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UL DQSBuffalo Grove, IL USA© 2010, UL DQS, USA

UL DQSCorporate Policy Manual

TABLE OF CONTENTS

FOREWORD 3

GROUP PROFILE 4

PART A: STRATEGY, LEADERSHIP, ORGANIZATION 5A.1 - Mission and values 5A.2 - Vision and strategy 5A.3 - Corporate policy and objectives 6A.4 - Services + Scope 8A.5 - Management of impartiality 8A.6 - Organization / Structure 9A.7 - Management system 11

PART B: UL DQS PROCESSES 12B.1 - Process map 12B.2 - Key processes 13B.3 - Management processes 17B.4 - Support processes 20

PART C: DOCUMENT MANAGEMENT 24

PART D: REMARKS 26D.1 - Coverage 26D.2 - Personal designations 26D.3 - Terms 26D.4 - Readers’ comments 26D.5 - Management Manual 29

Annex 1 Correspondence matrix: DQS Corporate Management Manual and ISO/IEC 17021 27

Annex 1.1 Correspondence matrix: 28 DQS Corporate Management Manual and EN 45011

Annex 2 Correspondence matrix: DQS Corporate Management Manual and ISO 9001 29

Annex 3: List of Corporate Guidelines 30

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 2/30

FOREWORD

In 2008, UL DQS has taken a giant step toward a successful future: With the merger of UL MSS into DQS the company expanded its worldwide presence and the new DQS Group was created.

It is our goal and our belief that this step will benefit our clients as well as our partners:

by strengthening our expertise in all relevant industries,

by increasing our local presence on a global level,

by internationally harmonized certification concepts,

by a consistent demand for high quality standards, and last but not least

by the combination of two well-known and recognized certification brands: DQS and UL MSS.

This Corporate Management Manual provides a fundamental description of the global management system of UL DQS and introduces binding specifications in this respect. It sets out the rules and guidelines to be followed in the introduction, development, and improvement of management systems in companies under the branding name UL MSS. It also defines the minimum requirements in terms of values, management, quality, occupational safety and health, environmental protection, and fulfillment of accreditation requirements.

This Manual and the requirements it sets out constitute binding instructions to all entities where UL DQS activities are carried out. The companies involved are required to adopt these rules.

Ganesh Rao

President and CEO

UL DQS Inc.


Part A: STRATEGY, LEADERSHIP, ORGANIZATION

A.1 - Mission and values

We want to be the preferred partner for assessments and certifications of management systems.

Values – Our corporate values drive common attitudes:

SuccessWe like to be successful, just like our customers.

RespectWe treat people with respect, always.

Customer orientationCustomer needs come first – we generate value for our customers.

Employee orientationOur employees including our auditors are our greatest success factor.

Mutual trustMutual trust enables us to cooperate and together we achieve goals.

ResponsibilityWe take responsibility for our results and our behavior

Integrity / credibilityIndependence, competence and attitude ensure our integrity.

ReliabilityWe keep our promises. Trust us!

A.2 - Vision and strategyThe vision drives the development of UL DQS. It reflects the expectations of the essential stakeholders:

Appreciated by our customers as a valuable partner

Internationally recognized assessment and certification body

Preferred by employees and partners

Profitable with sustainable growth

UL DQS shall become the preferred assessment provider for all types of management systems and their processes. UL DQS shall do so by focusing on customer needs.

Starting with the current customer base in the different countries, UL DQS achieves growth through new, demand-oriented assessment related services that focus on value generation for the customer. Based on successfully established assessments, UL DQS achieves international growth through new customers in attractive markets (countries), which shall also be developed jointly with partners.

With its business activities, UL DQS generates profits to yield a suitable return on equity and to be able to invest into its own growth and development. Thereby employees, internal and external auditors, and partners of UL DQS constitute the most important success factors. UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 4/30

A.3 - Corporate policy and objectives The corporate policies of UL DQS are characterized by the expectations of its stakeholders. These are:

Customers

Employees and auditors

External assessors, auditors, industry experts, and business partners

DQS shareholders

The public, government, accreditation bodies

Customers of the certified organizations and the end users of products and services

The expectations of these interested parties find expression in the various aspects of UL DQS corporate policies.

Customer expectationsCustomers (as well as shareholders) expect UL DQS to deliver high-value services for the assessment and improvement of management systems. The customers also expect measurable change from the assessment process as well as active support in exploring opportunities for improvement. Assessments shall be tailored to customer needs, often integrating or combining different standards in one procedure. In addition, customers expect internationally and nationally recognized certificates.

Quality policy UL DQS wants to be the preferred partner of organizations for certification and assessments. Process-oriented assessments with a focus on the effectiveness of management systems shall result in UL DQS services generating measurable, added value for the customer. UL DQS improves continually the effectiveness of its quality management system.

Employee expectationsUL DQS employees expect above-average working conditions and jobs that provide learning opportunities in the long term. They also expect an income commensurate with their performance, recognition for their achievements, and support for attractive professional development.

Employee policy Employee commitment and competence is an essential principle of UL DQS’ successful business activities. With attractive working conditions, performance-oriented culture, and respectful interaction with each other, UL DQS wants to be an organization preferred by employees.

Expectations of external assessors, auditors, industry experts and partners External auditors, assessors, experts and other partners expect UL DQS to be a reliable business partner and to provide a sustainable business opportunity. They expect cooperation based on mutual respect and partnership as well as the recognition of achievements, professional development opportunities and attractive business growth.

Auditor policy Competent, experienced and dedicated auditors provide the basis for value-generating/ value adding services and customer appreciation. UL DQS wants to build and maintain long-term, prosperous partnerships with its auditors, based on respectful interaction, performance-related recognition and attractive assignments.


