Terms and Conditions including Rules of Registration
r09 Last reviewed 24th May 2023
1. These regulations define the general terms and conditions of 3core2 Certification Ltd, and its operating divisions and subsidiaries providing Management System Certification called the Scheme. The use of singular pronouns shall include the plural and vice versa; use of gender specific masculine pronouns shall include the feminine gender and non-binary.
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) on receipt from the Scheme Manager of the quotation in respect of assessment fees and costs associated with Certification, shall complete and submit to the Scheme Manager if he wishes to proceed: I) the application form for Certification, and ii) a copy of his documented management System
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. Where the certified system applies to a Laboratory; the certification logo may not be used on test, calibration or inspection reports; and the laboratory’s own ‘type test’ or calibration certificates.
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.
g) For BRC clients, the Certified Company shall inform the CAB/IBCAB/IB if the certified product no longer continues to fulfil the product requirements
· 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.
· 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
· 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.
h) 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.
i) 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) be subject to regular surveillance visits for the purpose of ensuring that all requirements of the standard are complied with.
f) upon the termination of its Registration under the Scheme for whatever reason, forthwith return its Certificate of Registration to the Scheme Manager and discontinue use of the Certification Logo and all promotional material which makes use of or refers to it.
g) by virtue of its contract with 3core2 and to comply with certification requirements, keep a record of and investigate all complaints and shall document and also take appropriate action to bring complaints to a reasonable resolution, which shall include the correction of any deficiencies found in products, systems or any other matters that may affect compliance with requirements for certification including product specifications.
h) at all times comply with these Regulations
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 for the purposes of verifying 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 and, in being responsible for its Licensees, subcontractors, agents and similar representatives, requires co-operation from certification holders, in order to fulfil its obligations when subsequently 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: – An application fee. – Precertification and other assessment and where necessary reassessment fees
A certified company shall pay: – An initial certificate fee. – Fees in respect of surveillance, recertification, and endorsement of any certificates by the Scheme’s representatives. – A fee for renewal of each certificate issued with a new Scope or Site.
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 FSMS 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 Food Standards regulation(s) regardless as to whether it necessitates a full product recall. Such occurrences may result in the requirement for special audit activity to ensure the FSMS continues to function effectively, the outcome of which should form an input into the decision to continue certification.
f) 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. Alternately, the CAB/IBCAB/IB offers a certification search via Certification Search (3core2.co.uk), which redirects to IAF Certification Validation – IAF CertSearch, allowing the enquirer to search a certification by Organisation name or by 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 his 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 21.
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 undertakes to provide Independent and Impartial Audit, Inspection, Training and Certification services, relating to Standards both for management systems, Inspection activities and product manufacture/product processing under Good Manufacturing Practice. Such certification is applied for on a case-by-case basis by the Client, against the requirements of the relevant Standard(s) and as a distinct and individual contract(s). In the case of multiple contracts, whilst a commercial agreement may be entered into that incorporates several certification services, the delivery of such services shall not be impacted nor condensed except on merit and as allowed under applicable certification guidance, such as for Integrated Management System audits. There shall be no pecuniary or otherwise beneficial impact upon a Certification contract(s), for Companies using the services of 3CORE2’s Training Division or where 3CORE2 has agreed to recognise a Consultancy Service which 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 noncompliance against a Standard, is reported as found 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.