Scheme Rules and Regulations

Scheme Rules, Regulations, Complaints and Appeals:

United Registrar of Systems – (hereafter referred to as URS) certification regulations and other services regulations are presented below.

1. These regulations relate to certification by a member of the URS Holdings.

For the purpose of these regulations, “URS Holdings” Means any Brand operated under URS (Holdings) Ltd. All associated brands and related companies, such as URS Regulation, URS Systems, URS People, URS Product, URS Monitoring (Inspection).

“Logo” Means the logo approved by the URS Holdings.

“Appeals Committee” Means a committee of the URS established for the purpose of hearing appeals. The panel appointed in respect of each appeal will consist of a Chairman and at least three members of the Risk Assessment Committee, none of whom shall have any direct interest in the subject of the appeal.

“Applicant” Means an individual, body corporate or body incorporate which has applied but has not yet been granted a certificate for the scope of the application, whether this be for certification, Inspection or other related service.

“Board” Means the Board established as the governing body of the URS Holdings.

“Standard, or Scheme” Means the standard or scheme for which the Client is seeking Certification (e.g.: ISO 27001) and, or Inspection services, or related services provided by the URS Holdings.

“Certificate” Means a certificate recognizing that the management system, or Inspection performed, or Training given, or other service which produces a Certificate output, granted to the organization having been assessed by a URS Holdings member in accordance with these regulations.

“Schemes Manager” Means the person who is appointed for the time being by the Board of Directors with approval by the board, to be in charge of the area for which the Board has responsibility. There may be several Schemes Manager(s) dependent on the Schemes and, or services offered.

“Registered Organization” Means an individual, body corporate or body incorporate which has been granted a certificate by a URS Holdings member.

“Documented Management System” Means a set of documents/descriptions/protocols/Std. Operating Procedures/Work Instructions, or other formal instructions serving to implement the system of an organization which sets out the specific practices, resources and activities of that organization relevant to achieving compliance with a particular standard, specification or otherwise specified requirement, plus, if appropriate, practices and activities relevant to specific Codes of Practice.

“Guidance Notes/Auditor Notes” Means a document developed by the URS Holdings, industry, procurement and associated interests, with or without the participation of a URS Holdings member which particularizes the requirements of a Standard/Scheme/Requirement in relation to a particular sector of industry.

2. The URS Holdings is the final authority by which certificates may be granted, and acts through the Schemes Manager who, for the purpose of making assessments under these regulations, may from time to time delegate his/her functions as he/she may appoint or remove as he/she may deem necessary, subject to such conditions as the executive board may from time to time impose.

3. An applicant who satisfies the Schemes Manager that they are capable of compliance with these regulations and that the client carries out a bona fide business, and who gives to the Schemes Manager such undertakings as he may require shall, subject to the conditions of these regulations be entitled to a certificate which shall nevertheless remain the property of the appropriate URS Holdings member. Initial Certificates generally, have a valid from date and an expiry date (for Management system certification the period is typically 36 months). If an organization does not intend to renew its certificate it must notify the Schemes Manager in writing of its intention not to do so, at least two months before the certificate expiry date. An organizations right to use the certificate is not transferable without the express permission of the schemes manager in writing. 4. A certified organization shall:

(i) comply with these regulations at all times

(ii) Use the appropriate logo in accordance with the conditions defined for the use of Marks and Logos – as defined within this website and in respect of the service(s) or product(s) which is/are the subject of the certificate, and then only from the address stated on the certificate (and annex if appropriate).

(iii) Maintain and document a system (where applicable) in accordance with the appropriate standard, and make available copies of all or part of the documented system should the Schemes Manager require it to be lodged with the appropriate URS Holdings member for reference purposes.

(iv) Notify the appropriate URS Holdings member of matters arising that may affect the capability of their Certification to continue to fulfil the requirements of the standard(s) used for certification or these certification regulations. The notification must be immediate and in writing, when amendments to the system are significant (e.g. changes relating to legal, commercial, organizational status or ownership; changes to key management personnel; change in contact address and sites; changes in scope of operations covered by the certified/registered management system; and major changes to the management system and processes). Where amendments are of a minor nature, they must be notified to the URS Holdings representative at the next scheduled assessment /surveillance visit.

(v) Discontinue any use of the applicable logo, which is unacceptable to the stated regulations, and any form of statement or reference to the authority of the organization to be certified which in the opinion of the URS Holdings might be misleading.

(vi) Give representatives of the appropriate URS Holdings member access during normal working hours, to the premises or sites in which work subject to the certificate is being carried out, for the purpose of examining materials, procedures, processes, methods of test, records and systems, or establishing that the procedure for the termination of the certificate described in regulation (v) has been carried out if necessary.

