Introduction

Welcome to Apex Global Quality, your trusted partner in management systems certification. We operate as an independent certification body, managing our services in accordance with the principles and requirements of ISO 17021 and ISO 17065. While we are not formally accredited, our processes and standards are designed to reflect the rigor and integrity of these internationally recognized frameworks, ensuring a reliable measure of compliance with relevant international standards for your organization’s management systems.

Scope of the Rules of Registration

These rules of registration are applicable to all management system audits undertaken by Apex Global Quality. In fulfilling this scope, the client agrees to supply all necessary information to Apex Global Quality so that a full and fair assessment can be undertaken.

Personnel

Apex Global Quality undertakes to provide suitably qualified and competent personnel for all audits and surveillance activities using their own staff or suitable qualified and competent associates. All members of Apex Global Quality (full-time employees, associates or local representatives) are required to sign confidentiality agreements concerning all confidential information to which they may be exposed.

Application For Registration

On receiving a completed Application Form/Request for Quotation Apex Global Quality or its local representative will prepare a quotation detailing audit cost which will be forwarded to the client along with a copy of this document. Acceptance of the quotation and Certification Agreement and Rules is shown by signing this agreement. On receipt of the signed agreement and acceptance of the quote, the audit will be planned and carried out in accordance with Apex Global Quality’s management system processes. The agreement covers all the sites as mentioned above.

Audit Method

The stage-1 audit requires the Auditor / Compliance assessor to conduct an on-site readiness review of the client’s management system to assess the documentation and if the implementation of the management system is at a level sufficient to progress to the Stage 2 audit.

When satisfied with the compliance of the documentation and system readiness the Auditor / Compliance assessor will produce a report and will agree a date with the client for the Stage 2 audit. The Stage 2 audit will then be conducted in accordance with Apex Global Quality’s management system processes, where in place. If further visits are required, due to non-conformances found, these will be undertaken, and the client will be liable for any extra charges incurred. In case of any Major Non-Conformity, recommendation for certification will be granted based on On-site Follow Up Audit. The audit will be carried out against agreed audit criteria. Once registration has been obtained the client will be under a duty to notify Apex Global Quality of any changes that significantly affect the registration. Apex Global Quality may re-audit if necessary (short notice) due to significant changes or as a result of any complaint or follow-up on suspended clients. If any additional charges are incurred Apex Global Quality reserves the right to pass these additional charges on to the client.

Certification

On completion of the audit the Auditor / Compliance assessor will submit the report to the Apex Global Quality who will then conduct an independent technical review of the file and present the file to Apex Global Quality’s Certification Committee. The Certification Committee will make the certification decision and authorize the issue of the certificate after the Technical Review of the Client File. The certificate remains the property of Apex Global Quality and is valid for three years, framework dependent, providing the client maintains the management system to the required standard. All certification activities and the management of impartiality are overseen by an Independent Certification Board.

Annual Surveillance

After the issue of a certificate, two planned surveillance audits will be conducted in consecutive years by an Auditor / Compliance assessor at the client’s premises at least annually in order to maintain Certification. If any major nonconformance is identified, then the follow-up visits will be carried out at the discretion of Apex Global Quality. The client agrees to meet the extra costs relating to any additional audits. The client will notify Apex Global Quality without delay of any matters incurred that may affect the capability of the management system to fulfill requirements.

Extension or Revision to the Scope of Registration

This may be applied for in the same way as the initial audit, indicating the increased scope/address change of registration required. The audit will be carried out in the areas not previously audited. If successful, a new certificate indicating the new scope/address change will be issued by Apex Global Quality. There will be a charge for extensions to scope/address change and the re-issuing of the certificate. Should the certified scope be reduced, the client will need to amend all advertising material accordingly.

Use of Certification Marks and Logo

When a certificate has been issued, the client can use the certification marks and logos. The relevant logos can be used on stationery relating only to the audited scope of registration and standard. Separate logo rules will be issued by Apex Global Quality at the time of registration. Apex Global Quality will take all necessary steps to ensure that there is no misuse of the logo or the certificate by the client. The client undertakes not to misuse or misrepresent the logo or the certificate in any way.