Shareholder expectations The shareholders of DQS are DIN (German Institute for Standardization), DGQ (German Society for Quality), UL (Underwriters Laboratories Inc.), as well as the industry associations VCI, VDMA, HvBI, ZVEI and Spectaris (F+O). They expect UL DQS, as an internationally recognized registrar/certification body, to supply high-value services in the assessment and certification of management systems.

From the surplus generated, the shareholders also expect their capital contribution to result in an adequate, sustained return on equity, without striving for maximum short-term profit. To achieve this, they expect sustainable growth on a national and international level.

Financial and growth policy UL DQS generates a surplus in order to:

a) Achieve an adequate, sustained return on shareholder equity

b) Provide the resources necessary for the organization’s growth and development

Therefore, business plans are prepared for three years in advance, authorized by the shareholders and updated at least annually.

Expectations of society, government and accreditation bodies Accreditation organizations monitor UL DQS on behalf of the government or relevant public interest groups. Their expectations focus mainly on conformity to applicable rules and laws. Like any other responsible organization, though, UL DQS is also expected to contribute an adequate share to society as a whole.

Conformity policy In its day-to-day activities, UL DQS ensures conformity to rules and laws, in particular to accreditation requirements. In order to provide a sustained contribution to the national and international recognition of UL DQS, internal rules have been created, implemented and monitored systematically. This behavior shall contribute to an enduring international recognition of UL DQS.

Other principles of the corporate policyThe value of certification is the degree of confidence and trust that is established by an impartial and competent assessment by UL DQS. The customers of certified organizations and end users expect to be able to rely on the value of certificates issued. To promote this confidence, UL DQS takes into account the following principles in all of its activities:

Impartiality

Competence

Responsibility

Openness

Confidentiality

Responsiveness to complaints

Ethical business practices

The expectations of the various stakeholders result in interactions that influence the business activities of UL DQS. From this, further aspects of the corporate policy may also be derived.


In its corporate policy, UL DQS takes into account the aspects risk management, information security, environmental management and sustainability. Statements on these aspects can be found in supplementary documents. In the same way, further aspects may be incorporated into the corporate policy.

The participation of trade or industry organizations in the steering committees of the accredited UL DQS companies is intended to ensure their influence on the activities of UL DQS, without the dominance of any individual interests. This approach, which is also compliant to accreditation requirements, contributes to promote the neutrality/impartiality, technical competence and market acceptance of UL DQS.

ObjectivesThe objective of UL DQS is to offer assessment and certification services to organizations of any business sector and any size without restrictions and to satisfy customers by providing outstanding, value-generating / adding services. Value-generation / addition shall focus on customer satisfaction, identification of key processes, improvement of the customers´ internal management system, increased operational performance and improved confidence in their capabilities.

Contributing to this goal is an essential task of all employees. One particular means is the assignment of external auditors. Their competence, as a result of their technical expertise and experience, is a particular asset of UL DQS. To monitor the achievement of this goal, internal and customer evaluations are used.

Certificates issued under the brand marks DQS and UL Registered Firm are known nationally and internationally and are highly recognized. In order to achieve this goal, UL DQS makes systematic use of its own worldwide certification activities, national and international co operations, and mutual agreements on recognition with partners and accreditations.

UL DQS develops new services and business segments and constantly improves existing ones in the area of management system assessments with a focus on customer benefit.

Target agreementsThrough well-balanced target agreements, UL DQS strives to achieve effective implementation of its corporate policy. As a result, the abstract strategy becomes more concrete and progress towards the vision becomes appraisable. To that end, objectives will be agreed upon and performance indicators measured at all levels. Corporate objectives are based on the vision and updated at least annually.

A.4 - Services + ScopeThe services offered by the companies of UL DQS are the assessments of management systems or their parts according to recognized technical specifications, regulations or other principles. These may be normative or customer internal requirements. UL DQS services relate to quality, environmental, safety and other management systems of any kind of organization.

Auditors are assigned based on UL DQS procedures. Based on their technical competence, they have been individually appointed and are committed to regular ongoing training. In the interest of promoting improvements, all auditors are bound to conduct themselves in a spirit of partnership when performing their activities.

The scope of the management system of UL DQS is “design, development and provision of assessments and certification services in the field of management systems”.


A.5 - Management of impartialityThe top management of UL DQS and its entities that carry out assessments are committed to the impartiality of the management system activities within UL DQS. A statement about the importance of impartiality is publicly accessible on the UL DQS webpage.

At least once a year, all accredited UL DQS entities carry out a documented analysis of all related bodies in order to identify possible threats to impartiality and to define actions to reduce such risks to an acceptable level.

The certification body's activities shall not be marketed or offered as linked with the activities of an organization that provides management system consultancy

In order to avoid conflicts of interest, UL DQS entities do not engage in any kind of management system consultancy services and UL DQS certification services are not marketed or offered as linked with the activities of an organization that provide such kind of services. UL DQS also abstains from training and personnel certification in the area of management systems, unless such activities are conducted in accordance with the shareholders.

UL DQS does not certify companies where in the previous two years internal audits have been carried out by UL DQS or its subsidiaries for its management system certification activities.


A.6 - Organization / Structure DQS Holding GmbH is a limited liability company according to German law.

Illustration I – Organization/Structure

Shareholder Assembly

The shareholders of DQS comprise the three major shareholders

DGQ (German Society for Quality)

DIN (German Institute for Standardization)

UL (Underwriters Laboratories)

As well as the following industry and trade associations as minor shareholders:

German Association for Optical, Medical and Mechatronical Technologies (SPECTARIS)

German Machinery and Plant Manufacturer‘s Association (VDMA)

German Electrical and Electronic Manufacturer‘s Association (ZVEI)

German Chemical Industry Association (VCI)

German Construction Industries Federation .

