Accreditation Protocol - Operating Authorities - Municipal Drinking Water Systems

This version of the protocol was published in November 2016.

A designated Accreditation Body shall provide the Accreditation Services in accordance with the Accreditation Protocol, the agreement between the Ministry of the Environment and Climate Change and the Accreditation Body and the requirements of all applicable laws.

Preamble

This Accreditation Protocol details the establishment and administration of an accreditation program for operating authorities who are required to be accredited for the purposes of subsection 13 (1) of the SDWA. The program is based upon the DWQMS for municipal residential drinking water systems approved by the Minister of the Environment and Climate Change under section 21 of the SDWA.

Accreditation will be granted by a third party Accreditation Body to an operating authority that has documented, and where required, implemented a QMS that meets the applicable requirements of the DWQMS. Conformity with the requirements of the DWQMS will be assessed on an ongoing basis using certified auditors.

The accreditation categories are summarized below:

Full Scope

(Full scope accreditation based on the documentation and implementation of all twenty-one elements of the DWQMS)

This accreditation option is available to operating authorities for new subject systems and to existing operating authorities that are seeking re-accreditation. An auditor will conduct a systems audit and an on-site verification audit to assess whether the QMS for the subject system meets the "Plan" and "Do" requirements for all twenty-one elements of the DWQMS. Upon the resolution of any non-conformity to the satisfaction of the Accreditation Body, the Accreditation Body will issue a Certificate of Accreditation (Full Scope) to the operating authority.

Limited Scope - Transitional

(Limited scope accreditation based the documentation of nine key elements of the DWQMS)

This accreditation option is available to a new operating authority for a subject system where:

1. the existing accredited operating authority for the subject system is being replaced; or,
2. the operating authority has assumed responsibility for a subject system that is currently in operation and was not previously classified as a municipal residential drinking water system.

An auditor will conduct a systems audit to assess whether the QMS for the subject system meets the "Plan" requirements for nine key elements of the DWQMS. Upon the resolution of any non-conformity to the satisfaction of the Accreditation Body, the Accreditation Body will issue a Certificate of Accreditation (Limited Scope Transitional) to the new operating authority. The Certificate of Accreditation will be issued subject to the condition that the new operating authority submits an application for Full Scope accreditation to the Accreditation Body within six months of the issuance of a limited scope certificate. Full Scope accreditation will be based on a systems audit and an on-site verification audit of all of the DWQMS elements.

Limited Scope - Emergency

(Limited scope accreditation based on written confirmation that the new operating authority for a subject system has reviewed the existing operational plans for the system)

Limited Scope - Emergency accreditation is available to an operating authority where the existing accredited operating authority for the subject system becomes incapable of operating the system or loses its accreditation. The Accreditation Body will review an application for Limited Scope -Emergency accreditation to verify that the system was operated by an accredited operating authority prior to the application, that the Applicant is an accredited operating authority for one or more other subject systems located in the Province of Ontario, and the Applicant has provided written confirmation that it has reviewed the existing operational plans for the subject system. Upon satisfactory completion of the review, the Accreditation Body will issue a Certificate of Accreditation (Limited Scope - Emergency) to the operating authority. The Certificate of Accreditation will be issued subject to the condition that the operating authority submits an application for Full Scope accreditation to the Accreditation Body within six months of the issuance of a limited scope certificate. Full Scope accreditation will be based on a systems audit and an on-site verification audit of all of the DWQMS elements.

Definitions (1.0)

When used in this Accreditation Protocol the following words or expressions have the following meanings:

"Accreditation Body"

means a person designated or established as an accreditation body under Part IV of the SDWA;

"Applicant(s)"

means an Operating Authority for a Municipal Residential Drinking Water System that has submitted an application for Accreditation Services to the Accreditation Body;

"auditor"

means a person engaged by the Accreditation Body to conduct an audit of an operating authority’s quality management system;

"business day"

means any working day, Monday to Friday inclusive, but excluding statutory and other holidays, namely: New Year’s Day; Family Day; Good Friday; Easter Monday; Victoria Day; Canada Day; Civic Holiday; Labour Day; Thanksgiving Day; Remembrance Day; Christmas Day; Boxing Day and any other day which the MOE has elected to be closed for business;

"calendar day"

means all days in a month, including weekends and holidays.

