Terms and Conditions including Rules of Registration
Last reviewed 16th July 2024 (r11)
1. These regulations outline the
general terms and conditions of 3core2 Certification Ltd and its divisions and
subsidiaries that provide Management System Certification, referred to as the
Scheme.
2. CAB/IBCAB/IB `Assessor' means
any person appointed by the Certification Body (CAB/IBCAB/IB) for the purpose
of effecting assessment & evaluation of management systems.
‘Accreditation Body Assessor’ means any person acting on behalf of a
National Accreditation Body (NAB) for the purposes of observing or otherwise
verifying an audit conducted by the Scheme at a client’s premises or site as
appropriate. Candidate Company/Clients must permit observers, such as a
National Accreditation Body, to observe an audit.
`The Standard' means any one or combination of Standards for control of
Operational and/or Product Manufacturing Systems, (Management Systems), as may
be published by the various Standards making bodies such as The International
Standards Organisation.
`Candidate Company' means an individual or company which has applied for
but has not yet been granted registration under the Scheme.
`Certificate' means a certificate of registration issued
under the Scheme in recognition of a person, product and/or management system
assessed to be complying with the requirements of the Scheme and the standard,
of which the ‘English’ version shall predominate.
`Certification
Logo' means the logo that may be displayed
on certain documents of a Company to signify registration under the Scheme.
`Certified
Company' means a Candidate Company or person
that has been successful in obtaining registration under the Scheme to a Scope
of registration established by the CAB/IBCAB/IB and is consequently deemed
eligible by the CAB/IBCAB/IB to hold a certificate. The CAB/IBCAB/IB responsible for,
and shall retain authority for, its decisions relating to certification,
including the granting, refusing, maintaining of certification, expanding or
reducing the scope of certification, renewing, suspending or restoring
following suspension, or withdrawing of certification. The CAB/IBCAB/IB does
not sub-contract any part of its certification processes to any other
CAB/IBCAB/IB, organisation or individual.
`CAB/IBCAB/IB’ means the body with responsibility under the
Scheme for performance of certification.
`Quality
Assessment Schedule' means an
interpretative document published through the Scheme to explain the
relationship and application of the standard in relation to product and/or
management Systems of companies in certain industrial sectors.
`Product,
and/or Management System' means the
organisational structure, responsibilities, procedures, processes, activities,
resources and products and or services of a company or person that together
provide for the meeting of requirements under the regulations of the Scheme and
the standard.
`3core2' means 3core2 Certification Ltd (the CAB/IBCAB/IB), a private
Limited Company registered in England, and established solely as the operator
of ‘the Scheme’ for Product, Personnel and/or Management System Registration
activities, whose principal office and address for post is 834, Birchwood
Boulevard, Birchwood, Warrington, WA3 7QZ. All contracts for audit and
Certification activities conducted through the global Subsidiaries, Branch
Offices, Licensees, Agents and such other authorised representatives of 3core2,
are deemed to be a contract with 3core2 in the United Kingdom.
`Scheme
Manager' means the person appointed by the
CAB/IBCAB/IB to be responsible for the day-to-day operation of its
Scheme(s).
3. 'Law' means relevant UK Law or
equivalent law in the country concerned for certification compliance purposes.
In instances of legal claims brought by or against 3core2 then UK Law shall be
dominant without prejudice to 3core2 processing a legal claim in any given
country.
4. The CAB/IBCAB/IB is the sole authority by which Certificates of registration
bearing a specified Scope may be granted, renewed, amended or revoked following
rules of accreditation.
5. A candidate Company:
a)
Shall provide accurate and complete company details to the Scheme
Manager in order to allow a proper quotation to be determined.
b)
Upon receiving the quotation from the Scheme Manager regarding
assessment fees and costs associated with Certification, if wishing to proceed,
the recipient shall complete and submit the signed acceptance form found on
page 4 of the quotation to the Scheme Manager.
c)
Shall pay to 3core2 on demand the prescribed application fee and
quoted assessment fees and costs.
6.
A candidate Company shall permit Scheme Representatives of the CAB/IBCAB/IB
to visit his premises to inspect materials, processes, finished articles,
methods and practices, records, systems and procedures for the purpose of
compiling a programme for Certification assessment.