The duties and responsibilities of the Shareholder Assembly are defined in the DQS Statutes and the German Limited Liability Company Law (GmbHG).

DQS Group, Subsidiaries, PartnersUL DQS provides assessment and certification services through its subsidiaries and license partners. Some of these entities maintain their own accreditation assessment and certifications that are carried our under the UL DQS name follow the UL DQS procedures and requirements.


Ganesh Rao President and CEO

DQS Holding GmbH Shareholder Assembly

UL DQS entities UL DQS entitiesUL DQS entities

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Basic organizational functions of operational units (subsidiaries and partners)Each operational unit ensures that basic functions are organized. While larger organizations will have individual departments, smaller units may combine multiple functions into one department, one group or even one single person. The organizational structure shall always align with core business processes.

Illustration II – Basic organizational functions

The executive management is responsible at least for the processes: definition of strategy and objectives, deployment of strategy and objectives, customer satisfaction analysis, establishing an effective management system, leadership and management of people.

The function marketing & sales is responsible at least for the processes: marketing, sales to new customers and service/sales to existing customers.

The function planning & administration is responsible at least for the processes: audit scheduling with auditor selection, certificate preparation, technical review and certification decision, document and data archiving.

The function auditing & auditors is responsible at least for the processes: auditor qualification, ongoing auditor training, the audit process itself, monitoring and evaluating auditor performance.

The function finance & administration is responsible at least for the processes: accounting, controlling, HR management, IT, office lease and purchasing.

Some processes may require managing an interface with external service providers.

Steering Committees/ Commitees for Safeguarding ImpartialityUL DQS maintains a steering committee to ensure the impartiality of their certification activities. The duties and responsibilities of the committee as well as its composition and the nomination procedure are defined in accordance with UL DQS Procedures.

Boards of Arbitration UL DQS implements a procedure for a neutral/impartial Board of Arbitration which, on a mutually agreed-upon arbitration agreement, may act in cases of conflict involving the evaluation of auditors the issue (appeals), withdrawal or suspension of certificates.


Executive Management

Finance & Administration

Auditing & Auditors

Planning & Certification

Marketing, Service, Sales

A.7 - Management systemThe UL DQS management system is a tool used to realize the organization’s goals. It sets out fundamental requirements for the operational procedures used and supports the operational processes. This takes place through the implementation of organizational rules related to structures and processes, and through the implementation of an internal monitoring structure using a process-specific system of key indicators. The Management system can achieve its intended effect only if all significant processes are identified and described and if the system itself is integrated in the management of UL DQS. The required transparency is achieved through adequate documentation. Only when all these requirements are met, we are able to conduct analyses and improvement measures.

In structuring the management system of UL DQS, the following standards have been taken into account, among others:

ISO 9001 Quality management systems, Requirements ISO 9004 Quality management systems, Guidelines for performance improvements ISO 19011 Guidelines for quality and/or environmental management systems auditing ISO 17021 Conformity assessment – Requirements for bodies providing audit and

certification of management systems

EN 45011 (ISO/IEC Guide 65) General requirements for bodies operating product certification systems

Management RepresentativeThe Vice President of Certification is the Management Representative according to ISO 9001:2008, clause 5.5.2. He has all the authorities necessary to fulfill this task and reports directly to the President and CEO, UL DQS. He has the responsibility for the corporate management system of UL DQS as well as for the fulfillment of the requirements of applicable standards and regulations. Accreditations / AuthorizationsLocal UL DQS entities may maintain several accreditations and authorizations, confirming their capacity as certification bodies for several standards and in the voluntary, compulsory and regulated area. The document Accreditations / Authorizations of DQS Group contains an overview of all accreditations / authorizations currently held within the DQS Group.

Change of certification requirements The designated product manager within UL DQS has the responsibility to ensure the availability and distribution of any information regarding changes to standards and certification rules. He/she, with support of the local Marketing & Communication team, ensures that relevant information is forwarded to the respective target groups (customers, auditors, employees), as needed.

Environmental protection at UL DQSThe services provided by UL DQS are largely environmentally neutral in nature. Indirectly, though, the assessment services assist in environmental protection when their results (particularly in connection with EM system assessments and in identifying improvement potential) contribute to an improved environmental performance at the customers’.

In providing these services, the significant environmentally relevant aspects of UL DQS activities are:

Consumption of energy at offices and through travel activities Consumption of office materials


Wear and tear on standard office equipment, including IT equipment

All employees of UL DQS are requested to conserve energy and material. In business travel, public transportation will be used subject to comparable expenditure of time and adequate availability. In purchasing office material, other tools and print media, environment-friendly materials are taken into consideration. In order to ensure environment-friendly disposition, removal of waste and defective installations is handled by specialized organizations

Workplace safety The design of operational infrastructure and processes takes into account workplace safety, in accordance with pertinent national legal requirements and regulations. Fire protection measures have been implemented in accordance with legal requirements. All Managers are responsible for adherence. The nominated safety engineer is called upon to inform, initiate, report, monitor and control.

Part B: Processes B.1 – UL DQS processes All operational companies of UL DQS proceed according to the following process model. Individual processes may be outsourced to other companies of the group, nevertheless for accreditation purposes, each accredited organization is responsible for all its processes. In the case of outsourcing the accredited company shall have a process in which it describes the conditions under which outsourcing may take place. A legally enforceable agreement shall cover the arrangements, including confidentiality and conflict of interests. The certification decision will never be outsourced.

