Section 7 in The Bureau Of Indian Standards (Certification) Regulations, 1988
7. Other services associated to certification.-(1) Management systems-
A. Application for license.-(a)Every application for the grant of license for management systems certification shall be made to the Bureau in the Form specified by the Bureau, which shall be signed by the proprietor, partner or the Managing-Director of the applicant firm or by any person authorised to sign declaration on behalf of the firm. The name and designation of the person signing the application shall be recorded legibly in the space set apart for the purpose in the application form.(b)Every application for certification shall be accompanied by supplementary questionnaire duly filled in the Form specified by the Bureau. The application shall also be accompanied by a Manual and Plan as prepared by the applicant firm and the policy declared by the applicant firm for the system for which certification is sought.(c)The application form along with fee decided by the Bureau and other necessary documents submitted by the applicant shall be acknowledged and numbered by the Bureau in the order of priority according to the date of the receipt. The fee shall be non-refundable.(d)After acknowledgement, the application shall be verified by the Bureau, and if it is in order, the applicant shall be informed of the intention of the Bureau to proceed with the application.(e)If required, the Bureau shall provide to the applicant the information about the scheme and also obtain such further information from him, if necessary.(f)An application may be rejected if the applicant does not comply with one or more of the following requirements(i)application fee not accompanying the application;(ii)application form is incomplete;(iii)annexures to the application are not clear.In addition, the Bureau may call for any supplementary information or documentary evidence from any applicant in support of or to substantiate any statement made by him in his application, within such time as may be directed by the Bureau.(g)The reason for rejection of the application shall be communicated to the applicant by the Bureau.(h)The application for a license by a firm which has been convicted under section 33 of the Bureau of Indian Standards Act, 1986 shall not be entertained for a minimum period of six months from the date of such conviction. The extent of the period of disqualification shall be determined by the Bureau having regard to the facts and circumstances of each case and it shall not exceed a maximum period of one year.B. Assessment procedure.-(a)If the application is in order, then the Bureau shall proceed as per clauses (b) to V).(b)The Bureau may, if necessary, arrange a visit to the premises of the applicant to acquaint itself about size, nature of operation and readiness for the assessment and the type of expertise required by the assessment team.(c)The applicant is required to have a documented management system, which conforms to the relevant Indian Standard(s) on management systems. Before an assessment visit is made, a detailed appraisal of the applicant firm's management system documentation for conformance with the relevant Indian Standard on the management systems shall be undertaken by the Bureau. The applicant shall then be notified about any significant omissions or deviations from the requirements to make suitable amendments prior to the assessment visit.(d)The applicant shall ensure that(i)all documentation relating to the management system(s) for which the license is sought, including the Manual and Plan or its equivalent is made available to the Bureau;(ii)all relevant records relating to implementation of the management system(s) are made available to the Bureau;(iii)the assessment team is permitted and assisted to undertake assessment of the management system; and(iv)responsibility to the Bureau for the management system(s) is clearly defined by appointing a designated person to ensure that the required management system procedures are observed.(e)The assessment team shall comprise lead auditor and one or more auditors as deemed necessary. The assessment team may also include technical expert(s) or experienced assessors in the concerned technology area as member.(f)The assessment shall involve an in-depth appraisal of the applicant firm's procedures for the conformance to the requirements decided by the Bureau. The applicant shall be required to demonstrate the practical application of the documented procedures. The assessment team shall identify the non-conformance and bring them to the notice of the applicant for rectification.(g)Date(s) and time of the assessment visit shall be decided on mutual agreement between the parties (assessment team and the applicantC. Assessment fees.-(a)Assessment fee depends upon the nature of theactivities of the firm. The fee determined shall be intimated to the applicant prior to the visit.(b)All assessment and re-assessment fee determined by the Bureau and cost of travel and stay shall be paid by the applicant firm prior to the visit.(c)If the application, is in respect of more than one area oftechnology or for more than one standard, the assessment visit normally covers all aspects.D. Factors for the grant of license.-(a)The assessment team after the assessment shall analyse the capability of the applicant to operate the management systems certification scheme.(b)The assessment team shall prepare a report against each of the items or clauses given in the relevant Indian Standard(s) on management systems against which the assessment has been carried out. The applicant shall be notified in writing the non-conformities, if any, observed during the assessment.(c)The applicant shall produce evidence that corrective actions have been taken to meet all the relevant requirements within the time limits specified by the Bureau. The Bureau may undertake a full or partial re-assessment or accept written declaration that corrective action has been taken, to be confirmed by the Bureau during a surveillance visit.(d)When the Bureau is satisfied with the recommendations of the assessment team for grant of license, the same shall be granted, as per Form III. While making the recommendations, the team shall take into account the assessment made under sub-clauses (a) to (c) of Item D and also the requisite skill, equipment, systems resources, previous performance and antecedents relevant to the issuance of the license.(e)If the applicant is not able to produce evidence that corrective actions have been taken to meet all the relevant requirements within the time limits specified by the Bureau, the Bureau may refuse to grant the license. However, before refusing to grant the license, the Bureau shall give a reasonable opportunity to the applicant of being heard either in person or through a representative authorised by him in this behalf and may take into consideration any fact or explanation urged on behalf of the applicant before refusing to grant the license.E. Undertaking.