7.
Upon acceptance of the conditions set out below a Certified Company shall be
entitled to use the Certification Logo of the Scheme.
Conditions
are as follows:
a)
The Certification logo is a symbol indicating that the Certified
Company has been satisfactorily assessed to 3core2 Assessment Schedules and
requirements of the standard. The logo must always be used in conjunction with
the Certified Company's name and Scheme members shall not use any other logo,
title or abbreviation to describe their membership of the Scheme.
b)
The Certification Logo must always be used in conjunction with the
relevant Registrant Certificate Number.
c)
The Certification Logo and claims to registration may only be used
in correspondence and advertising and promotional material and must not be used
except in connection with those products or services to which the certificate
applies. The certified Company must identify the products, processes or
services to which the certificate applies and when using the Certification Logo
or any statement or claims to registration, then such claims shall be
consistent to the scope of registration and shall not imply that the
certification applies to activities and sites that are outside the scope of the
certification and shall be otherwise be presented in a context where such scope
of registration is not open to any misinterpretation or doubt.
d)
The Certification Logo may not under any circumstances be used
directly on or closely associated with products and associated packaging.
e)
The Certified Company undertakes to discontinue any use of the
Certification Logo which is unacceptable to the CAB/IBCAB/IB and any form of
statement or reference to the right of the Certified Company to use the
Certification Logo which in the opinion of the CAB/IBCAB/IB might be
misleading.
f)
The certified company undertakes that it will not use its
certification/registration and associated logos and marks in such a manner as
to misrepresent the extent or scope of its registration or otherwise act in any
manner such as would bring the name of 3core2, its offices, Agents, Licensees
or it’s registered members into disrepute.
Clients must:
·
Use the Accreditation Symbol (also commonly referred to as a mark) and/or the
3core2 logo that appears on your certificate, or a subsequent
logo approved by us. Please also read the restrictions section of this document.
·
Add the certificate number that appears
on your certificate (e.g., 1563 – as illustrated below) except when using 3core2 Logo on a vehicle.
·
Include the words ‘Certificate Number’ or ‘Cert No’ before the digits and place centrally underneath the logo.
·
Place
the standard(s) for which you have a certificate centrally underneath the Certificate Number.
·
If
you are certified
to Multiple Standards, they may be listed one under the other.
·
The Logo, Certificate Number and Standards must
clearly
relate to one another.
Size and Colour:
·
Symbols and Logos
can be reproduced in full colour, black and white, or grey
·
On websites and
electronic documents, symbols, logos and associated text should be legible on
commonly used computer screens/resolutions.
Printed Materials
·
Minimum height of
Symbols, Logo box (excluding your certificate number) is 20mm, although this
can be reduced to 15mm on business cards providing legibility is maintained
·
Maximum height is
30mm on A4 paper but can be increased proportionately for larger paper/display
sizes
·
Please also note
that the term Accredited must not be used when referring to certificates issued
by 3core2, as clients are certified by 3core2 and are not Accredited by
3core2
Restrictions:
·
Not
use the Accreditation Symbol on a product or product packaging (such as blister packs, bottles or cans containing the item sold) seen by the consumer or in any other way that may be interpreted as denoting product conformity (unless the goods or product have been manufactured under an accredited product conformity scheme).
·
Not
use the Accreditation Symbol on its own i.e., must be displayed as illustrated above.
·
Not
apply the Accreditation Symbol to laboratory test, calibration,
or inspection
reports, as such
reports are deemed to
be products in this
context.
·
Not
make or permit any misleading statement regarding its certification.
·
Not
use or permit the use of a certification document or any part thereof in a misleading manner.
·
Upon
suspension or withdrawal of its certification, discontinue using the Accreditation Symbol and or 3core2
Logo on all advertising
matter that contains a reference to certification.
·
Amend all advertising matter when the scope of certification has been reduced.
·
Not
allow reference to its management system certification to be used in such a way as to imply that the Certification Body
(3core2) nor the Accreditation Body certifies a product (including service) or process.
·
Not
allow reference
to its management system certification to
be used
in such
a way as to
imply that the Accreditation body or
3core2 certifies a product (including service) or process.