"Certificate of Accreditation"

means a document issued in accordance with this Accreditation Protocol that identifies the scope of accreditation granted to an operating authority;

"Director"

means a Director appointed for the purposes of subsection 44 (1) of the SDWA;

"Drinking Water Quality Management Standard" or "DWQMS"

means the quality management standard approved by the Minister of the Environment in accordance with section 21 of the SDWA;

"major non-conformity"

in respect of a quality management system, means that in the opinion of an auditor:

1. a required element of the DWQMS has not been incorporated into a quality management system;
2. a systemic problem with a quality management system is evidenced by two or more minor non-conformities; or
3. a minor non-conformity identified in a corrective action request has not been remedied;

"management committee"

means the committee established pursuant to section 6.1 of the Accreditation Agreement between the Minister of the Environment and Accreditation Bodies;

"minor non-conformity"

in respect of a quality management system means, that in the opinion of an auditor, part of a required element of the DWQMS has not been incorporated satisfactorily into a quality management system;

"municipal residential drinking water system"

means a large municipal residential system or a small municipal residential system as defined in Ontario Regulation 170/03 (Drinking Water Systems) made under the SDWA;

"operating authority"

means, in respect of a subject system, the person or entity that is given responsibility by the owner of a municipal residential drinking water system for the operation, management, maintenance or alteration of the subject system;

"operational plan"

means, in respect of a subject system, the operational plan that is required to be prepared under the SDWA.

"operational subsystem"

means a part of a municipal residential drinking water system operated by a single operating authority and designated by the owner within operational plans as being an operational subsystem;

"quality management system" or "QMS"

means policies and procedures established to implement the elements of the DWQMS;

"SDWA"

means the Safe Drinking Water Act, 2002, S.O. 2002, c. 32, as amended; and

"subject system"

means:

1. a municipal residential drinking water system where the system is operated by one operating authority, or
2. an operational subsystem where two or more parts of a municipal residential drinking water system are operated by different operating authorities.

Accreditation Process (2.0)

Application for Accreditation Services (2.1)

2.1.1 The Accreditation Body will prepare an accreditation program handbook using a template provided by the Ministry of the Environment and Climate Change. The program handbook will include the forms necessary for an Applicant to apply for accreditation. The program handbook, and any subsequent revisions, shall be approved by the Ministry of the Environment and Climate Change. A copy of the program handbook may be posted to a publicly accessible website by the Accreditation Body. At a minimum, a copy of the program handbook is to be provided to a potential Applicant upon request.

2.1.2 The Accreditation Body will not process an application for accreditation unless the application includes, as appropriate, completed application forms, owner endorsed operational plans for the subject system for which accreditation is sought, and all required fees.

2.1.3 The Accreditation Body will have a procedure in place to verify that the Applicant is not prohibited, by law or by a requirement contained within this protocol, from becoming an accredited operating authority for the system.

2.1.4 The Accreditation Body will inform an Applicant in a timely manner, and in writing, of any deficiencies in an accreditation application.

2.1.5 The Accreditation Body will have a procedure in place that requires the submission of any application for Limited Scope – Transitional accreditation to be made at least thirty (30) calendar days prior to the commencement of operation of the subject system by the Applicant.

Accreditation Process: Full Scope and Limited Scope - Transitional (2.2)

2.2.1 The Accreditation Body will use the following process to consider an application for Full Scope accreditation or Limited Scope Transitional accreditation of an operating authority.

Assignment of Auditor

2.2.2 Each application for accreditation will be assigned to an auditor who will review the application in accordance with the applicable accreditation processes set out in this Accreditation Protocol.

2.2.3 When assigning auditors, the Accreditation Body will assign auditors who are not in a conflict of interest, who have experience with applications of similar complexity, and with a view towards minimizing travel costs.

Sequence of Procedures

2.2.4 If an application is for Full Scope accreditation, the application will proceed, as appropriate, through the following procedures in the order listed:

1. the systems audit procedure;
2. the corrective action request procedure, if a major non-conformity is identified during the systems audit;
3. the on-site verification audit procedure;
4. the corrective action request procedure; and
5. the Certificate of Accreditation procedure.