Illustration III. – DQS process map

Documented procedures and the required resources are intended to ensure that all activities for the assessment of management systems are being conducted according to the Corporate Policy as defined in this manual.


For each Key process (K1 – K6) a detailed process description according to the “DQS turtle”-model is available, defining input, output, activities, objectives, resources and interfaces. For other processes the “turtle approach” is recommended.

The generic assessment process follows along the lines of a certification according to ISO 9001. In case of other types of assessment, sequence and extent of the assessment process may differ. The details of those procedures have been documented in product specific supplementary documents.

B.2 – Key Processes

Marketing (K1)The main objective of the marketing process is to generate sales leads, requests from potential customers, and a positive market image of the company.

All companies of the DQS Group monitor their markets and actively offer its services under the brand DQS and/or UL MSS. To do so, they participate in public events, such as trade fairs and congresses, and organize its own events for customers and interested organizations. Wherever customer need has been identified, UL DQS actively participates in the innovative development of new assessment services.

Information about services is provided through printed and electronic media (e.g.: newsletters). DQS Holding GmbH maintains an Internet presence and coordinates the respective websites of its subsidiaries and partners. A convenient web based electronic information platform for customers (MyDQS) was created, where, among other information, certificates and audit reports are made available for customers.

In addition to the corporate publications, local management may decide to publish local or regional newsletters or publications.

Details for branding and the lay out for certificates are defined in the Corporate Guideline - Corporate identity (branding, certificates).

Sales new customers (K2)The main objective of the sales new customers process is to generate orders from new customers.

Upon request, the companies of UL DQS or DQS Holding GmbH itself, representing its accredited subsidiaries provides offers (also referred to as quotes or cost estimates) for services to be delivered to new or existing customers or other interested organizations. To do so, basic data are collected, to provide the basis for a qualified, customized offer. Offers always take into account mandatory accreditation requirements for each respective standard. On request, the offers may be presented to the customer on site. Accepted offers are reviewed before proceeding with the service provision.

All companies of UL DQS maintain a professional contract management system with its customers, in order to continuously identify their expectations and current needs. Inquiries and requests are handled and responded to promptly. Customers of UL DQS shall experience our customer focused service mentality.

The extent of the services as well as the rights and obligations (e.g.: confidentiality) of customers and the accredited subsidiaries of UL DQS are defined in General Business Conditions or individual contracts, according to the Corporate guideline - Customer agreements and use of certificates, marks and symbols.


Customer service (K3)The main objectives of the customer service process are to build lasting relationships with customers, schedule due audit activities and sell additional services to existing customers.

Inquiries and requests are handled and responded to promptly. Customers of UL DQS shall experience our customer focused service mentality.

Only auditors and experts appointed by accredited subsidiaries of UL DQS are assigned to conduct assessments. To become appointed, they must provide both evidence of their expertise in respect of each standard as well as an adequate amount of business sector experience. On request, short biographies of selected assessors are made available to relevant prospective customers.

All companies of UL DQS maintain a professional contract management system with its customers, in order to continuously identify their expectations, necessary information and current needs.

Planning (K4)The main objective of the planning process is to generate predictability and reliability as a basis for customer satisfaction, resource planning and business forecasting.

Assessments are planned in writing and three months in advance where reasonable. Large assessment projects may be planned for one to three years in advance. Customers receive a confirmation of audit dates in writing; nominated auditors also receive their assignment orders in writing. Respective confirmations and assignment orders contain all data relevant to the provision of services or make reference to them; they are an essential part of audit planning. Planning also ensures that the workload is adequately distributed among the available auditors. Whenever a team of auditors has not been defined in the preceding sales process, it will be composed during planning, based on individual customer data and respective accreditation requirements.

Audits / Assessments (K5)The main objective of the audit / assessment process is to generate an adequate basis for a certification decision and customer satisfaction by performing a value-adding audit. The essential value generation for customers takes place during the assessment process. Significant success factors are the high level of expertise among the assigned auditors and thorough planning.

The assessment process comprises system analysis (stage 1 audit), system assessment (stage 2 audit), advancement (surveillance) assessment and re-assessment, in accordance with the flowchart (see V.). As a rule, the services are performed on site. The main objective of the system analysis (stage 1 audit) is the verification of the readiness for the system assessment. During system assessment (stage 2 audit), implementation and effectiveness of the management system will be determined and evaluated. Improvement potential will be identified. In case of identified non-conformities (non-fulfillment of requirements), corrective measures will be defined and their implementation and effectiveness monitored. Non-conformities are classified into major and minor non-conformities. Non-conformities shall always be corrected before a certificate is issued. Usually, a follow-up assessment will be conducted on site.

The audit team analyses all information and evidences gathered during the stage 1 audit and stage 2 audit to review the audit findings and agree on the audit conclusions. The results are always documented in a written report.

Details are defined in the Corporate Guideline - Assessments/auditing, UL DQS procedures as well as in product-specific supplementary documents.


Assessment service flow chart:

Certification (K6)The main objective of the certification process is to generate a

certification decision and to provide respective certification documents to customers within a timely manner.

Based upon written evidence of the conduct and results of the assessment, the accredited subsidiary decides on the issuance of a certificate, i.e. a confirmation of conformity to the requirements of selected standards. To do so, technically proficient, appointed experts are assigned, who shall always be independent of all parties involved in the assessment process. This process is documented and results are recorded in writing according to the rules defined in the Corporate Guideline – Certification Decision.As a rule, certificates are valid for three years, provided that maintenance of the management system is demonstrated at least annually.