·
Not
imply that the certification applies to activities that are outside the scope of certification.
·
Not
use its certification in such a manner that would bring the certification body (3core2) and/or certification system or the Accreditation body into
disrepute and lose public trust.
·
Not
use the Accreditation body logo or mark on building exteriors (but they can be used on internal walls and exhibition stands).
Not use the Accreditation body logo or mark on flags, vehicles or external packaging.
g)
The certified company undertakes that in furtherance of clause (f)
above, it will display and otherwise issue where requested for information and
verification purposes, the ‘English’ version of its certificate along with any
other translated or other such version of certificate as may also be issued by
the Scheme. In matters of purchaser, customer or other circumstances of
certificate validation request the most up to date ‘English’ version
certificate shall be the principal upon which registration validity may be
confirmed.
h)
Upon suspension or cessation of registration on the Scheme for
whatever reason, the Certified Company undertakes to stop any claims to
registration with the Scheme, return certificates of registration to 3core2 and
discontinue all use of the Logo immediately.
8.
A Certified Company shall:
a)
Maintain and document its product and/or management system in
accordance with the standard and incorporate any such amendments and updates
related to such Standards as may reasonably be directed by 3core2
and shall make available to the CAB/IBCAB/IB, for retention, if
necessary, copies of all or any part of its product and/or management system
documentation.
b)
Not vary the product and/or management system in such a way as to
cause deviation from the standard for which registration is granted or
deviation from FULL product requirements as may reasonably be specified or
expected by a purchaser. The Certified Company undertakes to give the
CAB/IBCAB/IB prior notice of any intentions to materially vary the management
system or product for which a valid Certificate is in issue.
c)
Give representatives of the
CAB/IBCAB/IB or any Assessor (including an Accreditation Body Assessor), or any
observer reasonably seeking participation in the audit process, access during
normal working hours to all those premises, documentation, records, personnel,
equipment, locations, areas and subcontractors associated with or relevant to
evaluation as part of the Certification process, such access being for the
purpose of but not limited to, examining materials, processes, finished
articles, methods of test, working practices, records, systems and services,
including systems for addressing complaints received, or establishing that the
procedures for the termination of certificates, (as described in regulation 8.0
f) have been carried out. Notwithstanding that the above examination may be
conducted as a consequence of a written quotation to a pre-determined number of
Man-days, 3core2 reserves the right to extend its examination and therefore
attendance time if such extension of time is deemed necessary in fulfilment of
obligations to validate evidence for the purposes of Certification. Should
3core2 uncover concerns during audit or identify significant changes which
would impact the management system; then it reserves the right to repeat all
of, or part of, its assessment stages and may consider cancellation or
postponement of future audits until items of concern are addressed.
d)
Nominate for the records of the Scheme a management representative
and one or more deputies authorised to act in the main nominee's absence (and
replacement nominees as may be necessary) who shall be responsible for all
matters in connection with the management system of the Certified Company and
who shall upon each visit by representatives of the Scheme, sign a declaration
to the effect that any changes in procedures or other information relevant to
the Terms and Conditions under which the Certificate of Registration is held,
including customer complaints, have been notified to the Scheme Manager.
e)
Undergo regular surveillance visits to ensure compliance with all
standard requirements.
f)
Upon termination of its Registration under the Scheme for any
reason, immediately return its Certificate of Registration to the Scheme
Manager and stop using the Certification Logo and all promotional material that
references it.
g)
Keep records of and investigate all complaints as required by the
contract with 3core2 and certification requirements. Document and take
appropriate actions to resolve complaints, including correcting any
deficiencies in products, systems, or other areas affecting compliance with
certification requirements, including product specifications.
h)
Comply with these Regulations at all
times.
9.