2.2.5 If an application is for Limited Scope Transitional accreditation, the application will proceed, as appropriate, through the following procedures in the order listed:

1. the systems audit procedure;
2. the corrective action request procedure; and
3. the Certificate of Accreditation procedure.

Accreditation Process: Limited Scope - Emergency (2.3)

2.3.1 The Accreditation Body will use the following process to consider an application for a Limited Scope Emergency accreditation of an operating authority.

2.3.2 The Accreditation Body will only accept an application for Limited Scope – Emergency accreditation for a subject system if the system was operated by an accredited operating authority prior to the making of the application, the Applicant is the accredited operating authority for one or more other subject systems located in the Province of Ontario, the Applicant is not the previous operating authority for the subject system, the majority of the board of directors for the Applicant is not composed of members of the board of directors for the previous operating authority, and:

1. the accreditation of the previous operating authority for the subject system was suspended or revoked by the Accreditation Body; or
2. the previous accredited operating authority ceases to be able to operate the subject system because of strike, business failure or other emergency reason.

2.3.3 The Accreditation Body will require the applicant to provide written confirmation that it has reviewed the existing operational plans for the subject system.

2.3.4 If the requirements of sections 2.3.2 and 2.3.3 are met to the satisfaction of the Accreditation Body, a Certificate of Accreditation (Limited Scope Emergency) will be issued subject to the condition that the accredited operating authority submits an application for Full Scope accreditation to the Accreditation Body within six months of the issuance of the certificate.

2.3.5 The Accreditation Body will have a procedure in place to process an application for Limited Scope Emergency accreditation within one (1) business day of the application being received by the Accreditation Body.

Systems Audit Procedure (2.4)

2.4.1 Where this Accreditation Protocol requires that the systems audit procedure be conducted, the procedure outlined in this section will be followed.

2.4.2 An auditor will conduct a desktop audit of the operational plans for the subject system to assess whether the documented QMS meets the "Plan" requirements of the DWQMS. The desktop review will be limited to the DWQMS elements that are marked as "X" in Table One, under the heading that corresponds to the category of accreditation being sought.

2.4.3 During the audit, the auditor will identify all major and minor non-conformities.

2.4.4 If the application relates to Limited Scope Transitional accreditation, the auditor will prepare a systems audit report detailing all major and minor non-conformities and a recommendation on whether the operating authority should be accredited.

2.4.5 If the application relates to Full Scope accreditation, and any major non-conformity is identified, the auditor will prepare a systems audit report detailing all major and minor nonconformities.

On-site Verification Audit Procedure (2.5)

2.5.1 Where this Accreditation Protocol requires that the on-site verification audit procedure be conducted, the procedure outlined in this section will be followed.

2.5.2 The Accreditation Body will consult with the Ministry of the Environment and Climate Change prior to scheduling any on-site verification audit, to identify and discuss any issues that may impact the availability of the operating authority on any proposed audit dates.

2.5.3 An auditor will conduct an on-site verification audit to assess whether a QMS has been implemented for the subject system that meets the "Do" requirements of the DWQMS. The verification audit will be limited to the DWQMS elements that are marked as "X" in Table One under the heading that corresponds to the category of accreditation being sought.

2.5.4 During the audit, the auditor will identify all major and minor non-conformities.

2.5.5 The auditor will prepare an on-site verification audit report detailing all major and minor nonconformities and a recommendation on whether the operating authority should receive accreditation.

Corrective Action Request Procedure (2.6)

2.6.1 Where this Accreditation Protocol requires that the corrective action request procedure be conducted, the procedure outlined in this section will be followed.

2.6.2 The Accreditation Body will review the report of an auditor and consider whether modifications are required to the operating authority’s QMS to resolve any identified nonconformities with the requirements of the DWQMS.

2.6.3 The Accreditation Body may, at the request of an auditor or during the review of an audit report, request from the Ministry of the Environment and Climate Change, in writing, an interpretation of any element in the DWQMS. The Ministry of the Environment and Climate Change will provide a copy of any interpretation, in writing, to all Accreditation Bodies within fifteen (15) calendar days of receiving such a request.