The accredited group companies issue, depending on their accreditations, either certificates under the brand “DQS” or “UL Registered Firm according to the rules defined in the Guideline - Corporate identity (branding/certificates)”. For standards that are covered under the IQNet system, UL DQS will issue a IQNet certificate upon request.


Illustration IV – Assessment service flowchart

Illustration V. – Certificates

Certificates and use of logos / marksDQS Group maintains a public directory (www.dqs.com) of all organizations with valid certificates and confirmations under different accreditations. On request information to interested parties regarding suspended and withdrawn certificates is provided.

In order to prevent potential misuse, DQS Holding GmbH in conjunction with UL DQS has established rules for the use of certificates, marks and symbols. These rules are part of the contractual agreements of the accredited subsidiaries with their customers and are monitored during regular assessments. When necessary, certificates may also be suspended or withdrawn; corresponding rules have been also specified in the agreements between the accredited UL DQS subsidiaries and their customers.

Particular assessment services

Multi-system (combined / integrated) assessments Assessments to different standards may be combined. Special attention to assure the competence of the audit team for each standard is required.

Joint audits If necessary, UL DQS may cooperate with suitable partners. Joint audits are conducted in cooperation with certification bodies/registrars in other countries. Prerequisites for joint audits with IQNet partners have been defined in specific IQNet documents.

Co-certificationsCertificates issued by one accredited subsidiary are recognized by all other subsidiaries. Any accredited subsidiary may issue their own certificate based on the assessment results of another accredited


http://www.dqs.com/

subsidiary. UL DQS is responsible for their own certification decisions. Co-certification with IQNet partners is regulated in the specific IQNet documents.

Equivalence StatementUpon request, DQS Holding GmbH or one of its subsidiaries may issue an Equivalence Statement to an IQNet partner’s certificate, which confirms the equivalence of the certification for the organization named.

Changes and/or extension of scope and/or standard Requests for changes to the scope / standard are reviewed and the necessary steps are determined. When necessary an on-site audit is carried out and a new certification decision is taken.

Extraordinary / short-notice auditsIn the case of complaints, in response to changes, or as a follow up action, extraordinary and/or short-notice audits may be conducted according to the contractual requirements.

Customized assessment servicesFor customized services short project plans, depending on the complexity, shall be developed.

Product certifications In exceptional cases, UL DQS may offer product certification or product certification related services. The responsible product managers define the conditions for their areas (e.g. standard requirements, sampling, testing etc.). UL DQS ensures the suitability and expertise of personnel and agencies taking part in the inspection, testing and certification.

B.3 - Management processes Vision / Strategy / Objectives (M1)- refer to Part A -

Business planning (M2)

Management team, planningThe management team of DQS Holding GmbH consists of the Executive Management (Managing Directors) and the Director of the International Business Development. It can be complemented by other invited managers (e.g. auditor management, corporate management system, IT, controlling)

The management team is responsible for corporate strategy and objectives. Its objective is the planning and monitoring of business and quality goals as well as the coordination and decision-making on current issues on group level. The management team meets periodically, at least once quarterly. Minutes of the meetings are kept as a record. Implementation of agreed-upon actions is monitored during subsequent meetings.

Each company of the UL DQS group has a defined executive management with the responsibility and authority to establish and implement business strategies and business objectives, consistent with corporate strategy and objectives. The executive management applies the eight quality management principles and a balanced scorecard method to manage its business development.


Illustration I – UL DQS Organization/Structure

The President and CEO of UL DQS Inc is an executive member of DQS Holding GmbH and is responsible for the oversight of the implementation of corporate policy, creating the strategic vision, developing business plans, business elements including marketing, competition, customer issues, service offerings, resource requirements, and financial projections.

The VP Sales of UL DQS Inc is responsible to the President of UL for acquiring new business, developing UL DQS sales and generating new orders from customers.

The VP Finance & Administration of UL DQS Inc is responsible for customer service, local IT delivery, internal financial and other administrative functions and is accountable for the reporting of all profit and loss of the UL DQS business

The VP Operations of UL DQS Inc is responsible for the delivery of the assessments to clients, including the planning and execution of audits performed by competent personnel.

The VP Certifications of UL DQS Inc is responsible for technical policy matters, granting management system registration, auditor qualification process, and overseeing corporate functions for corrective action, internal audits, document control, certificate issuance, technical program development in accordance with all accreditation and recognition requirements.

Controlling and Review (M3)

Controlling, monitoringAll DQS subsidiaries and international license partners report at least quarterly about their financial and process performance, by using group-wide standardized reporting sheets. The results are analyzed and summarized by the controllers and submitted for review to the management team of DQS Holding GmbH. After the end of each business year, all subsidiaries submit to DQS Holding GmbH an audited balance sheet and financial report.

Details are defined in the Corporate Guideline - Planning and reporting.

Evaluation of the DQS management system (Management Review)All organizations of the DQS group are required to carry out a Management Review at least once a year in order to ensure the continuing suitability and effectiveness of their management systems as well as to safe-guard adherence to the corporate policy and accreditation body requirements. The review records have to be send to DQS Holding GmbH (in English or German language) as input to the group review.UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 18/30

Ganesh RaoPresident

Hal Wells

Vice President

Sales

Brad McGuire

Vice President

Finance & Administration

Lisa McCall

Vice President

Operations

Michael Caruso

Vice President

Certification

Management Reviews and the follow up of any defined action are carried out, considering at least the requirements listed in ISO 9001, Chapter 5.6. Accredited subsidiaries shall also consider all additional accreditation requirements (e.g. as defined in ISO 17021, 10.2.4 / 10.3.5).