The CAB/IBCAB/IB will ensure that 3core2, in pursuance of its obligations,
shall:
a)
Send a representative to visit the premises of the Certified
Company at regular intervals to verify, through assessment, that the
obligations imposed by Registration are being carried out, such verification
surveillance visits shall not preclude a reassessment of the Certified Company
for continued Registration under the Scheme at periods not exceeding four
years.
b)
Not disclose, except as required by law, or to comply with
specific registration Standards or contractual terms i.e., such as for
accreditation purposes, any information concerning the Certified Company, other
than information which is in the public domain.
c)
Notify the Certified Company of customer complaints from whatever
source received by the Scheme relating to the compliance of their products or
services.
d)
Give due notice to the Certified Company of any changes in
Assessment interpretation subsequent to changes in certification Standards and
give it such time as, in the opinion of the CAB/IBCAB/IB, is reasonable in
which to adjust its system to meet the revised requirements.
e)
Notify the Certified Company of any changes to wording of
certified scope as printed on the Certificate of Registration, and as may be
amended, reduced or extended by the CAB/IBCAB/IB from time to time, as deemed
necessary and appropriate during general meeting, or following instructions or
amendment of accreditation scope from accreditation bodies.
f)
Take responsibility for all audit and certification activities,
including those outsourced to another body. In being responsible for its
licensees, subcontractors, agents, and similar representatives, 3core2 requires
cooperation from certification holders to fulfil its obligations when
investigating the activities of such representatives.
g)
Operate certification services with impartiality and integrity
10.
Administration of the Scheme requires fees to be paid the level of which 3core2
reserves the right to review from time to time, as follows:
A
candidate company shall pay: - Precertification and other assessment and where
necessary reassessment fees
A
certified company shall pay: - Fees in
respect of surveillance and recertification.
11. A Candidate Company which has been
approved by the CAB/IBCAB/IB for membership of the Scheme and has paid its fees
shall be entitled to receive a Certificate of Registration under the common
seal of the Scheme, and shall, so long as it remains a member of the Scheme be
entitled to hold the said certificate. The certificate shall be the property of
the Scheme and should the company to whom it was issued cease to become a
member company of the Scheme it shall forthwith be returned to the
CAB/IBCAB/IB.
Certificates are valid and may be extended so long as the CAB/IBCAB/IB can
continue to confirm that arrangements are in place to maintain continued
registration at defined intervals or until membership of the scheme is formally
cancelled by either party subject to these regulations.
A Certified Company shall forthwith notify the CAB/IBCAB/IB in writing of any
change in its name or Constitution and provide any information and/or
documentation in relation thereto as the Scheme Manager may reasonably require. A Certified Company shall not dispose of,
sub-licence, assign, transfer or otherwise deal with its Registration, nor
confer any privileges, benefits or rights (if any) arising therefrom, without
the prior written consent of the CAB/IBCAB/IB. All Audit reports generated
under the Scheme shall remain the exclusive property of 3core2 and shall be
subject to disclosure limitations.
12.
If a Certified Company is temporarily unable to comply with the requirements of
these Regulations, the CAB/IBCAB/IB may require the Certified Company to
discontinue any claim to Registration under the Scheme or use of the
Certification Logo with immediate effect, until they are satisfied that
compliance is again achieved, or a successful appeal against this decision is
made by the Certified Company under Regulation 15.0.
13.
If the Certified Company fails to comply with these Regulations the
CAB/IBCAB/IB may, subject to the provisions in Regulation 15.0 as
appropriate:
-
Revoke any certificate.
-
Reduce the Scope of products or services which are the subject of any
Certificate.
-
Limit the use of the certification logo.
-
Refuse to confirm continued Registration thereby suspending certification.
-
Refuse to extend the Scope of products or services which are the subject of the
Certificate.
-
Amend /shorten surveillance frequencies.
Such decisions and the grounds for them, shall
be communicated to the Certified Company in writing.
14.
The CAB/IBCAB/IB may revoke, suspend, limit or refuse to issue or renew a
Certificate if:
a)
The Candidate or Certified Company is the subject of a petition
for a bankruptcy order or becomes subject of any arrangement with Creditors
under the Insolvency Act, or has a Receiver or Manager appointed in respect of
all or any part of its assets, or enters into liquidation whether compulsorily
or voluntary, or is convicted of an offence which in the opinion of the
CAB/IBCAB/IB tends to discredit the Company's reputation and good faith as a
trader.
b)
Any change takes place in the ultimate ownership of the Candidate
or Certified Company as a result of which any third person, firm or corporation
gains effective control of the Company and such third person, firm or
corporation fails within a reasonable time to affirm full acceptance of the
terms and conditions relating to Registration.