(vii) Nominate for the approval of the Scheme Manager(s) a management representative and one or more deputies authorised to act in the main nominees absence (and replacement nominees as may be necessary) who will be responsible for all matters in connection with the requirements of the certificate and who will, upon each visit by the representative of the URS Holdings member sign a declaration if requested by the representative, to the effect that any changes in the procedures and other information relevant to the conditions under which the certificate is held including customer complaints, have been notified to the appropriate URS Holdings member.

(viii) Upon the termination of the certificate (however determined) forthwith discontinue the use of the applicable logo and all advertising matter which contain the logo or any reference thereto. In addition, any other material or documents in the possession of the organisation which bear reference to the certificate will, if the Independent Certification Board requires, be so treated as to erase it.

(ix) In the event that a Product or Service is subject to the client being involved in legal proceedings related to a malfunction of the said Product or Service that is under the Certification/Approval Scope issued by URS, then the client shall inform URS of the matter and URS shall be entitled to perform an investigation, with due co-operation of the client in question, which may involve a Special Visit that URS is entitled to charge for the required special visit and closure of any corrective actions.

(x) As stated in clause vi, the certified client must have a regular surveillance visit to maintain their Certificate, this is typically at least annually. If, however, a surveillance visit cannot be performed, for whatever reason as required, then the client will be suspended until a visit can be arranged. Should the visit not be arranged in a reasonable time-frame, the certificate shall be cancelled.

Please note that different schemes have differing time-frames regarding the period in which a suspension is triggered and/or cancellation.

If in any doubt regarding the time-frames for the “trigger dates,” please contact your local URS office.

Any decision made by URS shall documented to the client and any decision shall be considered final, noting Section 11 below.

5. The appropriate URS Holdings member shall be entitled to charge fees at a level to be determined from time to time having regard to its costs relating to the administration of its schemes: An organization shall pay:

(i) A fixed annual fee, or other fee agreement as agreed in writing for each certificate granted (this will include costs of surveillance, where appropriate), which shall not in general be returnable.

(ii) Additional fees for assessment, supervision, re-issue or endorsement of the certificate and administration such as shall from time to time be determined by the board to be fair and appropriate.

(iii) A final assessment fee upon termination of the certificate, however determined if such assessment be required by the certificate board.

(iv) (a) Any additional costs incurred by the URS Holdings member due to the certified organizations non-compliance with these regulations.

(iv) (b) Whilst it is the Group´s policy to offer competitive fees, clients which cancel pre-arranged visits without reasonable notice (less than 5 working days), may force a charge to be levied for such a cancellation, given that travel arrangements and accommodation may have been booked in order to provide an economic tour to be made by the auditor to keep costs, and therefore, fees to a realistic level. Further, the situation can be aggravated when sub-contract auditors are used for audit assignments. Given the above, clients will no doubt avoid such requests and fully understand the above policy and appreciate that any notice of cancellation should be made in writing to the local office.

(v) Travel expenses, as applicable, and related to certification activities.

(vi) All fees may be payable in advance of the activity to which they refer i.e. Application fee prior to document review; Assessment fee prior to assessment: and Annual Surveillance fee prior to surveillance, except where a continual payment method is used e.g. Standing Order or other arrangements have been approved by the appropriate URS Holdings member. Failure to pay could result in delayed surveillance or recertification activities which would jeopardize certification. URS Holdings will send payment reminders until such time as non-payment prevents the surveillance or recertification activity whereupon the certificate will be suspended or withdrawn (see 9. below).

6. The URS Holdings member shall:

(i) Send a representative to the registered organization in line with the agreed surveillance programme (or appoint an evaluator for assessment of documents and records at a URS Holdings designated office), which will be notified to the client (these visits are normally once or twice a year) for the purpose of verifying that the obligations imposed by the certification rules are being carried out. Note, for the 1st Surveillance audit, the visit must not exceed 12 months from the date of the stage two (OA1) audit.

(ii) Notify the registered organization of any changes in applicable Guidance Notes, Standard or Certification Rules/Regulations and allow the organization such time as in the opinion of the Independent Certification Board is reasonable in which to adjust its processes and relevant procedures to meet the revised requirements.

(iii) Not Disclose Any Information concerning the registered organization which is of a confidential nature, other than information which is in the public domain. (iv) Notify the registered organization of customer complaints relating to the compliance of the registered organizations product, process or service.

7. If a registered organization is temporarily unable to comply with the requirements of these regulations, the URS Holdings member will require the registered organization to discontinue use of the logo, and/or any claim to be a registered organization with immediate effect until they are satisfied that the conditions of certification are again achieved or pending the result of any appeal under regulation 12.