Objectives for the following year are derived from the data analyzed during the reviews. Objectives are supplemented by measurable criteria, responsible individuals and deadlines. They are presented to the employees during one of the next employee presentations. The objectives, along with the individual measures are documented, along with the necessary resources. Designated responsible individuals not only handle the follow-up of objectives and measures but also report on their level of attainment. This way, the management team is kept abreast of the current attainment status.


B.4 - Support processes Human resources (S1)The main objective of HR management at UL DQS is to employ highly competent and dedicated employees, who actively contribute to customer satisfaction and business success.

The constant upgrading of the UL DQS service portfolio and associated duties and responsibilities place continuously increasing demands on the flexibility of UL DQS employees and their ability and willingness to adapt their competence to constantly changing working conditions.

In selecting personnel, the main duties of UL DQS employees as defined in their job descriptions provide the basis for competence profiles that are taken into account in job advertisements. The respective managers determine the basic competence requirements and are responsible for the selection of candidates. New employees or employees in new functions are trained according to individual integration plans prepared by the local management in order to make them familiar with the UL DQS organization, requirements and processes.

By means of annual, individual progress reviews, employees receive structured feedback from their supervisors on their perception of each employee’s performance. At the same time, objectives for the future as well as necessary professional development training, if any, will be agreed-upon.

Training and development needs are identified by the respective management and forwarded to HR-responsible management, who will select providers for necessary training and organize the activities together with the responsible supervisors.

The content of internal trainings required due to changing requirements of standards or accreditation basics is specified and developed by the responsible product manager. The local management is responsible for the organization of the training. Records of all formal trainings are kept to evidence the contents and participants.

All customer information acquired by UL DQS employees is subject to the strictest confidentiality. Hereby, in particular cases detailed regulations are stipulated in contracts of employment or specific confidentiality terms.

HR administration is under the responsibility of the management of each group company.

UL DQS Inc. maintains a specific HR department for HR administration and a specific department for training.

IT service (S2)The IT department of DQS Holding GmbH provides IT support for all group companies and basic technical services based on individual agreements supported by local UL DQS IT. It ensures central data management; daily data back-up and data protection take place via the central server system. Access control for data is accomplished using access authorizations. Regular maintenance activities ensure maximum availability of hard and software. Continuous further development of information processing helps to ensure that data can be handled in a responsible, safe and fast manner. Details are defined in the Corporate Guideline – Policy for Information Technology (IT).

Auditor management (S3)The competence of UL DQS auditors are a decisive strength and to a large degree, customer benefits and quality of services are subject to the technical and social competence of the assigned auditors. General Guidelines for the auditor management in the whole DQS Group are defined by the Quality Director of DQS Holding GmbH and described in the Corporate Guideline - Auditor Management.


AppointmentSelection criteria for the appointment of auditors include, among others:

Successful participation in a recognized auditor training (EOQ, RABQSA, IRCA, etc.)

Completed higher education, e.g. college, university or similar

Several years of practical working experience in a full-time position

Leadership experience and demonstrated responsibility for management systems or parts thereof

Sound knowledge of applicable standards

UL DQS auditors shall always fulfill the requirements of ISO 19011.

Ongoing education and trainingWith their auditor agreement, UL DQS auditors commit to continual ongoing education. In addition to that, UL DQS requires all auditors to attend at least one UL DQS internal training seminar annually. Seminar contents arise from the results of customer surveys and evaluations as well as innovations and requirements arising from standards or accreditation requirements.

The implementation of training measures at the international offices of UL DQS is in the hands of the local Managing Directors, who are also responsible for locally archiving evidence of corresponding training haven taken place. Observance of this requirement will be verified during internal audits.

Performance evaluation and monitoring Performance evaluation and monitoring of UL DQS auditors is carried out in four ways:

Evaluations by UL DQS customers. Mutual evaluation of auditors, On site monitoring of auditor performance according to a specific monitoring program, Evaluation of audit records and cooperation with office personnel.

Confidentiality and impartiality of auditors All information about an organization received by UL DQS auditors is subject to strict confidentiality. Detailed regulations are defined in the auditor contract.

In order to avoid possible conflicts of interest for external UL DQS auditors, a reminder is included in each assignment order concerning the corresponding provisions of the auditor contract, such as unallowable consultancy at the organization to be audited or other possible reasons that may affect the impartiality. Unallowable consultancy is any consultancy within the last two years prior to the audit to be conducted, unless other timeframes have been specified by individual standards. All auditors shall obey the Code of ethics.

Practical-minded auditors More than 2.000 experts for management systems have become auditors of UL DQS. Many of them work for UL DQS as external auditors on contractual basis; however they are not allowed to perform audits in behalf of competitors. Any exceptions must be approved by the responsible for auditor management. UL DQS privileges the appointment of auditors with management experience and practical experience obtained in the relevant industry and service sectors. Our customers value this „real-world“ approach. UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 21/30

Auditor records Records in respect of education, training, standard-related qualifications, business sector qualifications, appointment and monitoring are kept. Relevant data are kept in the auditor data base. In order to ensure traceability at any time, auditor records remain archived for during the nomination time plus 6 years.

In order to avoid the possibility of conflicts of interest, UL DQS customers may request CV´s of nominated auditors, containing information about business sector authorizations, training, professional and auditing experience. Additional information may be provided upon request and subject to auditor consent.

Quality Management / Accreditation (S4)The main objective of the Corporate Quality Management is the implementation and maintenance of the Global Quality Management System as defined in this manual, including responsibility for control of corporate system documents.

The main tasks include the organization of corporate internal audits, collection and evaluation of KPI reports, internal audit reports and management review reports. Results are analyzed and reported to the Executive Management.