c)
The Candidate or Certified Company fails to notify the Scheme
without delay, of changes that may affect its ability to conform with
certification requirements, such as re-location or extension of processes to
other premises, changes to legal structure, ownership or management,
modifications to the product or production method or management systems or
infringements of legal conditions and other such changes as would reasonably
affect confidence in the reliability of the certification awarded by 3core2.
d)
For OHSMS clients; the Candidate or Certified Company fails to
inform 3CORE2 as soon as reasonably practicable, of the occurrence of a serious
incident or breach of regulation regardless as to whether it necessitates the
involvement of the competent regulatory authority. Such occurrences may result
in the requirement for special audit activity to ensure the OHSMS continues to
function effectively, the outcome of which should form an input into the
decision to continue certification.
e)
For ISO13485 medical devices clients, the Candidate or Certified
Company fails to inform 3CORE2 as soon as reasonably practicable, of the
occurrence of a non-compliance or any incidences in breach of regulation
regardless as to whether it necessitates the involvement of the competent
regulatory authority. Such occurrences may result in the requirement for
special audit activity to ensure the Medical Device client continues to
function effectively, the outcome of which should form an input into the decision
to continue certification. Where an incidence has occurred and appropriate
action has not been taken, the client accepts & agrees that the
CAB/IBCAB/IB can send a copy of the medical report to the appropriate
regulator.
15.
In the event of a Candidate or Certified Company wishing to appeal against any
decision of the CAB/IBCAB/IB (other than pursuant to regulation 14.0 above) it
shall within 21 days of being served with such a decision give notice in
writing to the Scheme Manager, at the address given in regulation 2.0, of its
desire to have that decision reviewed.
The Appeals shall normally be investigated by a person independent of
the decision and the outcome shared with the appellant within thirty days of
receipt of such written notice. The submission, investigation and decision on
appeals shall not result in any discriminatory actions against the appellant.
The decision of the CAB/IBCAB/IB shall be final, with no further right to an
appeal.
A Candidate or Certified Company shall indemnify 3core2 in respect of any
damages which may be agreed to or awarded against 3core2 in respect of the
death or injury to a CAB/IBCAB/IB representative, arising in the course of his
conduct of any assessment or surveillance of the Company under these
regulations, except where the damages are agreed to or awarded in respect of
any liability attributable or attributed to the negligence of 3core2, its
employees or agents.
The Candidate or Certified Company shall maintain such insurances as are
necessary and to the level required to cover the indemnities referred to above.
As and when it is reasonably required to do so, the Company shall produce
documentary evidence for inspection by the CAB/IBCAB/IB that the insurances
required by this clause are properly maintained.
16. 3core2 shall not be liable for any loss or
damage of whatever nature suffered by any Candidate or Certified Company
arising out of any action or omission of any independent professional
assessment person appointed as an assessor by the CAB/IBCAB/IB under these
regulations.
17.
The liability of 3core2 for any loss or damage of whatever nature suffered by
any Candidate or Certified Company arising out of any breach, by 3core2 of
these regulations (whether or not arising out of 3core2's negligence) shall be
limited in any period of one year to the value of the fees paid in that year by
the Company. 3core2 shall not be liable for loss or damage of whatever nature
suffered by any third party.
18.
These regulations may from time to time be altered by the CAB/IBCAB/IB. No such
alteration shall affect the right of any Certified Company to use the
Certification Logo or claim to be registered under the Scheme unless or until
it shall have been given notice in writing of such alterations by the
CAB/IBCAB/IB, who will notify the Certified Company of the date by which it
must comply with the altered Regulations, which date shall not normally be less
than six months from the date of notification of the alteration.
19. A register of Certified Companies
shall be kept by 3core2 and subject to reasonable notice, shall be open to
inspection by the public during normal working hours at the address given in
Regulation 2.0. The Register shall also contain details of certified services
and products, such being the ‘Registered Scope’ of certification as determined
or agreed by the CAB/IBCAB/IB. The above details shall also be freely confirmed
to the public and purchasers when making an enquiry for validation of
certification. Alternatively, the
validity of certificates can be verified via the IAS certificate search website
www.iafcertsearch.org and the UKAS certificate search website https://certcheck.ukas.com/ . These certificates can be searched by
organisation name or certificate number. Once this information has been
inserted, the website displays the CAB/IBCAB/IB name, client name, (partly
redacted) certificate number, location, Management System Standards, AB and
CAB/IBCAB/IB and a facility to verify the certificate.