Certificate Suspension or Withdrawal

Following a successful audit of a client’s management system to the appropriate standards or specifications, the certificate:

May be suspended due to:

1. Continued misuse of logos
2. Failure to apply corrective action as a result of discrepancies found at audit or surveillance visits.
3. Any other breach of Apex Global Quality’s Certification Agreement.
4. Non-Payment of Audit Fee as agreed

Or withdrawn due to

1. Failure to respond to requests made by Apex Global Quality after suspension of certificate
2. Failure of a client to settle a financial account
3. the client’s request

Following either the suspension or withdrawal of a certificate the client will discontinue its use and return the original to Apex Global Quality and discontinue claiming accredited management system registration and No use of logo, certificate and other property of Apex Global Quality after withdraw the certificate in advertising matter or any other source. If find that Apex Global Quality will bound to take legal action against this use.

Fees

All fees for audits and annual registration are reviewed annually and are available on request. All fees paid to Apex Global Quality are strictly nonrefundable. Certification & Surveillance fees are payable 30 days post audit and are to maintain registration.

Appeals Procedure

If for any reason a client disagrees with the Auditor’s verdict, they are at liberty to lodge an appeal to Apex Global Quality’s Compliance Leader. All appeals will be held in the presence of an Independent Certification Board sub-committee. The sub-committee will hear evidence from the client’s representative and the relevant Auditor.

The decision of the Independent Certification Board is final and binding on both the client and Apex Global Quality. No counter claims will be allowed by either party. No costs, for whatever reason, will be allowed for either party as a result of an appeal. Expenses of the appeal will be met in full by the party who has the decision against them.

Information About Changes in Management System

The organization shall ensure that the information provided to Apex Global Quality relevant to its Management System is kept updated and it shall promptly notify Apex Global Quality of any intended change in its Management system which would significantly affect the effective implementation of its Management System. Such changes are contact address, multiple sites/single location, legal status, scope of representation, organizational structural changes.

In the event of any significant change affecting the activity and operation of the organization, Apex Global Quality may require to conduct a reassessment for further validity of the certification.

Client Complaints Against Apex Global Quality Personnel

If a Client wishes to raise a complaint about AGQ it may do so by completing the appropriate complaints form situated on AGQ’s website.  Such complaints shall be directly distributed to top management and also the Chair of the Impartiality and Governance Committee.

Received complaints shall be logged and an initial response to acknowledge receipt of the complaint sent to the Client within 2 working days.  AGQ shall then initiate its Complaints procedure, details of which are available upon request.

Complaints Against the Registered Company

Complaints received from interested parties about Clients shall be logged and an appropriate acknowledge sent to the complainant.  Follow-up and investigation shall then be taken with the Client.

Change of Certification Scope / Registration Requirement

If the registration/ certification scope requirements are changed in Apex Global Quality:

Apex Global Quality will inform Client about changed requirements, withdraw and suspended accreditation by electronic media/News Letter/Emails or on website within a reasonable period.

In case of reducing the certification scope, withdrawal or suspension of the audit scopes by accreditation body (if any) as the result of Apex Global Quality fault, Apex Global Quality will arrange audit and certification services from other accredited bodies, at its own cost, during the continuation of this contract

In case of changes in Apex Global Quality registered office or logo, Apex Global Quality will change the certificate of client with immediate effect to client with amendment of Apex Global Quality Information. Also keep up-dation on Apex Global Quality Website.

Apex Global Quality ensures that it does not make or permit any misleading statement regarding our certification & processes.

In case of withdraw of Apex Global Quality’s accreditation; Apex Global Quality will not use any advertising material that contains about accredited certificates.

In case of reduction the scope, will publish on Apex Global Quality’s website

Apex Global Quality can’t clients to allow use of certification logo & accreditation symbol on their products (Including Service) or process.

Apex Global Quality can’t do certified sites or activities which are not involve in client’s scope.

Apex Global Quality does not use its certification in such a manner that would bring the certification body and/or certification system into disrepute and lose public trust. 

The Apex Global Quality will exercise proper control of ownership and will take action to deal with incorrect references to certification status or misleading use of certification documents, marks or audit reports.

Terms of Payment

If the Client cancels this Agreement or part of it with less than 8 weeks prior written notice to Apex Global Quality then Apex Global Quality reserves the right to charge the Client for the full cost of the audit including the Annual Price, the Annual Management Fee and any Expenses paid for by the Client which cannot reasonably be recovered.