2.6.4 If the Accreditation Body concludes that a non-conformity identified in the audit report must be addressed, the Accreditation Body will require the operating authority to resolve the nonconformity to the satisfaction of the Accreditation Body.

2.6.5 Where the Accreditation Body makes a request of the operating authority in accordance with section 2.6.4, the request will be in writing and will provide the operating authority with thirty (30) calendar days to respond. A copy of the request will also be provided to the owner of the subject system if the owner is not the operating authority.

2.6.6 Where the Accreditation Body is not satisfied with the operating authority’s response, the Accreditation Body may make additional requests to the operating authority or may suspend the accreditation process.

2.6.7 If the operating authority is seeking Limited Scope Transitional accreditation, the thirty (30) calendar day response period required by section 2.6.5 will be reduced to five (5) calendar days, excluding holidays as defined in the Legislation Act, 2006.

Certificate of Accreditation Procedure (2.7)

2.7.1 Where this Accreditation Protocol requires that the Certificate of Accreditation procedure be conducted, the procedure outlined in this section will be followed.

2.7.2 The Accreditation Body will issue a Certificate of Accreditation for the appropriate accreditation category to the operating authority, subject to the following:

1. A Certificate of Accreditation (Limited Scope Transitional) will be issued subject to the condition that the accredited operating authority submits an application for Full Scope accreditation to the Accreditation Body within six months of the issuance of the certificate.

Reports by Auditor (3.0)

Notice of Violations (3.1)

3.1.1 The accreditation process developed by the Accreditation Body shall contain the necessary procedures to ensure compliance with section 26 of the SDWA.

Notification (4.0)

Audit Reports (4.1)

4.1.1 Within thirty (30) calendar days of any audit conducted by an auditor, the Accreditation Body will provide an electronic copy of the audit report, if any, to the Applicant, Director and owner of the subject system.

4.1.2 Within ninety (90) calendar days of any audit conducted by an auditor, the Accreditation Body will make available to the public the results of the audit, including any recommendation respecting accreditation.

Public Notification (4.2)

4.2.1 The Accreditation Body will maintain a list, sorted by the owner of the drinking water system, that contains the following information in respect of every accreditation issued by or transferred to the Accreditation Body:

1. the name of the municipal residential drinking water system and its owner;
2. the name of every subject system comprising the drinking water system;
3. the name of the accredited operating authority for each subject system;
4. the scope of every operating authority’s accreditation;
5. the applicable Certificate of Accreditation number and date for each accreditation;
6. any decisions related to the revocation or suspension of an accreditation;
7. any audit results made available to the public in accordance with section 4.1.2; and
8. any other information required to be provided to the public in accordance with this Accreditation Protocol.

4.2.2 The information required to be maintained in accordance with section 4.2.1 shall be made available on a publicly accessible website on the Internet and shall be kept current.

Audit Cycle (5.0)

Annual Audits (5.1)

5.1.1 The Accreditation Body will annually audit the QMS of an operating authority with a Certificate of Accreditation (Full Scope), in accordance with the following schedule:

1. in the first year following the year in which the Certificate of Accreditation was issued and every third year thereafter, the Accreditation Body will undertake a surveillance audit in accordance with the surveillance audit procedure of this Accreditation Protocol;
2. in the second year following the year in which the Certificate of Accreditation was issued and every third year thereafter, the Accreditation Body will undertake a surveillance audit in accordance with the surveillance audit procedure of this Accreditation Protocol; and
3. in the third year following the year in which the Certificate of Accreditation was issued and every third year thereafter, the Accreditation Body will undertake a re-accreditation audit in accordance with the re-accreditation audit procedure of this Accreditation Protocol.

5.1.2 A full audit cycle is considered complete when an accreditation reaches the third year and is due for a re-accreditation audit.

Surveillance Audit Procedure (5.2)

5.2.1 Where this Accreditation Protocol requires that the surveillance audit procedure be conducted, the procedure outlined in this section will be followed.

