Management System Rules

MAX operates a Management System Certification schemes under which certifications are granted to clients from various sectors, whose documented Management Systems conforms to their relevant standards on a continuous and consistent basis. Services of MAX under this scheme are available to all types of applicants irrespective of size of client, its affiliation, financial status, geographical location, product/service provided etc. Further the scheme is being administered in a nondiscriminatory manner.


1.1 Initial Assessment/Audit for Certification

  • Upon acceptance of terms by both parties and subsequently payment of token advance amount, MAX will make the necessary arrangements with the applicant for further action.
  • Upon request, MAX will perform a Pre-assessment, if required for the purpose of determining a preliminary status of the Organization’s compliance with relevant standards and readiness for the initial assessment/audit.
  • MAX shall nominate an audit team to evaluate all information collected from the applicant and to conduct the audit on its behalf. Experts in the areas to be audited, may be attached to the team as technical experts/advisors and language translators. Arrangements will be coordinated with the auditee for a mutually acceptable schedule. Prior to audit, the auditee must submit evidence, that a complete internal audit and management review of the management system has been conducted.
  • The auditee shall be intimated about the details of the audit team members and technical experts, if applicable.
  • MAX shall perform an On-site review of the auditee’s documented Policy, Manual & Procedures for compliance to applicable standards (Stage I). The auditee shall resolve any deviations arising during this review and obtain concurrence from MAX prior to commencement of the Certification assessment (Stage II).
  • The audit team shall audit the Management System of the auditee covered by the defined scope of Certification against applicable Certification requirements and provide a formal written report of its findings as to the auditee’s conformity to the Certification requirements. The audit team shall also verify the effectiveness of Internal Audit and Management Review. The auditee is invited to comment on the report and to inform the specific actions taken, or planned to be taken within a defined time, to remedy any nonconformity with the Certification requirements, identified during the audit. MAX shall inform the auditee of the need for full or partial re-audit if required. All identified nonconformance shall be corrected prior to the grant of Certification.
  • Sufficient data on an auditee’s compliance with relevant standard(s), gathered during the Certification and surveillance audits, is necessary to determine, whether the auditee’s system conforms to the standard(s). In the event that certain specific data or other information related to compliance are not made available to MAX for review because of an assertion of legal privilege or their proprietary nature, certification shall not be granted, for the scope/area where such a data is important. MAX shall obtain confirmation by objective evidence that the full system requirements relating to compliance, covering the applicable section of the standard, have been effectively implemented by sufficiently documented and verifiable means.

2 Certification

  • The decision whether or not to certify an auditee’s Management System shall be taken by MAX on the basis of the information gathered as part of the Certification activities. Those who make the Certification decision shall not have participated in the audit. The auditee shall be notified of the Certification decision in writing.
  • MAX shall provide to each of its clients whose Management System has been certified, a certificate, signed by an authority who has been assigned such responsibility. Certificates are valid for three years from the date of issuance. Upon receipt of the Certificate by the client, the Organization is authorized to use the MAX’s and the accreditation body marks, logos, and symbols, in accordance with Quality procedure for use of certification / Accreditation Body Marks, Logo and Symbols. MAX shall process any application for amendment/extension to the scope of a Certification that has already been granted according to prescribed procedures.
  • The amount and manner of payment shall be informed to prospective client through Registration Service Agreement. The certification shall be processed according to Certification Agreement.
  • Any outstanding fees associated with the Certification activity owed by the client to MAX must be paid in full prior to Certificate issuance.

2.1 Continuance of Certification

  • A.MAX shall conduct surveillance audit of the client’s Management System within twelve months from the date of previous audit and shall ensure that over a period of three years the entire Management System is audited against every applicable element of the relevant standard. A re-assessment of compliance to Certification requirements is required to continue Certification for additional three-year period. Surveillance and/or audit frequencies will be modified as necessary if a certified client makes major modification to its Management System or other changes, which could affect the basis for Certification. The client shall notify MAX in writing of these modifications/changes (i.e., change of ownership, changes in key personnel or equipment, plant relocation, modification/elimination of procedures/processes, modification to scope etc) for evaluation or if analysis of a complaint or any other information indicates that the certified client no longer complies with the requirements of MAX. Surveillance and re-audit procedures shall be consistent with those concerning initial Certification of the client’s Management System. In such cases if found necessary by MAX, it shall conduct re-audit at clients site.
  • Review and decisions on the continuance or renewal of Certification are made in accordance with MAX Procedures.