20.
Any decision, requirement or notification under these Regulations shall be
given by notice in writing and signed by or on behalf of the party giving it.
For termination of assessment services or registration by a Candidate or
Certified Company, 3core2 requires and the customer agrees that a minimum
period of thirty days’ notice shall be served. Should such minimum notice
period not be observed, then 3core2 reserves the right to levy charges up to
any quoted assessment fee and/or any additional charges as may be deemed
reasonable to administer withdrawal from the Scheme’s Register of Certified
Companies. A notice may be served to the Candidate or Certified Company at the
address given on the application or Registration documents, or to the
CAB/IBCAB/IB of 3core2 at the address given in Regulation 2.0. A notice may be
served by either party on the other by leaving it or sending it by pre-paid
recorded delivery or registered post. Any notice so served by post shall
(unless the contrary is proved) be deemed to have been served forty-eight hours
from the time of posting. In proving such service, it shall be sufficient to
prove that the notice was properly addressed and was served in accordance with
these Regulations.
21.
Disclosure of information
Information
on client registration under the Scheme shall be made available as above in 19.
In
exceptional cases, access to certain information can be limited at the request
of the client (e.g., for security reasons). If such restriction is required
then this should be made known to the Scheme Manager in writing at time of
application, or as soon as possible thereafter.
When information is requested outside the
parameters of the foregoing, then, unless requested by Law, the client shall be
notified in advance of the information requested to be provided.
22. Limitation of Liability:
3core2
commits to providing independent and impartial audit, inspection, training, and
certification services related to standards for management systems and
inspection activities. Clients apply for certification on a case-by-case basis,
following the requirements of the relevant standards, and each application is
treated as a separate contract. When multiple contracts are involved, a
commercial agreement may cover several certification services, but the delivery
of these services will not be affected or condensed unless justified and
allowed under applicable certification guidelines, such as for Integrated
Management System audits. There will be no financial or other beneficial impact
on a certification contract for companies using 3core2's Training Division
services or when 3core2 has agreed to recognize a consultancy service that may
be subsequently engaged by the candidate or certified company.
3core2 ‘own Brand’, National and/or International Standards; Compliance to such
standards is evaluated on the basis of a sample audit, to standards and related
guidance and codes of practice including those recognised and adopted by
National Accreditation Bodies (i.e., such as UKAS in the UK). When
non-compliance with a standard is reported by a 3core2 assessor, it shall be
the responsibility of the customer to determine the corrective action suitable
to address the noncompliance and to obtain professional advice as to its
appropriateness. 3core2 does not provide advice concerning measures to remedy
non compliances and the customer undertakes not to seek or to rely upon any
such advice from a 3core2 Assessor. The holding of a 3core2 certificate of
registration does not relieve the customer of its legal liabilities in the
conduct of its business and provision of its products and services. Should
3core2 be found not to have interpreted a Standard or assessment result
correctly, the liability of 3core2 shall not extend to liability for loss of
production, loss of profits or loss of business for other indirect or consequential
losses and will be limited to the amount of the certification fees charged to
the customer or the sum of £5,000 whichever is the higher.
The regulations of 3core2 are subject to ongoing amendment and the latest
version of these regulations is available either directly from 3core2 at its
registered address or from the 3core2 Web Site.
23.
Cancellation Policy
3core2
Certification reserves the right to apply the following fee structure should an
audit be cancelled or rearranged:
·
Cancellation within 0-10 working days of planned audit – 100% of
the prevailing day rate.
·
Cancellation within 11-20 working days of planned audit – 50% of
the prevailing day rate.
Fees are charged per auditor, per day
rate.
Any additional expenditure that has been incurred by 3core2 Certification and
is not reclaimable (including, but not limited to, flights, hotels, other
travel expenditure) will also be charged at cost.