Certification Audit Contract

This Agreement is made this / / by and between (hereinafter called

Client) P.C Management System Pvt. Ltd. (hereinafter called PCMS) for certification audit as follow:

Article 1. Purpose of Contract

The purpose of the contract is to arrange and observe all the necessary rights and duties to
each of them in performing certification audit applied by Client.

1.1 General requirements

Certification Audit of Client’s management system shall be performed on the basis of the
Requirements of applicable standards. The audit programme shall include a two-stage initial audit,
surveillance audits in the first and second years, and a recertification audit in the third year prior to
expiration of certificate. An audit plan is established for each audit in contract with the Client.
A documented report is provided after each audit. Client shall make all necessary arrangements for
the conduct of the audits, including provision for examining documentation and access to all processes
and areas, records and personnel for the purpose of initial certification, surveillance, recertification
and resolution of complaints. Client shall make provisions, where applicable, to accommodate the
presence of observers (e.g. accreditation auditors or trainee auditors). The accreditation body can
select any accredited client for witness audit. The client shall permit for the witness audit and allow
the accreditation body assessor's to assess the competency of PCMS auditor. There shall be no
additional charges for witness audit and logistic expenses shall be borne by PCMS.

Article 2.Registration Scope

Client shall have documented management system that meets applicable standard and other
normative documents (like quality policy, quality manual, mandatory procedures, records, Internal
audit, MRM) three months implementation period from the date of issue of manual.
PCMS assesses and certifies Client’s Management system according to the standard and scope
applied by Client. The registration scope shall be limited to the product, services and other activities
assessed actually. In this regards, the registration scope can be changed.

Article 2.1 Application review

Before proceeding with the audit, we will conduct a review of the client application and supplementary
information for certification to ensure that the information about the applicant organization and its
management system is sufficient for the conduct of the audit.
 The scope of certification sought, the location(s) of the applicant organization's operations,
time required to complete audits and any other points influencing the certification activity are
taken into account such as language, safety conditions, threats to impartiality and statutory
and regulatory requirements..
 The audit team shall be appointed and composed of auditors where required technical experts
who have the totality of the competences for the certification of the applicant organization.

2.1.1 Refusing:- PCMS may refuse the application of Client in the following cases:
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  Due to Unavailability of Competent Auditor
 If related scope not comes under the accreditation scope of certification
 Some ambiguity in legal or clients will to get & maintain certification.
 Responsibility of Refusing of Application is Technical Manager/Technical Director

Article 3. Certification Audit

1. Certification audit of Client’s managements system shall be performed on the basis of the
requirement of applicable standards. The audit shall be in two stages (Stage 1 &
Stage 2)
2. Stage 1 audit shall be done at client place. The auditor shall check records of Client’s
system documents (Manual, Procedure, Guides, etc.) and relevant records (Internal Audit
Reports, Managements Review Reports, etc.) shall be performed prior to on-sit audit. The
stage 1 audit is for examining Client’s Organization, policy and work process, and verifying
whether they meets the requirements of applicable standards or not.
3. Pre-audit can be performed upon Client’s request. This pre-audit is not to determine
registration, but to evaluate the conformity of this management system.
4. On-site audit is performed upon Client’s sites to verify if its activities are implemented
according to documents system. If nonconformities are found during on-site audit, PCMS
shall issue NCR (Non-conformity Record)
5. If any non-conformity is found during on-site audit, PCMS shall verify that corrective
actions taken are applicable through document review or follow up visit. If corrective
action are taken by client are applicable, the certificate can be granted.
6. PCMS shall issue the recommendation for certification letter to the client, and then
certificate will be issued.
7. The client agrees to allow Accreditation Board Auditor/trainee auditor as observer for the
purpose of Witness Audit. The observer do not influence or interfere in the audit process
or outcome of the audit.
8. The client agrees to allow the auditors (PCMS & Accreditation Board) to access the all
records except accounts, specially the records of complaints received and the action taken
on the same. If the action taken is not as per the requirement of international standard of
management system then Non-Conformance will be raised, and subsequently reviewed in
follow-up or surveillance audit.

