Certification Process Guide

1

Certification Inquiries and Applications

  • When a company submits the Certification Audit Application Form and Questionnaire to our certification body, we will conduct a contract review and then provide the company with a Certification Proposal—including the estimated number of audit days and associated fees—along with a contract for review and signature.

2

Certification Agreement

  • After reviewing the proposal, the applicant company completes the application and contract process by signing the agreement and submitting it to our certification body along with the audit fee.
  • Once the contract is signed, an audit team will be formed and notified to the applicant company. The composition of the audit team may be adjusted based on the applicant’s input.

3

Pre-assessment (Optional)

  • Conducted upon the request of the applicant company, the pre-assessment is performed prior to the on-site audit to review the overall implementation status of the quality, environmental, or food safety management system. It is carried out within 50% of the total audit days and is used to determine the appropriate audit procedure.

4

Initial Audit

Stage 1 Audit
  • The Stage 1 Audit is conducted through an on-site visit based on the defined audit regulations to verify the establishment status of the quality, environmental, and food safety management systems, focusing on the documented requirements necessary for certification.
  • If the documented information on quality, environmental, or food safety management systems does not meet the certification audit requirements, corrective actions must be taken. The Stage 2 Audit will not be conducted until the nonconformities are resolved.
Stage 2 Audit
  • The Stage 2 Audit is the initial on-site audit conducted at the client’s premises to evaluate the implementation and conformity of the established quality, environmental, and food safety management systems.
  • The audit schedule is communicated to the applicant company at least five days prior to the on-site audit to obtain their agreement. If there are any objections, the schedule will be revised and reissued accordingly.
  • The audit team conducts the assessment according to the audit schedule using certification audit criteria and checklists, through interviews and on-site inspections.
  • Upon completion of the audit, the audit team holds a meeting to review and summarize any nonconformities. A nonconformity report is then issued after obtaining confirmation from the Quality/Environmental Management Representative.
  • At the closing meeting, the audit team explains the nonconformities and audit results to the management, allows time for questions, and agrees on the completion date for the corrective actions.
  • In cases of major nonconformities, a follow-up on-site audit may be conducted if necessary to verify corrective actions. For minor nonconformities, corrective actions are verified through documentation. The effectiveness of all corrective actions will be re-evaluated during the next surveillance audit.

5

Certification Registration Review

  • Once the follow-up audit for corrective actions related to the Stage 2 Audit is completed, the final audit report is reviewed by the certification decision-maker,
    who then makes the final decision regarding certification.

6

Issuance of Certificate

  • Certification may be granted if the identified nonconformities during the audit have been fully corrected or if the corrective action plans are deemed acceptable.
  • For certified organizations, a certificate is issued, and its validity is maintained for a period of three years.

7

Surveillance Audit

  • After certification approval, surveillance audits are conducted at least once a year. In the third year, a recertification audit is performed, which is similar in scope to the initial certification audit.

8

Recertification Audit

  • The recertification audit is conducted every three years from the date of initial certification, with the purpose of renewing the certification. It must be performed in accordance with the certification audit procedures at least one month prior to the expiration of the certificate.

Suspension, Withdrawal/Reduction, and Extension/Refusal of Certification

1) Suspension and Withdrawal of Certification

- Cancel

If the organization fails to resolve the issues that caused the suspension of certification within the period specified by the certification body, or if the organization wishes to withdraw the certification, it must return the certificate and cease using the logo and all promotional materials.

Suspension

SQC Certification Body suspends certification under the following circumstances.

  • When the client's management system persistently or seriously fails to meet certification requirements or the requirements for the effectiveness of the management system.
  • When the certified client does not allow surveillance or recertification audits to be conducted at the required intervals.
  • When the certified client voluntarily requests the suspension of certification.
  • When the certified client fails to take corrective actions for nonconformities identified within the specified period.
  • When the certified client misuses the certificate, logo, or audit report.
  • When the certified client violates the requirements of the certification agreement.

During the suspension period, the certification of the certified client's management system is temporarily invalid.

 

2) Reduction and Extension of the Scope of Certification

Reduction of the Scope of Certification

If the organization fails to resolve the issues that caused the suspension of certification within the period specified by SQC Certification Body, or if the client persistently or seriously fails to meet certification requirements for part of the certified scope, the scope of certification shall be reduced.

Extension of the Scope of Certification

Upon receiving an application from the client for an extension of the existing scope of certification, SQC Certification Body reviews the application and determines the audit activities necessary to decide whether to approve the extension.

 

3) Refusal

SQC Certification Body shall accept or refuse the certification application after reviewing the application form. If the application is refused based on the review, the reason for refusal must be clearly communicated to the client.

Certification may be refused if any of the following conditions are identified.

  1. When corrective actions for nonconformities identified by the certification body have not been completed (re-audit).
  2. When a surveillance audit has not been conducted for more than one year (treated as an initial audit).
  3. When there is insufficient evidence that a surveillance audit has been conducted (treated as an initial audit).
  4. When it is not possible to verify the eligibility of the applicant organization for certification (treated as an initial audit).

 

4) Restoration

After the expiration of certification, the certification body may restore the certification within one month (within six months according to ISO 17021-1:2015) provided that the client submits a statement explaining the unavoidable circumstances, completes verification audits for major nonconformities and corrective actions for minor nonconformities, and submits a corrective action plan—indicating that significant recertification activities have been completed. Otherwise, an initial audit (at minimum, a two-stage audit according to ISO 17021-1:2015) must be conducted. The validity start date shown on the certificate must be the recertification decision date or later, and the expiration date must be based on the original certification cycle.