UL DQS

Corporate Policy Manual

UL DQS
Buffalo Grove, IL
USA
© 2010, UL DQS, USA
Table of Contents
FOREWORD 3

GROUP PROFILE 4

PART A: STRATEGY, LEADERSHIP, ORGANIZATION 5

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

PART B: UL DQS PROCESSES 12

B.1 - Process map 12
B.2 - Key processes 13
B.3 - Management processes 17
B.4 - Support processes 20

PART C: DOCUMENT MANAGEMENT 24

PART D: REMARKS 26
D.1 - Coverage 26
D.2 - Personal designations 26
D.3 - Terms 26
D.4 - Readers’ comments 26
D.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 2/31

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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 3/31

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:

Success
We like to be successful, just like our customers.
Respect
We treat people with respect, always.
Customer orientation
Customer needs come first – we generate value for our customers.
Employee orientation
Our employees including our auditors are our greatest success factor.
Mutual trust
Mutual trust enables us to cooperate and together we achieve goals.
Responsibility
We take responsibility for our results and our behavior
Integrity / credibility
Independence, competence and attitude ensure our integrity.
Reliability
We keep our promises. Trust us!

A.2 - Vision and strategy

The 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 4/31
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 expectations
Customers (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 expectations
UL 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.
UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 5/31
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 policy

The 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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 6/31

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.

Objectives
The 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 agreements
Through 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 + Scope

The 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”.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 7/31

A.5 - Management of impartiality
The 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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 8/31

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

DQS Holding GmbH Ganesh Rao Shareholder Assembly

President and CEO

UL DQS entities UL DQS entities UL DQS entities

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, Partners

UL 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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 9/31

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.

Executive
Management

Marketing, Service, Planning & Auditing & Auditors Finance &

Sales Certification Administration

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 Impartiality

UL 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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 10/31

A.7 - Management system
The 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 Representative
The 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 / Authorizations
Local 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 DQS
The 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

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 11/31

  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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 12/31

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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 13/31

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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 14/31

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 15/31
Assessment service flow chart:

Certification (K6)
Illustration IV – Assessment service flowchart
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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 16/31

Illustration V. – Certificates

Certificates and use of logos / marks

DQS 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-certifications
Certificates 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

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 17/31

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

Equivalence Statement
Upon 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 audits

In 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 services

For 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, planning
The 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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 18/31

 Ganesh Rao
President

Hal Wells
Brad McGuire Lisa McCall Michael Caruso
Vice President
Vice President Vice President Vice President
Sales
Finance & Administration Operations Certification

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, monitoring
All 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 19/31
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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 20/31

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.
UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 21/31
Appointment
Selection 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 training

With 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
UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 22/31
practical experience obtained in the relevant industry and service sectors. Our customers value this
„real-world“ approach.

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 appeals

All 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 improvement
In 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
UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 23/31
  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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 24/31

Part C: Document management
System documents
The UL DQS system documents are structured as follows:
1. Group level
Corporate 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 level
Each 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

Process map (see illustration IV.);

Processes
“DQS turtles” / Process descriptions

Procedures, Instructions Directives, written procedures and instructions

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

Illustration VI – Basic document structure

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 25/31

Other documents
Each 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 records
Records 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”.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 26/31

Part D: Remarks
D.1 - Coverage
All 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 - Terms
Assessment/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’ comments

All 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

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 27/31

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 VI
ISO/IEC 17021

10.2
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

10.3
UL DQS- Corporate
Management Manual
Mission and values X X X X

Vision and strategy X X X X

Corporate policy and X X X X X X X X X X X

objectives
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
10.2
10.1

10.3
.4.3
4.1
4.2

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

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 28/31

Annex 1.1 Correspondence matrix:
DQS Corporate Management Manual and EN 45011
Illustration VII.1
EN 45011

6
7

9
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9

5.1
5.2

8.1
8.2

10
11
12
13
14
15
4.10
UL DQS Manual

Mission and values X

Vision and strategy X

Corporate policy and X X X

objectives
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
6
7

9
4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8
4.9

5.1
5.2

8.1
8.2

10
11
12
13
14
15
4.10

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 29/31

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

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
UL DQS Manual

Mission and values X X X X

Vision and strategy X X X X

Corporate policy and X X X X X

objectives
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

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 30/31

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.

UL DQS Corporate Policy Manual Q-0000 Revised: 10/14/10 31/31