The planning of the audit activities is agreed between Apex Global Quality and the Client in advance of delivery. Any subsequent postponement of or rescheduling of audits will be subject to the following additional charges:

• more than 6 weeks but less than 8 weeks from the audit date – 25% of the Day Rate attributable to the audit(s) postponed or rescheduled and any unrecoverable Expenses booked in advance by Apex Global Quality;
• more than 4 weeks but less than 6 weeks of the audit date – 50% of the Day Rate attributable to the audit(s) postponed or rescheduled;
• less than 4 weeks of the audit date – 100% of the Day Rate attributable to the audit(s) postponed or rescheduled;
• Any uplift applicable following application of indexation or annual price increases

Limitation of Liability & Indemnity

Apex Global Quality will exercise due care and skill in the performance of its services and accepts responsibility only in cases of proven negligence.

Apex Global Quality shall have no liability to the Client arising out of or in connection with the Contract and its performance by reason of any representation or the breach of any express or implied condition, warranty or other term of any duty at common law or under any statute for any indirect, special or consequential loss of the Client (including loss of profits), and the total liability of the Company to the Client in respect of any other loss shall be LTD in respect of any one event or series of connected events, to an amount equal to the fees paid to the Company under the Contract (excluding General Sales Tax thereon)

The Client shall guarantee, hold harmless and indemnify Apex Global Quality and its officers, employees, agents or subcontractors against all claims made by any third party for loss, damage or expense of whatsoever nature including reasonable legal expenses and howsoever arising relating to the performance, purported performance or non-performance of any services to the extent that the aggregate of any such claims relating to any one service exceed the limit mentioned.

Apex Global Quality reserves the right to add to, delete or change these conditions to maintain conformance with Accreditation Board requirements, without prior notification

Responsibility & Authority – Apex Global Quality is responsible for and retains absolute authority for decisions relating to the granting, Refusing, maintaining of certification, expanding or reducing the scope of certification, renewing, suspending or restoring following suspension, or withdrawing of certification.

Neither Apex Global Quality nor any of its employees or auditors shall be liable for any loss, expense or damage however so sustained by any company, client or person due to any act whatsoever taken by Apex Global Quality or its employees or auditors, save to the extent that any attempted exclusion or liability would be contrary to law.

The client will indemnify Apex Global Quality against any claims or losses suffered by Apex Global Quality as a result of misuse or misrepresentation by the client of any logo, approval or registration given to the client by Apex Global Quality under these Certification Agreement. The client shall inform Apex Global Quality of changes related to legal status, organizational/management, address & sites, scope, major change in management system and processes. Acceptance of this document means the Organization is ready to follow all the terms and conditions as defined in this document and Accredited Management System Process, hence this document will be considered as a legally enforceable document to deal with any misconduct.

Accreditation Board Witnessed Audits & Review of Client’s Documents

It is a condition of this Certification Agreement that all Apex Global Quality certificated clients should, if requested or not requested, allow Accreditation Board auditors to witness with or without Apex Global Quality’ staff members & carrying out their audits as well as verify and review the clients’ documents. Failure to allow this could jeopardize the client’s registration.

Confidentiality

Information about Client shall not be disclosed to a third party without written consent of Client except in case where required by accreditation requirements. Even if the law requires information to be disclosed to a third party, the customer shall be informed of the information provided. In the following cases, the information can be disclosed to a third party without written consent of Client:

• Information that Apex Global Quality’ already has before Client provides.
• Information disclosed or expected to be disclosed publicly and regally.
• Information that Apex Global Quality’ legally obtained from source other than the Client.

Conduct of Certification Audit

Audit of the Client’s managements system shall be performed to verify its conformity to the applied audit standard.

Client’s system documents (Manual, Procedure, work instructions and Guidelines, etc.) and relevant records may be reviewed offsite & onsite during stage-1 adequacy audit, prior to on-site Compliance audit. This primary adequacy audit is done to verify whether the Client’s management system, prima facie meets the requirements of the applicable standards or not. If inadequacies / non-conformities are identified in course of the stage-1 audit, these shall be brought to the notice of the Client’s Management in writing. Action for stage-2 compliance audit shall be initiated only after receiving the Client’s commitment that the identified inadequacies/ non-conformities have been eliminated.

On-site Compliance audit, also called stage-2 audit, is performed to assess whether the Client’s practice is in accordance with the established management System or not. If nonconformities are found during on-site audit, Apex Global Quality audit team shall issue NCR (Non-conformity Report) and a subsequent CAPA (Corrective Action, Preventive Action) report to address the outcomes.