5.2.2 An auditor will conduct a systems audit in accordance with the systems audit procedure of this Accreditation Protocol as it applies to an application for Full Scope accreditation. The audit will also include consideration of the results of the most recent audit undertaken in accordance with this Accreditation Protocol and any of the following that have occurred subsequent to that audit:

1. the results of any audits undertaken in accordance with element 19 of the DWQMS;
2. historical responses taken to address corrective action requests made by an Accreditation Body;
3. the results of any management reviews undertaken in accordance with element 20 of the DWQMS; and
4. any changes to the documentation and implementation of the QMS.

5.2.3 Despite section 5.2.2, an auditor will only audit for conformity with the requirement of DWQMS elements 1, 2, 5, 6 and 9 to 18 if changes have been made to the QMS documentation or implementation of the element since the previous audit, or as deemed necessary by the auditor during the course of the audit.

5.2.4 The auditor will prepare a systems audit report detailing all major and minor nonconformities and a recommendation on whether the accreditation of the operating authority should be continued, suspended or revoked.

5.2.5 The Accreditation Body will review the systems audit report prepared by the auditor in accordance with the corrective action request procedure of this Accreditation Protocol.

5.2.6 At any time during the course of the audit, an auditor may request further information from an accredited operating authority or, with the permission of the Accreditation Body and after appropriate notice is given to the owner and operating authority of the subject system, attend at the subject system to verify information for the purposes of the audit.

Re-Accreditation Audit Procedure (5.3)

5.3.1 Where this Accreditation Protocol requires that the re-accreditation audit procedure be conducted, the procedure outlined in this section will be followed.

5.3.2 An auditor will conduct a systems audit in accordance with the systems audit procedure of this Accreditation Protocol as it applies to an application for Full Scope accreditation. The audit will also include consideration of the results of the most recent audit undertaken in accordance with this Accreditation Protocol and any of the following that have occurred subsequent to that audit:

1. the results of any audits undertaken in accordance with element 19 of the DWQMS;
2. historical responses taken to address corrective action requests made by an Accreditation Body;
3. the results of any management reviews undertaken in accordance with element 20 of the DWQMS; and
4. any changes to the documentation and implementation of the QMS.

5.3.3 If a major non-conformity is identified during the systems audit, the auditor will prepare a systems audit report detailing all major and minor non-conformities.

5.3.4 The Accreditation Body will review the systems audit report prepared by the auditor in accordance with the corrective action request procedure of this Accreditation Protocol.

5.3.5 Following the completion of the corrective action request procedure if required, an auditor will conduct an on-site verification audit in accordance with the on-site verification audit procedure of this Accreditation Protocol as it applies to an application for Full Scope accreditation. The audit will also include consideration of the results of the most recent audit undertaken in accordance with this Accreditation Protocol and any of the following that have occurred subsequent to that audit:

1. the results of any audits undertaken in accordance with element 19 of the DWQMS;
2. historical responses taken to address corrective action requests made by an Accreditation Body;
3. the results of any management reviews undertaken in accordance with element 20 of the DWQMS; and
4. any changes to the documentation and implementation of the QMS.

5.3.6 The auditor will prepare an on-site verification audit report detailing all major and minor nonconformities and a recommendation on whether the accreditation of the operating authority should be continued, suspended or revoked.

5.3.7 The Accreditation Body will review the on-site verification audit report prepared by the auditor in accordance with the corrective action request procedure of this Accreditation Protocol.

Suspension and Revocation of Accreditation (6.0)

Grounds for Suspension (6.1)

6.1.1 The Accreditation Body may suspend an operating authority’s accreditation where:

1. suspension is recommended by an auditor;
2. corrective action requests are not addressed to the satisfaction of the Accreditation Body;
3. any fees owed by the operating authority to the Accreditation Body have not been paid in full;
4. a condition of accreditation is not fulfilled;
5. an operating authority prevents or obstructs an auditor from conducting or completing an audit; or
6. an operating authority’s QMS for a subject system does not meet the requirements of the DWQMS.

