Certification Rules

1When certification is suspended

A client's certification is suspended when the certified management system has persistently or seriously failed to meet certification requirements, for example:

1. The management system no longer meets requirements:
   1. Failure to respond adequately to identified nonconformities
   2. The management system no longer reflects the organisation and its processes, for example after changes, acquisitions or diversification
   3. A major part of the management system is not implemented
2. Surveillance or recertification audits are not allowed to take place at the required frequency or as scheduled.
3. The signed certification agreement is breached, for example:
   1. Non-payment of fees
   2. Incorrect use of the certification mark or of references to certification
   3. The client voluntarily requests a temporary suspension
4. Evidence from the authorities could affect the status of the certificate, for example:
   1. Non-compliance with regulatory or statutory requirements relevant to the certified management system
   2. An ineffective management system shown by serious incidents or accidents

2How decisions are made

1. The Operation Manager who issued the certificate decides on the action to take, after reviewing and duly considering the evidence.
2. Suspension is normally the first step, followed by withdrawal if the issue is not resolved in time. Depending on the seriousness of the case, UGG may withdraw a certificate directly.
3. Where the failure relates to a specific part of the organisation, UGG may reduce the scope of certification instead of suspending it.
4. UGG may also first warn the client that suspension is being considered.

3Suspension period, restoration and scope reduction

1. A suspension normally lasts no more than six months, unless there are extenuating circumstances.
2. UGG restores the suspended certification once the issue that caused the suspension is resolved.
3. If the issue is not resolved within the time UGG sets, the certification is withdrawn or its scope is reduced.
4. Where a client has persistently or seriously failed to meet requirements for part of its scope, UGG reduces the scope to exclude that part, in line with the MSPO standard used for certification.

4Communication with the client

1. Before a suspension notice, the Operation Manager reminds the client at least twice, by email or phone, to take the actions UGG requires. Phone calls are followed up in writing for the record.
2. The Letter of Notification of Suspension is reviewed and authorised by the General Manager before it is sent.
3. During a suspension the client must refrain from promoting its certification. The Operation Manager makes an enforceable arrangement with the client to this effect.
4. The status of the certification is published on this website for public access.
5. Before a notice of withdrawal or scope reduction, the Operation Manager again follows up at least twice.
6. If the client fails to resolve the issue, the General Manager makes sure the decision, by Letter of Withdrawal of Certification or reduction of scope, is documented and communicated to the client.

5Withdrawal (termination) of certification

A certificate is withdrawn when the client does not meet the conditions of suspension, or when suspension is not considered an adequate action. The decision is communicated formally, and the client must:

• Stop using the certification mark and any reference to certification
• Return all certificates and copies to UGG

6Notification and the right to appeal

The Operation Manager communicates with clients on the follow-up to every suspension, withdrawal, scope reduction and appeal decision. The client is told of the right to appeal and how to do so, and completes the Client Appeal Form (UGG-FM-17).