Article 4. Confirmation of Registration Scope

Audit team and Client should discuss certification standard, certification scope (item) and
address of sites with each other.

Article 5. Issuing Certificate

PCMS shall review the result of corrective action(s) submitted by client prior to granting its
certificate. If PCMS decided the corrective action(s) taken by client is (are) acceptable, the
certificate can be issued. The date of issue shall be based on PCMS procedure. The Certificate
will remain the property of PCMS.

Article 6. Use of PCMS Logo and Accreditation Mark

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 Client shall:

1. Always comply with the relevant provision of the certificate/registration Programme.

2. Make all necessary arrangements for the conduct of the assessment, including provision for
examining documentation and the access to all areas, records (including internal audit reports)
and personnel for the purposes of assessment, surveillance, re-assessment and resolution of
complaints.
3. Only claims that it its certified / registered with respect to those activities for which it has
been granted certification / registration.
4. Do not use it certification / registration in such a manner as to bring the certification /
registration. Body into disrepute, and does not make any statement regarding its
certification / registration which the certification / registration body may consider
misleading or unauthorized.
5. Discontinue use of all advertising matter that contains any reference to its certification /
registration in cases of suspension or withdrawal of its certification / registration (however
determined) and returns any certification / registration documents as required by the
certification / registration body.
6. Use certification / registration only to indicate that the Management System certified is in
conformity with specified standards or other normative documents, and does not use it
certification / registration to imply that a product or services is approved by the certification
/ registration body.
7. Ensure that no certification / registration document, mark or report, or any part thereof, is
used in Ca misleading manner.
8. Comply with the requirement of the certification / registration body, when making reference
to its certification / registration in communication media such as documents, brochures or
advertising.
9. At the time of granting certificate the client will receive certificate and logo artwork for the
use of mark; copy of TC35 will be signed by the client and handover to PCMS.

Article 7. On-Going Surveillance

1. An interval of Periodic on-going surveillance shall be based on (QT02) and shall not be
over than one year.
2. The auditor day shall be base on “Auditor Days and Fee Structure (QT02)” of PCMS

Article 8. Notification of Client’s Change and Assessment for Confirming Change

Client shall notify PCMS by written request if following changes occurs in Client’s management
system. The changes such as change in organization name and ownership, change of address, change in
scope, change in process, any significant events including, but not limited to fatal incidents, serious
injuries, occupational disease or legal action by a regulatory authority and OHS related findings by
third-parties. After review of the request submitted by the customer, PCMS shall determine the
necessary action and inform the client after the committee approval.

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Article 9. Re-certification

Re-certification shall be based on three years performance and be conducted before the expiry date
of certificate. The non-conformity raised in re-certification audit should be closed before the expiry
date of certificate. Re-certification program verifies overall continuing effectiveness of the
customer’s management system in its entirety. PCMS shall re-issue the certificate after completing
review from the technical committee.

Article 10. Withdrawal of PCMS Accreditation

In case of withdrawal or suspension of the audit scopes by accreditation body as the result of
PCMS fault, PCMS shall request the subcontracted (entrusted) bodies to assess on behalf of PCMS
for maintaining Client’s certification.

Article 11. Suspension of Certification (After Granting Certification)

In the event that Client is not complying with following, PCMS may suspend Client’s
registration.

1. Client did not accept on-going surveillance visit within the time agreed.
2. PCMS determines that Clients does not have resources or organization to satisfy with
requirements of standard applied, or the certified system does not exist.
3. Client lost its confidence as a result of claims raised by interested party and social
conflict.
4. Client has not taken the required actions against the changes or registration system or
requirements during the specified period.
5. Client failed to correct the nonconformities found at on-site audit within the time agreed.
6. Client failed to timely correct nonconformities, caused by misuse of certification mark,
within one (1) month.
7. Client didn’t pay PCMS for registration activities set in PCMS published Auditor days and
Fees structure.
8. PCMS determines that Clients didn’t comply with organization’s obligation based on
Certification Audit Contract.
9. Clients used and applied the certificate (certification) to out of its coverage.
10. It is proved that the information and/or material provided by Client during assessment are
falsity.
11. Client didn’t comply with article 8 “Notification of Client’s Changes and Assessment for
Confirming Changes” of this contract.
12. PCMS determines that Client does not comply with the agreement(s) and/or contract(s)
concluded with PCMS.