Pre-suspension Process (6.2)

6.2.1 Prior to suspending the accreditation process for an operating authority, the Accreditation Body shall:

1. Provide notice to the operating authority of a proposed suspension of the accreditation process. The notice will include reasons for the proposed suspension and will indicate that any submissions from the operating authority will be considered if provided within thirty (30) calendar days of the date of the notice.
2. The Accreditation Body, will provide its decision within fifteen (15) calendar days of the receipt of any submissions from the operating authority regarding the proposed suspension of the accreditation process.
3. The notice required by subsection 6.2.1 (a) and any decision made in accordance with subsection 6.2.1 (b), will be provided to the accredited operating authority in writing and copied to the following persons or entities:
   1. the owner of the subject system;
   2. the management committee; and,
   3. the Director.

Suspension of an Accreditation Process (6.3)

6.3.1 The accreditation process for an Operating Authority will be suspended where:

1. A decision to suspend the accreditation process has been issued by the Accreditation Body under subsection 6.2.1 (b), or;
2. The operating authority has not provided a response to the notice of proposed suspension required by subsection 6.2.1 (a).

6.3.2 Where the accreditation process for an operating authority is suspended, the Accreditation Body shall:

1. Provide notice to the operating authority that the accreditation process has been suspended. The notice will include reasons for the suspension and will indicate that any submissions from the operating authority will be considered if provided within thirty (30) calendar days of the date of the notice. The notice will also indicate that a failure to remedy the reasons underlying the suspension within thirty (30) calendar days will result in the revocation of the accreditation.
2. The Accreditation Body, will provide its decision within fifteen (15) calendar days of the receipt of any submissions from the operating authority regarding the suspension of the accreditation process.
3. he notice required by subsection 6.3.2 (a) and any decision made in accordance with subsection 6.3.2 (b), will be provided to the accredited operating authority in writing and copied to the following persons or entities:
   1. the owner of the subject system;
   2. the management committee; and,
   3. the Director.
4. In addition to the notification requirements in subsection 6.3.2 (c), if the Accreditation Body suspends the accreditation process for an operating authority, the Accreditation Body shall immediately notify the operating authority and the persons listed in subsection 6.3.2 (c) by telephone.

6.3.3 In addition to the notification requirements in subsection 6.3.2, if the Accreditation Body revokes the accreditation of an operating authority, the Accreditation Body shall immediately notify the operating authority and the persons listed in subsection 6.3.2 by telephone.

Revocation Process (6.4)

6.4.1 If a decision issued by the Accreditation Body under subsection 6.3.2 (b) suspends an accreditation, and the operating authority has not addressed the reasons underlying the suspension within thirty (30) calendar days of the date of the decision to the satisfaction of the Accreditation Body, the Accreditation Body will revoke the operating authority’s accreditation.

6.4.2 If an operating authority’s accreditation is revoked in accordance with section 6.4.1, a written notice of revocation will be provided to the operating authority and copied to the following persons or entities:

1. the owner of the subject system;
2. the management committee; and,
3. the Director.

6.4.3   In addition to the notification requirements in subsection 6.4.2, if the Accreditation Body revokes the accreditation of an operating authority, the Accreditation Body shall immediately notify the operating authority and the persons listed in subsection 6.4.2 by telephone.

Appeals and Appeal Process (7.0)

Decisions Subject to Appeal (7.1)

7.1.1 The Accreditation Body will establish a two-level appeal process and related procedures and rules consistent with the requirements of this Accreditation Protocol that allows an appeal by an operating authority of a decision by the Accreditation Body to:

1. suspend an accreditation process;
2. revoke an accreditation; or
3. not grant an accreditation;

7.1.2 The appeal process will be operated in accordance with the following:

1. all appeals will be conducted in writing;
2. the adjudicator for the first and second level appeals will be the Accreditation Body and the management committee, respectively;
3. to initiate a first level appeal, a notice of appeal summarizing the reasons for the appeal and evidence supporting the reasons must have been delivered to the Accreditation Body within fifteen (15) calendar days of the decision being appealed from;
4. all decisions on a first level appeal will be made in writing and within thirty (30) calendar days of the receipt of a notice of appeal;
5. to initiate a second level appeal, a notice of appeal summarizing the reasons for the appeal and evidence supporting the reasons must have been delivered to the management committee within fifteen (15) calendar days of the decision being appealed from; and
6. all decisions on a second level appeal will be made in writing and within fifteen (15) calendar days of the receipt of a notice of appeal.

