annexure# 477269048) and JASANZ Register will be updated accordingly and GRS website will be updated with the latest information to make the amendment publicly accessible, and the client will be required to amend their advertising materials accordingly.

• APPEALS/COMPLAINTS 

GRS accredited certification scheme endeavours to provide a prompt, competent and impartial service to its clients. In case, an applicant, a certified company or any other interested party wishes to make a complaint in respect of GRS operations, GRS will deal with the complaint or appeal in accordance with GRS Appeals and Complaints procedure (Annexure # 477269010). A copy of the Appeals and Complaints Form available through GRS website.

19     THE USE OF LOGOS

The use of logos is governed by the GRS Logo Use Policy and specified conditions and instructions as available through GRS website, and provided with the certification pack to the client.

20       GENERAL AUDITING PRINCIPLES

All assessments undertaken by GRS are conducted by auditors as qualified in accordance with the ISO-IEC_17021.1-2015 requirements. GRS ensures that the auditors’ expertise are matched with the nature of an applicant company’s activities under assessment. The company is advised in advance of the composition of the Audit Team and the schedule of audit for confirmation. The Team Leader is responsible for planning the audit in accordance with the requirements, assigning auditing functions to his/her team members and reporting, with authority to take final decisions in respect of the interpretation of the applicable requirements of the standard as well as make recommendation regarding grant of certification based upon a review of the level of compliance of the systems in operation.

The applicant company is responsible for providing GRS auditors an access to its relevant facilities and records, appointing a responsible person to co-ordinate the arrangements for audit and to provide all resources required by the audit team for performing their duties.

The client also is required to notify GRS about any significant events without delay. This includes but is not limited to fatal incidents, serious injuries, occupational disease or legal action by a regulatory authority as well as any OHS related findings by third parties, where applicable, at the time of surveillance or recertification assessment of.

21      CONFIDENTIALITY, CONFLICT OF INTEREST, AND IMPARTIALITY

All audits are conducted in complete confidentiality of the company’s activities. GRS office staff and auditing personnel are obliged by a confidentiality agreement to safeguard the client’s classified information, confidentiality policy and signed agreement, that are enforceable to ensure confidentiality across GRS business.

GRS and any part of its operation does not offer or provide internal audits to its certified clients. GRS does not certify any management system on which it provided internal audits within two years following the end of internal audits.

GRS does not market its activities as linked with the activities of the organisation that provides management systems consultancy.

GRS shall take action to respond to any threats to its impartiality arising from the actions of other persons, bodies or organisations.

The impartiality aspect of GRS business will be managed and maintained by implementing Impartiality Policy, Managing Impartiality procedure and also through the ongoing Impartiality Committee.

• ACCSESS OF ACCREDITATION BOARD

At any time of the certification cycle the Accreditation Board’s auditor may accompany the GRS audit team for the evaluation of the GRS auditors. Also, the Accreditation Board auditors may visit personally without any representative from GRS, in both the cases the organisation is liable to allow them to audit their systems and verify the documents related to the management systems information.

To obtain a copy of our General Terms and Conditions, please send us an E-mail to certification@grscertification.com or please give us a call 1300 007 477.