-Prior to grant of license, the applicant shall sign an undertaking to the effect that he will make no claim direct or implied that the license to be granted relates to any products, processes or systems other than those that will be set out in the license and the Schedule.F. Grant of license.-(a)The license shall be granted for a period of three years in the first instance. The Bureau shall inform the applicant about the grant of license.(b)The Bureau shall provide a certificate for grant of license in Form III which shall be used by the licensee subject to the provision of Item L of sub-regulation (1) of regulation 7. Additional copies of certificate may be provided on payment as determined by the Bureau from time to time. OF INDIAN(c)The license shall be returned to the Bureau in the event of its being surrendered, not renewed, suspended or cancelled.(d)The Bureau shall register the licensee as having a management system in accordance with the scheme's assessment requirements for the products or processes involved in manufacturing the product or providing a service.(e)The Bureau shall authorise the licensee to use, subject to the provisions of Item K, the Standard Mark as decided by the Bureau.G. License fee.-(a)The license fee shall be determined by the Bureau from time to time.(b)The license fee shall be paid by the applicant at the time of grant and renewal of license. No such fee or part thereof shall be refunded.H. Renewal of license.-The license may be renewed for a period of three years. The renewal will be done by re-assessing the capabilities of the licensee, the fee of which shall be borne by the licensee. The license shall expire after the period for which it is granted, if not renewed.I. Surveillance and regular review.-(a)The grant of license shall be followed by surveillance visits. The frequency and extent of visits shall be determined by the Bureau.(b)The surveillance visits may be planned in consultation with the licensee to ensure that the management systems and procedures already assessed are being maintained.(c)Special assessment visit shall be necessary where a licensee fails to observe the conditions of the license or where there have been significant changes in the organisation of the licensee. The licensee shall be liable for the costs of all such visits.J. Changes in the management system.-(a)The licensee shall inform the Bureau promptly about any intended changes in the management system or other changes which may affect conformance to the requirements decided by the Bureau.(b)The licensee shall accept the decision of the Bureau as to whether the intended changes require re-assessment or further investigation.K. Use of Bureau's Standard Mark.-The licensee may use the standard mark only as authorised by the Bureau.L. Publicity.-(a)The Bureau shall maintain a list of licensees and make it available for public information.(b)The list shall be updated periodically.(c)The Bureau may bring out publications containing information regarding licensees.(d)The licensee shall inform potential customers, purchasers or purchasing authorities, of the full and exact details of the license.(e)The licensee shall display the license in his premises.(f)The licensee shall make use of the Bureau's Standard Mark as authorised.(g)The licensee shall state in documentation brochures or throughadvertising media that the organisation or location to which the license applies have been assessed and approved by the Bureau. In such advertisement the Indian Standard(s) on management systems(s) for which a license has been granted is/are to be stated and any other level(s) of approval than granted is not to be implied.(h)A licensee who has been granted a license for management system certification shall not claim or imply that the product manufactured by him has been certified or approved by the Bureau unless he is holding a valid license for that product under the recognised product certification scheme of the Bureau.M. Obligations of the licensee.-A licensee on grant of certification for management systems shall,(a)at all times comply with the requirements of the license as set out therein and comply with these regulations or any amendments thereto;(b)only claim that he is holding a license in respect of the capability which is the subject of the license and which relates to the products, processes or systems in accordance with the license requirements;(c)not use the license in any manner to which the Bureau may object and shall not make any statement concerning the authority of the licensee's use of the license which in the opinion of the BIS may be misleading;(d)submit to the Bureau for approval the form in which he proposes to use his license or proposes to make references to the license;(e)upon expiry of its period of validity, suspension, or termination of the license, however determined, discontinue its use forthwith and withdraw all promotional and advertising matter which contains any reference thereto;(f)not make any change in the management system which forms the basis for the grant or renewal of the license and which prevents his compliance with the Scheme without prior approval of the Bureau;(g)submit to the Bureau any amendments to the approved documented system;(h)document all changes made to the management system and make records of such changes available to Bureau's designated officers on request. A change in key personnel in relation to management of the licensed systems and technological functions or senior management shall be notified to the Bureau by the licensee;(i)permit access to a team appointed by the Bureau for purposes of assessment, audit or surveillance. The licensee shall give full details of all actions taken in response to field problems arising from allegations of defects in products, processes or systems covered in the license and allow Bureau's officers access to all relevant records and documents for the purpose of verifying such details;(j)be required to produce evidence of continuing operations for theproducts, processes or systems covered by the license. Licensee shall notify the Bureau in writing of discontinuance in such operations exceeding three months. Discontinuance of a license in excess of six months or more may lead to cancellation of license. In such cases, a fresh application shall be submitted to the Bureau and an assessment visit will be necessary prior to grant of a new license;(k)pay all financial dues to the Bureau, in the manner specified by it, even for the period of discontinuance or suspension of license.N. Surrender of license.-A license may be surrendered by the licensee at any time in writing to the Bureau. In the case of surrender, the licensee shall return the license with all the related documents to the Bureau.