7.1.3 All written decisions made in accordance with section 7.1.2 will be provided to the following persons or entities:

1. the operating authority;
2. the owner of the subject system;
3. the Accreditation Body or management committee, as appropriate; and
4. the Director.

7.1.4 Any issued accreditation will remain valid during the appeal process, despite any expiration date or other condition that may limit or restrict the accreditation.

Appeal of Accreditation Findings (7.2)

7.2.1 The Accreditation Body will establish a two-level appeal process and related procedures and rules consistent with the requirements of this Accreditation Protocol that allows an operating authority to appeal the findings of an auditor, where the operating authority:

1. Believes that the findings are beyond the scope of the DWQMS;
2. Can provide evidence of conformance to the requirements of the DWQMS; or,
3. Disagrees with an interpretation of the requirements of the DWQMS.

7.2.2   The appeal process will be operated in accordance with the following:

1. all appeals will be conducted in writing;
2. the adjudicator for the first and second level appeals will be the Accreditation Body and the Ministry of the Environment and Climate Change, respectively;
3. to initiate a first level appeal, a notice of appeal summarizing the reasons for the appeal and evidence supporting the reasons must have been delivered to the Accreditation Body within fifteen (15) calendar days of receipt of the audit report;
4. all decisions on a first level appeal will be made in writing and within thirty (30) calendar days of the receipt of a notice of appeal;
5. to initiate a second level appeal, a notice of appeal summarizing the reasons for the appeal and evidence supporting the reasons must have been delivered to the Ministry of the Environment and Climate Change within fifteen (15) calendar days of the decision being appealed from; and,
6. all decisions on a second level appeal will be made in writing and within fifteen (15) calendar days of the receipt of a notice of appeal.

Resumption of an Accreditation Process (8.0)

8.1 Removal of suspension

8.1.1 The Accreditation Body may resume an accreditation process that has been suspended where the reasons for the suspension have been addressed to the satisfaction of the Accreditation Body.

Term of Contract and Transfer of Accreditation (9.0)

Term of Contract with Operating Authority (9.1)

9.1.1 The term of any contract that an Accreditation Body enters into with an operating authority for the provision of accreditation services should not extend beyond the end of the current accreditation cycle.

Transfer of Accreditation (9.2)

9.2.1 An operating authority may transfer its current accreditation to a new Accreditation Body:

1. in advance of a re-accreditation audit, by obtaining the services of a new Accreditation Body and completing a Notice of Transfer form;
2. at any point during the current accreditation cycle, by obtaining the services of a new Accreditation Body, completing a Notice of Transfer form, and paying any termination fees that may be required through the agreement with the currently contracted Accreditation Body; or,
3. following the direction of the Ministry of the Environment and Climate Change, should the current Accreditation Body cease to be designated as an Accreditation Body under the SDWA.

9.2.2 Any issued accreditation will remain valid, subject to any conditions, during the transfer of accreditation process.

9.2.3 The transfer of an accreditation will be considered complete when the Accreditation Body receiving the transferred accreditation has completed a review of the accreditation, is satisfied that the QMS for the subject system meets the applicable requirements of the DWQMS, and issues an acknowledgement letter to the operating authority indicating, among other things, that the accreditation of the former Accreditation Body continues to be valid with the new Accreditation Body.

9.2.4 A copy of any acknowledgement letter issued by the Accreditation Body in accordance with section 9.2.3 relating to the transfer of an accreditation shall be copied to:

1. the owner of the subject system; and,
2. the Director.

Updates to the DWQMS (10.0)

Timeframe for Implementation (10.1)

10.1.1 An update to the DWQMS that is made by Ministry of the Environment and Climate Change will require operating authorities to update their operational plans so that they conform to the updated standard.

10.1.2 If an update has been made to Element 7 (Risk Assessment) or Element 8 (Risk Assessment Outcomes), it must be reflected in any risk assessment that is conducted on a date following the date that DWQMS was updated.

10.1.3 If an update has been made to any Element of the DWQMS other than those listed in 10.1.2, the updates must be reflected in the operational plan prior to the first audit (internal or external) that takes place in the second calendar year following the date that the DWQMS was updated.