2.2 Suspension and Withdrawal of Certification

  • All suspensions will be decided as per the policy of MAX. Notification to the client shall be in writing including the conditions necessary under which the suspension/probation will be removed. Examples that may prompt suspension are:
  • Non-Payment in accordance with the requirements of the agreement;
  • Significant areas of non-conformance with applicable Management Standards;
  • Ineffective or untimely correction of observed non-conformances;
  • Ineffective completion and implementation of program revisions required to meet revised Management Standards;
  • Misuse of the Certification/Accreditation Body marks, logos and symbols.
  • Not providing facilities for Surveillance or verification audit.
  • Certified clients have voluntarily asked for suspension.

If the indicated conditions are fulfilled within a period of six to eight weeks, MAX will remove the suspension/probation and notify the client; otherwise the Certification will be cancelled and the Certificate withdrawn/revoked in accordance with the provisions.

  • MAX shall withdraw a Certification under the following conditions:
  • Under the relevant provisions as mentioned above.
  • At the request of the Organization.
  • If the Management System Rules are changed and the Organization either will not or cannot ensure conformance to the new requirements within the agreed time frames.
  • If the Organization fails to meet financial obligations as agreed with MAX
  • Closure of a company or facility
  • Noncompliance or failure to execute MAX contractual requirements
  • Falsification of any nature
  • Other conditions deemed appropriate or formally agreed between MAX and the organization.
  • Certifications placed in suspension/probation shall require an on-site assessment of corrective action prior to reinstatement. This decision is at the discretion of MAX. Certifications that are withdrawn will require the certificate to be returned to MAX and a full reassessment performed of the entire management system prior to reinstatement.

2.3 Changes to the Management System Certification Criteria or Applicable International Standards

  • In the event of changes to the Management System Certification criteria or revisions to applicable international standards, MAX will provide notification to the client, specifying an effective date for the proposed change. The effective date shall be as provided by accreditation bodies, relevant international bodies, or MAX. MAX will specify a plan and schedule for monitoring the client’s actions to achieve conformity to the revised criteria. Where permitted, the effective date will be mutually agreed between MAX and the client, to allow sufficient time for implementation and/or as decided by the competent authority.
  • Within three months after receipt of the notification of change(s), the client shall inform MAX whether the client accepts the change(s). If the client accepts the change(s), and if the outcome of a supplementary audit is favorable, the change(s) will be considered part of this agreement from the effective date of the change. If the client does not accept the change(s) or fails to respond, or the outcome of any future audit is unfavorable this agreement will terminate no later than effective date of the change and the conditions of Clause 2.2 (B) invoked.

2.4 Re- Certification

The certified client’s entire management system shall be recertified at a cycle of three years and before the expiration of validity. When there are significant changes to the management system of the client, or the context in which the management system is operating (i.e changes to legislation), re-certification audit activities may include stage I. MAX will consider the re-certification only when correction and corrective actions are implemented before the expiration of certification for any nonconformity or lacks of evidence of conformity are identified during the re-certification audit.

3 Complaints / Appeals

An Organization who is aggrieved in any way as a result of this agreement or by other actions of MAX as they relate to the Certification process may file a written complaint. This must be received by MAX within 30 days of occurrence. If the complaint is not satisfactorily resolved, the Organization may appeal the decision to MAX, within 30 days of the original disposition. Complaints that are not closed out within 3 months of that agreed timeframe shall be brought to the attention of GAB.

4 Auditee’s/Clients Responsibilities

  • Organizations are required to fulfill the following additional responsibilities:
  • Always comply with the relevant provisions of the certification process and procedures;
  • Make the 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, reassessment and resolution of complaints;
  • Only claim that it is certified with respect to those activities for which it has been granted Certification;
  • Does not use its certification in such a manner as to bring MAX into disrepute, and does not make any statement regarding its certification which MAX may consider misleading or unauthorized;
  • Upon suspension or withdrawal of its certification discontinue the use of all advertising material / stationery that contains any reference thereto and return any certificate documents as required by MAX;
  • Use its certification only to indicate the Management System is in conformity with specified standards or other normative documents, and does not use its certification to imply that a product or service is approved by MAX;
  • Ensure that no certification document, mark or report, or any part thereof, is used in a misleading manner;
  • Complies with the requirements of MAX in making reference to its certification in communication media such as documents, brochures or advertising.

MAX ACERNA MANAGEMENT SYSTEMS PVT LTD, DBS Corporate Center, IInd Floor, Raheja Chambers,Free Press Journal Road,213, Nariman Point,Mumbai - 400021.
Ph: 022 - 4122 1165.
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