The Client is required to accept the NCR / CAPA request and submit a written corrective action plan within 90 days for a stage 1 audit, and within 30 days for any other audit type if the issue is minor, or 90 days if it is major. The plan should specify the actions intended to address the non-conformities, identify the (potential) root cause, and outline steps to prevent recurrence.

After receiving the CAPA from Client, the Apex Global Quality compliance assessors / auditors shall inform the Client in writing about acceptance / required revision of the submitted CAPA. The client shall be informed by the compliance assessors / auditors about approach and timings of verification of the effectiveness of the corrective action taken by the client. 

The Client can make appeal to Apex Global Quality, regarding the audit team’s findings and decisions. The Apex Global Quality shall take appropriate decision within 30 working days of receiving such appeal.

The Client shall remove all minor nonconformities within 30 days of receiving the Apex Global Quality auditor’s acceptance / approval of the CAPA submitted by the Client. Similarly, the Client shall have to eliminate all major non conformities within 90 days. Evidence of taking corrective action shall be submitted to the Apex Global Quality.

After receiving the evidence, Apex Global Quality shall decide whether the submitted evidences inspire confidence about the effectiveness of the corrective action or not. Apex Global Quality may choose to revisit the audit site to verify effectiveness of the corrective actions, at Client’s cost.

After confirming, on the basis of objective evidences, that the Client’s Management systems conform to the audit standard, the Apex Global Quality audit team shall submit its recommendations for award of Certificate of compliance to the Apex Global Quality Technical committee.

The technical review shall review the whole audit process and the submitted audit report, and shall take appropriate decision. Apex Global Quality shall issue a Certificate of certification only in accordance with the established procedures and regulatory guidelines.

The client shall allow Apex Global Quality compliance assessors / auditors, external experts / observers access to all work sites, and documented information related to the applied scope. The client agrees to allow the auditors to interview its staff and review all records except accounts, especially the records of complaints received, and the action taken on the same.

Competent Audit team selection will be done by Apex Global Quality Services staff as per the client scope and application codes and send the audit plan as well as audit intimation letter to the client via email. If a client needs to be changed in audit team or audit plan, will confirm to Apex Global Quality Office within due time with proper justification.

If schedule visits will change or delay due to unavoidable reasons or valid reasons, Apex Global Quality will inform to client about the delay or change in visits.

If the Client cancels this Agreement or part of it with less than 8 weeks prior written notice to the Supplier then the Supplier reserves the right to charge the Client for the full cost of the audit including the Annual Price, the Annual Management Fee and any Expenses paid for by the Client which cannot reasonably be recovered.

The planning of the audits is agreed between the Supplier and the Client (or the client’s suppliers, if applicable) in advance of delivery. Any subsequent postponement of or rescheduling of audits will be subject to the following additional charges:

• more than 6 weeks but less than 8 weeks from the audit date- 25% of the Day Rate attributable to the audit(s), postponed or rescheduled and any unrecoverable Expenses booked in advance by the Supplier;
• more than 4 weeks but less than 6 weeks of a site visit or the assessment- 50% of the Day Rate attributable to the audit(s) postponed or rescheduled;
• less than 4 weeks of a site visit or the assessment- 100% of the Day Rate attributable to the audit(s) postponed or rescheduled;
• Any uplift applicable following application of indexation or annual price increases

 Obligations of the Client

It is a condition of these Certification Agreement that all Apex Global Quality certificated clients should, if requested or not requested, allow Accreditation Board auditors to witness with or without Apex Global Quality’ staff members & carrying out their audits as well as verify and review the clients’ documents. Failure to allow this could jeopardize the client’s registration.

The legally enforceable arrangements shall also require that the certified client informs the Certification Body, without delay, of the occurrence of a serious incident or breach of regulation necessitating the involvement of the competent regulatory authority as well as provide safe environment to the audit team at the time of any type of audit through CB or AB.

The Client agrees to make available to Apex Global Quality, all documents, and other information required by Apex Global Quality to complete the audit program. The Client shall ensure that all necessary access, assistance, information and facilities are made available to Apex Global Quality when required, including the assistance of competent and authorized personnel of the Client.  The Client shall, in addition, provide Apex Global Quality, free of charge, suitable space for a meeting.