Corporate Quality Management is also responsible for the coordination of national accreditations and the support of international activities.

Through process-oriented, internal audits of products, processes and systems on basis of ISO 19011, UL DQS verifies compliance to the requirements of applicable internal requirements and external standards, in particular ISO/IEC 17021. Details are defined in the Corporate Guideline - Internal Auditing.

The VP Certifications is responsible for the quality management system and the accreditations of UL DQS Inc. Internal audits of international UL DQS companies under responsibility of UL DQS Inc. and its accreditations are coordinated by the Corporate Quality Management. The VP Certifications provides input for the planning of the international auditing activities and receives the results.

Customer satisfaction, improvement management and appealsAll group companies are required to determine how customers perceive the rendered services. They conduct systematic customer satisfaction evaluations as well as manage any kind of complaints and appeals in a systematic way according to the Corporate Guideline - Customer Satisfaction and Improvement Management. A description of the complaint and appeal handling is open to the public. Customer satisfaction and any complaints and appeals are part of the quarterly process performance reporting (see above).

Continuous improvementIn addition to internal audits, UL DQS applies the following methods in order to identify real or potential weaknesses and opportunities, at an early stage and to initiate process improvement actions. The results of these actions are analyzed and submitted to the executive management for decision making. Among others the following methods are applied:

Risk management

Audit findings

Regular meetings of the management team, recognizing feedback from all interested parties, such as employees, auditors, customers and others. During these meetings,


improvement potentials for a more efficient and effective design of internal UL DQS processes and its management system will be determined.

Surveys of customers and auditors in respect of their level of satisfaction with UL DQS and its services.

Improvement suggestions of employees and auditors.

Further details are described in the Corporate Guideline - Customer Satisfaction and Improvement Management.

Finance (S5)All companies of the UL DQS Group plan their personnel and financial resources based on the annual sales and cost forecast. Major projects are planned separately. The planning is carried out according to corporate rules and approved by headquarters. DQS Holding evaluates at least once a year the risks arising from the certification activities of the UL DQS Group and maintains insurances to cover possible liabilities. The evaluation of the financial situation and of possible pressures which could compromise the impartiality of the certification activities is part of the responsibilities of the DQS steering committees. The corporate insurance covers the certification risk of all accredited subsidiaries but, nevertheless the accredited subsidiaries are responsible for adequate arrangements (e.g. insurance or reserves) to cover liabilities arising from its operations.

UL DQS carries out its own risk analysis which will be reviewed on a yearly basis.

Innovation (S6)Product development and innovation, always in accordance with the principles of the corporate policy, is carried out by the different group companies under coordination of the DQS Holding GmbH. The leading company for the development of new services and programs for the certification of management systems is appointed by headquarters. Services for a specific national market without affecting other markets may be developed and amended under the sole control of a local group company. Headquarters shall be informed about such projects.

Each development of new services is planned, carried out and verified in accordance with the principles of good project management. A project leader is appointed and the respective resources are applied appropriately.

The validation of the development results occurs on completion of the development and corresponding verification. In doing so, the effectiveness of the developed service is tested and evaluated by the future user under real working and application conditions.

Evidence of successful validation is a precondition for the ultimate approval by the management. This approval enables the market launch. The project leader will be discharged by the company management. At the latest after the successful conclusion of the project, a product manager will be appointed. The product manager is responsible for changes and modifications of existing certification services and programs.


Part C: Document managementSystem documents The UL DQS system documents are structured as follows:

1. Group levelCorporate Management Manual:

The corporate management manual is a fundamental description of the global management system of the DQS Group with binding specifications at group level. It sets out the guidelines to be followed in the introduction, development, and improvement of management systems in all group companies and it defines group-wide minimum requirements.

Corporate Guidelines:

The corporate guidelines contain mandatory requirements for all group companies regarding specific matters.

Others:

Other corporate documents may be developed whenever a need for a harmonized approach is detected (e.g. “DQS turtles” for the key processes).

All documents on group level are controlled by the responsible manager for the corporate management system and are available through the DQS intranet.

2. Local levelEach accredited company of DQS Group is responsible for its own system documentation. Corporate documents may be used directly or transcribed in the local system documentation.

UL DQS maintains a list of all valid system documents (available in the UL DQS intranet).

Basic document structure:

System Management manual

Processes Process map (see illustration IV.); “DQS turtles” / Process descriptions

Procedures, Instructions Directives, written procedures and instructions

Defined working steps, lists, forms

Defined working steps through ERP system (e.g. Dynamics)and DMS (e.g. Easy), lists, and forms.

Illustration VI – Basic document structure


Other documentsEach group company is in charge of controlling their working documents, such as project documents, presentation slides, and instructions. Printed material, e.g. brochures and flyers, is controlled by the respective Marketing & Communications department. Corporate guidelines shall be observed.

Documents of external origin Product managers and local managers are responsible for the availability of standards and other documents of external origin.

Control of recordsRecords are kept to provide evidence of audit activities and results. Unless otherwise provided for by law, all records are subject to confidentiality. Records are treated and archived with care. Records related to customer processes will be archived electronically or in paper format, unless otherwise prescribed in legal or accreditation requirements. Certification records are retained for the duration of the current cycle plus one full certification cycle.

When records are being discarded or deleted, professional methods are applied to ensure adequate data protection.

Each group company establishes procedures to define the controls needed for the identification, storage, protection, retrieval, retention time and disposition of its records. Retention times shall be consistent with contractual and legal obligations. Access to these records shall be consistent with the confidentiality arrangements.

UL DQS maintains the records regarding customer processes in the Document Management System “Easy”.