8. In the event that an IATF 16949 registered organization no longer supplies to an IATF 16949 subscriber the Schemes Manager must be notified in writing within 20 working days, where upon registrations will be withdrawn (but not ISO 9000). Additionally, those companies that are being audited and registered to ISO 14001 must notify the relevant regulatory body or bodies (including the appropriate URS Holdings member) of any known breach of regulation/legislation appertaining to the environmental system certified. Similarly, those companies that are being audited and registered to Health and Safety must notify the relevant regulatory body or bodies (including the appropriate URS Holdings member) of any known breach of regulation/legislation appertaining to the system certified.

9. Any notice under these regulations shall be in writing and signed by or on behalf of the party giving it and may be served by leaving it or sending it by pre-paid recorded delivery or registered post, in the case of the URS Holdings member or the registered organization at or from its address for the time being (registered office where applicable).

Any notice so served by post shall (unless the contrary proved) be deemed to have served 48 hours from the time of posting; and in proving such service it shall be sufficient to prove that the notice was properly addressed and was posted in accordance with this regulation.

10. As an accredited registrar the relevant Accreditation Bodies reserve the right to perform witnessed audits on our auditors, evaluators, or Inspectors, you therefore need to be aware that as a registered client, for some schemes, standards there maybe instances where the auditor, evaluator, or Inspector will be accompanied by an auditor(s) from the relevant Accreditation Body. As a registered client you are obliged to allow the Accreditation Body auditor(s) to carry out the witnessed audit on your site.

For certain schemes, such as IATF 16949, the registered client is also required, if necessary, to afford the right of access to an IATF representative or delegate, In addition, the IATF rules state that NO consultant may be present during the audit performed by the certification body, or an IATF representative or delegate.

Limits of Liability:

Whilst the URS Holdings has Insurance cover to ensure the liabilities, in the event of a failure of service are covered, the cover of liabilities are based on the following Terms and Conditions accepted by a URS Holdings (which covers any URS Holdings brand, as stated within the services offered on this website and restricted to those services listed and offices stated within the said website) Customer and Client.

Further the acceptance of the limits of liabilities are implied by the statements made within this website, including the Disclaimer, Rules and Regulations, Use of Marks and any Contractual terms and conditions.

The Professional Indemnity Insurance Cover varies from service to service, and the URS Holdings limits its liability based on certain principles being honoured by our Customers and clients, dependent on the service contracted, such that:

1. Any URS Holdings Auditor, Inspector, Evaluator (whether permanently employed, or acting as a sub-contractor) to a Customer, or Client premises, or customers to the URS Holdings Customer, or supplier, hold the appropriate Insurance to cover the said URS Holdings Auditor, Inspector, or evaluator.

2. If transportation is required to and from a Customer, Client, or customer, or supplier to the URS Holdings Customer and such transport is taken by the URS Holdings Auditor, Inspector or Evaluator (whether permanently employed, or acting as a sub-contractor), then appropriate insurance cover shall be held by the Customer, Client, customer to the URS Holdings Customer, or supplier.

3. Where Auditors, Inspectors, Evaluators visit a client, or a customer, or supplier of a client to perform their duties, the customer must provide the relevant Personal Protection Equipment (PPE) and provide adequate training, instruction prior to work commencing. Further the Customer must NOT allow the Auditor, Inspector, Evaluator to handle equipment without express supervision and instruction.

4. System Certification – Findings that must be corrected against the standard that is being audited, the URS Holdings will not be liable for the determination of the said corrective action and implementation. The decision as to what is required to correct a finding is solely within the remit of the Customer or Client.

5. Persons Certification – As item (4) above, but in some cases, in particular for the FLAME scheme, recommendations will be given to correct the finding. It is incumbent on the customer to review such recommendations and should the customer have concerns with the stated recommendation, the customer is invited to contact URS Holdings Head Office for a view prior to any such implementation.

6. Product – As item (5) above, but additionally, there may be specific requirements stated within the contract or regulatory requirements as required by the Competent Authority.

7. Inspection – As item (5) above, but additionally, there may be specific requirements stated within the contract, together with additional PI insurance requirements.

The extent of Liability and Professional Indemnity Insurance is dependent on the brand/service being offered. Details of the extent and amount of cover regarding Insurance can be obtained by contacting the Head Office of the Holding – see Offices on this website and select Worldwide.

The Client of the URS Holdings is reminded that should such Insurance cover be of importance for the delivery of services to them, with regard to the limits of Liability, then enquiries to Head Office are welcome to satisfy themselves cover is adequate.

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