Before the certification audit, AGQ have to ask the client to report if any management system related information (such as management system records or information about design and effectiveness of controls) cannot be made available for review by the audit team because it contains confidential or sensitive information. AGQ will determine whether the management system can be adequately audited in the absence of such information. If AGQ concludes that it is not possible to adequately audit the management system without reviewing the identified confidential or sensitive information, it has to advise the client that the certification audit cannot take place until appropriate access arrangements are granted.

The Client shall appoint a designated person who is authorized to maintain contact with Apex Global Quality.

The Client shall give access to all sites for maintenance audit purposes whenever deemed necessary, and Apex Global Quality shall reserve the right to make unannounced visits as required.

Multi-Site –Clients applying for ‘multi-site’ registration on a sampling basis shall ensure that each work location must be performing substantially the same type of business, and the entire range of products or services supplied by each location must be included in the scope of certification. The range of services or products to be covered by the certification should be of a non-complex nature and Apex Global Quality reserves the right to not accept applications that are not appropriate for certification on a sampling basis.  The organization must have one appointed Management Representative with overall responsibility for maintenance of the quality system. The organization must have a defined and controlled Quality Policy such that it is applicable to all sections of the organization that are included in the proposed scope of certification. The quality system must be centrally managed and uniform across all work locations covered by the proposed scope of certification. As a minimum requirement, the following elements of the quality system must be centrally managed: management review (if required), internal quality audits, corrective and preventive action, changes to the quality system documentation, data and structure. All work locations to be included in the scope of certification must be owned by the organization and be an integral part of the organization’s management structure.

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 Certification Body 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. Such requirements shall be part of the contractual agreements between the CAB and the organization (As per IAF MD 22:2019)

A Client may advertise that its management system has been registered and may apply the relevant registration mark to stationery and publicity materials relating to the scope of registration as provided. The Client may not apply such mark in relation to its products. The Client shall ensure that no confusion arises between registered and non-registered systems, products or sites in its publications and advertising material. The Client shall not make any claim that could mislead third parties to believe that certain systems, products or sites have been registered when they have not

A Client who has been authorized to use a registration mark must also comply with the Regulations governing the use of the mark of Reliable/Accreditation Board Improper use of a registration mark shall be a serious non-conformance.

The Certificate & Registration Mark will remain the property of Apex Global Quality and may only be copied or reproduced for the benefit of a third party if the word “copy” is marked thereon and when needed need to return back or give declaration to not used such mark and certificate in any use of Company related activities or promotion.

Normative Documents: Client is bound to provide each Normative Documents (IEC Standards, BS/EN Standards, American Standards, ASTM Standards, Client’s Customer Specification, Govt Standards etc.) to the Apex Global Quality’s Auditor / Compliance assessor Team as where applicable due to auditing requirements.

Unavoidable Reasons / Force Majeure

Neither party shall be liable to the other party for nonperformance or delay in performance of any of its obligations under this contract, due to war, natural disaster, epidemic, go-slow, lockout or any other causes reasonably beyond its control.

Jurisdiction

This agreement is to be governed in all respects by UK Law and in the event of a dispute the parties agree to submit to the jurisdiction of Court.

The Duration/ Currency of This Contract

This agreement shall become effective upon signing and shall continue in full force and effect for a period of three (3) years from the date of certification. This contract can be changed and renewed by agreement between both parties if desired.

Remote Audit for Initial, Surveillance and Recertification

Remote audit will perform as per Annex I of Documents (IAF MD4:2018). The Client will accept the remote audit and given mutual understanding and concern on these activities. Client will also accept the method of ICT (Information and Communication technology (i.e., Go-To-Meeting, Webex, Microsoft Lync, Zoom, WhatsApp, Google Talk etc.) or advise other method to conduct the audit/assessment which favourable of smooth audit. If the client is not given acceptance on use of ICT for audit/assessment, other methods shall be used to fulfil audit/assessment objectives.

Encouraging and considering the use of web-cams, cameras, etc. when physical evaluation of an event is desired or necessary. Proper security measures should be taken, when applicable, to protect confidential information.

The assessment should be facilitated in quiet environments whenever possible to avoid interference and background noise (i.e., speakerphones, Bluetooth, Hand free etc.).

Releasing of Certificate or Continuation of Certificate After Remote Audit

Initial Certificate, Certification Continuation after Recertification or Continuation of Certification after Surveillance will act as per Annex I of Documents (IAF ID3:2011).

Openness (IAF MD 9:2017, 4.5.1)

Apex Global Quality reserves the right to change this Certification Agreement without prior notification.