Article 11.1 Amendment to Scope of Certificate of Registration

 Extending of scope: - Upon client’s request for extending scope PCMS shall review the
availability of scope and competence level and advice for audit considering the auditor time.
The audit time may be extended after seeing the actual process of the extended part of
scope. The certificate will be re-issued incorporating the new scope. This type of scope

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 extension may be clubbed with surveillance audit or it can be carried out separately through
Special Audit.
 Restoring:- PCMS shall restore the certification as per the following
 If the Client submits the Corrective action report within the 30 days of time period in case of
minor non-conformity and 90 Days of time period in case of major non-conformity and also in
case of major non-conformity there should be a provision of re-visit of auditor at client’s
location for the verification of effectiveness of Closure of Non-Conformity.
 After Suspension there is 15 Days of time period for the renewing of certification after
Verification of Effectiveness of System by the Auditor at the time of Re-Visit, Without Re-
Visit no any certification will be restored except in case of suspension Due to non-payment.
 Responsibility for Renewing of Client is Technical Manager/Director technical

 Reduction of scope: - The PCMS shall reduce the client’s scope of certification to exclude
the parts not meeting the requirements. When the client has persistently or seriously failed
to meet the certification requirement of those parts of the scope of certification. Any such
reduction shall be in line with the requirements of the standard used for certification. PCMS
decision on reducing the scope of certification shall be communicated to the client, in writing,
through letter. The certificate will be re-issued after reduction of scope.

Article 12. Withdrawal of Certification (After Granting Certification)

In the event that Client is not complying with following, PCMS may withdraw Client’s
registration.

1. Failures to timely correct a suspension within three months.

2. Client’s Request.
3. Client discontinues the activities (manufacturing, installation, etc.) related to the scope of
registration.
4. The certified Client is no longer identified because of its dismantlement or communication
disconnecting, etc.
5. The suspension of Client’s registration is more then 3 times during the term of validity of
its registration.
6. After receipt of PCMS request to return the Certificate(s), Client didn’t return its
certificate(s) to PCMS within one (1) month.
7. The client name will be listed in cancel list of PCMS website, www.pcmsworld.com

Article 13. Appeals, Complaints

The procedure of appeal and complaint is available at PCMS website www.pcmsworld.com. If

Client has appeals, complaints relating to registration assessment, certification process and/or of any
other issue, Client shall submit the appeals, complaints and disputes in writing to PCMS. PCMS shall
handle the appeals, complaints, submitted by Client, in accordance with PCMS procedure. The result
shall be provided to Client in writing. The client has right of access to records of complaints related
to him in the head office of PCMS.

Article 14. 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

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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.
1. Information that PCMS already has before Client provides.
2. Information disclosed or expected to be disclosed publicly and legally.
3. Information about the client from sources other than the client (e.g. complainant,
regulators) will be treated as confidential. The confidential information of client can be
shared if required for the statutory requirement.
4. Information required by accreditation body for its evaluation of PCMS

Article 15. Change of Certification / Registration Requirement

If the registration requirements are changed, following shall be processed within specified period.

1. PCMS shall inform Client about changed requirements in detail by electronic media/New
Letter in a reasonable period.
2. Client shall submit documented application plan of changed requirements or its result in
detail.
3. Through on-going surveillance, PCMS shall verify Client’s implementation and compliance of
changed system based on registration requirement changed, within 12 months.