Part D: Remarks

D.1 - CoverageAll descriptions and provisions contained in this management manual are binding for all employees and auditors of the UL DQS Group within their respectively defined scope of application.

The adoptions and supplements for UL DQS (identified by text within a frame) are mandatory for all employees and auditors of UL DQS.

D.2 - Personal designations Whenever there is mention of employees, auditors, users or other individuals in UL DQS documentation, it is meant to include both female and male members of these groups. The same applies to the use of „he, his or him“. When these individuals are being mentioned in the plural, the provision applies to all members of the group respectively.

D.3 - TermsAssessment/Audit:

Independent inspection of management systems of any kind (or parts thereof) or other systems based on standards or other requirements.

Assessor/Audit:

Subcontracted or salaried employee performing assessments at the customers’ on behalf of UL DQS. The generic term "Assessor" applies to auditors, environmental auditors, assessors, experts etc.

DQS stakeholders:

All individuals or organizations who are directly or indirectly of interest to DQS, such as for example: clients, customers, employees, shareholders, suppliers, the public, consultants, cooperation partners, accreditation bodies, etc...

DQS Group:

The DQS Group is composed of its corporate headquarters (DQS Holding GmbH) and its subsidiaries and license partners worldwide.

D.4 - Readers’ commentsAll readers of this manual are called upon to assist in the continual improvement of the manual with their constructive criticism. This assistance is particularly important to maintaining the “hands-on” approach. That is why in working with UL DQS documents, we request everybody concerned to pay attention to the following:

Mistakes, including typographical errors

Contradictions

in themselves

to other documents

to hands-on application


Comments and suggestions for improvement may be submitted informally. Recipient and point of contact for improvement suggestions is the responsible for the corporate management system of DQS Holding GmbH, who is also responsible for feedback to those making suggestions.

The VP – Certifications is the point of contact and responsible for the UL DQS specific parts of the manual and the control of this policy manual.

Annex 1 Correspondence matrix: DQS Corporate Management Manual and ISO/IEC 17021

Illustration VIISO/IEC 17021

UL DQS- Corporate Management Manual

4.1

4.2

.4.3 4.4

4.5

4.6

4.7

5.1

5.2

5.3

6.1

6.2

7.1

7.2

7.3

7.4

7.5

8.1

8.2

8.3

8.4

8.5

8.6

9.1

9.2

9.3

9.4

9.5

9.6

9.7

9.8

9.9

10.1

10.2

10.3

Mission and values X X X X

Vision and strategy X X X X

Corporate policy and objectives

X X X X X X X X X X X

Services + Scope X

Management of impartiality X

Organisation / Structure X X X X X X X

Management System X X X X X

IQNet-Network

Process map X X X X X X X X X X X

Key processes X X X X X X X X X X X

Management processes X X X X X

Support processes X X X X X X X X

Document management X X X X

Remarks X X X X

4.1

4.2

.4.3

4.4

4.5

4.6

4.7

5.1

5.2

5.3

6.1

6.2

7.1

7.2

7.3

7.4

7.5

8.1

8.2

8.3

8.4

8.5

8.6

9.1

9.2

9.3

9.4

9.5

9.6

9.7

9.8

9.9

10.1

10.2

10.3


Annex 1.1 Correspondence matrix: DQS Corporate Management Manual and EN 45011

Illustration VII.1EN 45011

UL DQS Manual

4.1

4.2

4.3

4.4

4.5

4.6

4.7

4.8

4.9

4.10 5.1

5.2 6 7

8.1

8.2 9 10 11 12 13 14 15

Mission and values X

Vision and strategy X


X X X

Services + Scope X X

Management of impartiality X X

Organisation / Structure X X

Management System X X X

IQNet-Network X

Process map X X X

Key processes X X X X X X X

Management processes X X X

Support processes X X X X X X X X X

Document management X X

Remarks X

4.1

4.2

4.3

4.4

4.5

4.6

4.7

4.8

4.9

4.10 5.1

5.2 6 7

8.1

8.2 9 10 11 12 13 14 15


Annex 2 Correspondence matrix: DQS Corporate Management Manual and ISO 9001

Illustration VIIIISO 9001

UL DQS Manual4.

1

4.2

5.1

5.2

5.3

5.4

5.5

5.6

6.1

6.2

6.3

6.4

7.1

7.2

7.3

7.4

7.5

7.6

8.1

8.2

8.3

8.4

8.5

Mission and values X X X X

Vision and strategy X X X X


X X X X X

Services + Scope X

Management of impartiality X X

Organisation / Structure X

Management System X X X X

IQNet-Network

Process map X X X

Key processes X X X X X X X X

Management processes X X X X X X X X X X X

Support processes X X X X X

Document management X X X

Remarks X

4.1

4.2

5.1

5.2

5.3

5.4

5.5

5.6

6.1

6.2

6.3

6.4

7.1

7.2

7.3

7.4

7.5

7.6

8.1

8.2

8.3

8.4

8.5


Annex 3: List of Corporate Guidelines

Corporate Guideline - Corporate identity (branding, certificates) / in progress

Corporate Guideline - Customer agreements and the use of certificates, marks, symbols

Corporate Guideline - Business planning and reporting

Corporate Guideline - Steering committees

Corporate Guideline - Assessments / auditing

Corporate Guideline - Good Audit Practice

Corporate Guideline - Certification decision / Technical assessors

Corporate Guideline - Auditor management

Corporate Guideline - Internal auditing

Corporate Guideline - Policy for Information Technology (IT)

Corporate Guideline - Customer satisfaction, improvement management and appeals

Corporate Guideline - Code of ethics for employees and auditors.