Article 16. Certification fees

1. Certification fee shall be in accordance with in Quotation of PCMS

2. Surveillance audit fee is charged as per audit fee rate when it is performed.
3. If the audit team decides that nonconformity, found during audit, should be verified
through follow-up visit, verification audit shall be performed. In this case, the expensed
will be charged as per fee rate on the time of verification audit.
4. Travel cost including accommodation raised from audit, shall be charged to Clients.

Article 17. Payment

1. When concluding this contract, Client shall pay application fee and submit application form,
after approval of application form, Client have to pay the Registration fees.
2. All audit fees (initial audit, on-going surveillance, verification audit and re-assessment etc.)
shall be paid by 7 days prior to its audit. In the event that the invoice is delayed, the fee
shall be paid within 7 days for its receipt of the invoice.
3. Traveling expenses are charged with audit fees.
4. GST (Good & Service Tax) extra as applicable

Article 18. Unavoidable Reasons

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.

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Article 19. Contract Interpretation and disputes settlement

In case(s) of disputes(s) which may arise between the parties with respect to the execution,
interpretation and performance of this Agreement, both parties shall do their best to settle in an
amicable manner. If the lawsuit occurs, the courts of Delhi (India) shall have jurisdiction over all
disputes, which may arise between the parties.

Article 20. Reliability, faithfulness and mutual co-operation

1. Both parties shall comply with articles stated in this agreement upon mutual trust. PCMS
shall to its duties and Client shall give best assistance to PCMS.
2. Client shall comply with all laws related to certification and give assistance for special
surveillance audit required by Accreditation body, if requested.
3. When Client transfers its certification/registration to another certification body, Client
shall inform PCMS about its transfer and reason.

Article 21: Rights & duties of Client

Client shall;
Conforms to the requirements of PCMS when making reference to its certification status in
communication media such as the internet, brochures or advertising, or other documents,
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, discontinues its use of all advertising matter that
contains a reference to certification, as directed by PCMS,
Amends 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 PCMS certifies a product (including service) or process,
Not imply that the certification applies to activities that are outside the scope of certification, and
Not use its certification in such a manner that would bring PCMS and/or its certification system into
disrepute and lose public trust.
Not use certification mark on laboratory test, calibration or inspection reports
Not use certification mark on a product or product packaging that may be interpreted as
denoting product conformity.
Record and address complaints, report complaints to PCMS
Notify PCMS within 30 days of changes to Client's quality system or changes significantly affecting
Client, such as a change of ownership, change in key personnel or facilities, which call “change” from
now
Allow PCMS to conduct special audits at short notice to investigate complaints, or in response to
changes, or as follow up on suspension.
Not expose auditors or others representing PCMS to unsafe working conditions or environments, and
to provide all auditors and others appropriate protective equipment,
Pay PCMS for the Certification Activities as per the Fee Structure.
PCMS has the ownership of certification documents, marks and audit reports. So long as Client
maintains its status as being certified by PCMS pursuant to the Client's Rights and Duties as above,
Client will have the non-exclusive and non-transferable right to use the Certificate, the PCMS Logo
and any Accreditation Marks (except during Suspension in Client's advertising and marketing
materials and campaigns.
PCMS shall take actions as appropriate to deal with the incorrect references to certification status
or misleading use of certification documents, marks or audit reports. Such action could include
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requests for correction and corrective action, suspension, withdrawal of certification, publication of
transgression and, if necessary, legal action.

Article 22. The Term of 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 certification. And the term of this contract can be
extended by re-assessment and re-certificate. This can be extended by re-assessment and re-
certificate. This contract can be changed and renewed by agreement between both parties if
applicable.

Article 23. Retention of contract

IN WITNESS WHEREOF, Client And PCMS hereby execute this agreement as of the date
first set forth above. The contract (duplicate) shall be kept at both sides.

(Client) PCMS

PERSON NAME Sanjay Chopra/ DIRECTOR

COMPANY NAME P.C. Management System Pvt. Ltd.
ADDRESS 1 134-A, IInd Floor, Taimoor Nagar,
ADDRESS 2 New Friends Colony, N.D. – 65

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