GSTC Accreditation Procedure

February 16, 2024
GSTC Accreditation Procedure v.2.0

Document History

VersionDate of Approval

Description of Amendment

Affected Section/Page

1.0

1 October 2023

New Document.

N/A

1.1

29 October 2023

Document format changed.
Added GSTC accreditation fordestination certification.
Added further descriptions toprocesses and procedures.
Corrected grammatical errors.

Entire document

1.2

11 December 2023

Focused on correction ofgrammatical errors through the
document.
Improved clarity of expressions.

Entire document

2.0

16 February 2024

Changed the order of sections toalign with ISO/IEC 17011:2017.
Terminology updated (“Witness
Assessment” to “Witnessing”).
Combined procedural provisions
regarding the Destination
Certification.
Elaborated clauses regarding thecooperation of the endorsed National
Accreditation Body.
Added new sanctions item on Table 8.
Corrected minor grammatical errors
and changed some expressions.

Entire Document

Document Control
This is version 2.0 of GSTC Accreditation Procedure, 2024.

© The Global Sustainable Tourism Council, 2024, All Rights Reserved
The Global Sustainable Tourism Council
www.gstcouncil.org

2

Table of Contents
PART 1: ACCREDITATION PROCEDURE INTRODUCTION

4

1. Introduction

4

2. Responsibility for This Procedure

4

3. Key Policies for Accreditation Service Provision5

4. Accreditation Scope9

5. Outline of GSTC Accreditation Process

9

6. Inquiry for Accreditation

12

PART 2: APPLICATION FOR ACCREDITATION

13

7. Application for Accreditation

13

8. Review of Documented Information

15

PART 3: ASSESSMENTS

17

9. Preliminary Visit17

10. Desk Assessment

18

11. Office Assessment

19

12. Witnessing

22

13. Reassessment and Follow-up Assessment

26

14. Reporting Assessment Result

28

PART 4: ACCREDITATION DECISION-MAKING

29

15. Accreditation Decision-Making

29

16. Accreditation Information

31

PART 5: ACCREDITATION CYCLE

33

17. Periodic Surveillance Assessments

33

18. Maintaining Accreditation

35

19. Reaccreditation Assessment

37

20. Changes in Accreditation

38

PART 6: EXTENDING AND REDUCING ACCREDITATION

40

21. Scope Extension

40

22. Scope Reduction

41

PART 7: SUSPENSION, WITHDRAWAL, AND SANCTIONS
23. Sanctions

42
42

PART 8: COMPLAINTS AND APPEALS

51

24. Complaints and Appeals

51

PART 9: OTHERS

52

25. Transfer of Accreditation

52

3

PART 1: ACCREDITATION PROCEDURE INTRODUCTION
1.

Introduction
1.1.

GSTC Accreditation Procedure is for the Certification Body (CB) that aims toapply for and maintain its accreditation status. This document addresses
accreditation application, maintaining accreditation, changes in accreditation,complaints and appeals, reporting requirements, and sanctions.

1.2.

Accreditation by the GSTC Endorsed National Accreditation Body follows theprocedure set by the GSTC Endorsed National Accreditation Body, and GSTC
conducts oversight activities.

1.3.

Other applicable operational activities and responsibilities of GSTC and the CB
are described in GSTC Accreditation Manual for Accommodation/Hotel & Tour
Operator v.3.1.

1.4.

As per the GSTC Accreditation Procedure, both accredited and applicant CBs
are required to pay fees based on the GSTC Accreditation Fee Schedule fordifferent occasions of the assessment.

Note: The procedure of the Accreditation for Destination Certification in this document shall beapplied after publication of the GSTCAccreditation Manual for Destination Certification v.2.0.

2.

Responsibility for This Procedure
2.1.

GSTC is responsible for controlling documents that relate to this procedure.

2.2.

GSTC will continuously review, update and approve documents related to its
accreditation activities as necessary.

2.3.

Information about updates and/or changes in accreditation procedure shall beavailable to the CBs.

4

2.4.

If those changes impact the CB's accredited conformity assessment or GSTC's
accreditation service, GSTC will set an adequate transitional period and effective
date of changes.

3.

Key Policies for Accreditation Service Provision
3.1.

Service Language: The language used for the GSTC accreditation service isEnglish. If a CB wishes to receive accreditation services in a language other thanEnglish, the CB must provide interpretation and translation services, and the CB
must ensure that the services are fair and impartial. It is the responsibility of the CB
to cover the expenses of translation and interpretation services.

3.2.

GSTC Accreditation for Scheme Owners. Accreditation is conducted inaccordance with the Certification Body-Certification Scheme Framework of
GSTC. See Annex A of the GSTC Accreditation Manual for Certification ofHotel/Accommodation & Tour Operator v.3.1 and the GSTC Accreditation
Manual for Certification of Destination v.1.2.

3.3.

Conducting assessments and measures for incomplete assessments. The
accreditation assessment follows specific procedures in line with the CB's
application or the annual assessment plan established by GSTC. If the assessment
is not completed within the accreditation's validity period or is delayed beyond
the periodic surveillance period determined by GSTC, GSTC will initiate theprocedure to impose sanctions such as suspension or withdrawal. Refer to Section
23 for detailed criteria and procedures for sanctions.

3.4.

Planning and adjusting individual assessment plans. GSTC shall appoint anassessment team consisting of a team leader and where required, assessors,
trainees, or technical experts, and translators if needed. Observers may engage
in an assessment if consented to by the CB beforehand; however, they are notconsidered to have authorization for the assessment process.

53.4.1. GSTC shall inform the CB of the composition of the assessment team andany observers, if applicable.
3.4.2. The CB may submit an objection against team member(s) or observers
with supporting justification within 5 calendar days of receiving notificationfrom GSTC about the assessment team.
3.4.3. GSTC shall review any objection(s) and may alter the team composition if
it is deemed justifiable in order to mitigate or eliminate any existing orperceived COI.
3.4.4. Due to time constraints, the CB’s objections against assessment teams
used on Short Notice and Unannounced assessments may not be feasible.
The CB shall promptly notify GSTC of CB audit dates for the assessment
team composition.
3.4.5. GSTC shall develop an assessment plan and budget (when applicable) tocover the assessment (activities, locations, personnel, techniques). The
assessment plan shall be provided to the CB at least 7 calendar days
before any assessment, except for Short Notice or Unannounced
assessments.
3.4.6. In the case of the witnessing, the CB shall notify GSTC of its audit dates
and audit team members at least 30 calendar days before theassessment and provide its audit plan at least 14 calendar days before
the audit.
3.5.

Assessment Report. A written assessment report shall be provided to the CB
describing the outcome of the assessment. The report shall contain comments ofcompetence and identify nonconformities.

3.6.

Classification of assessment findings and corrective actions. Assessment findings
are classified as nonconformity (NC) or recommendation (OFI). Table 1 below
describes the responses of the CB to resolve nonconformities. If there is no
justification for the NC, GSTC will take action as follows:6●For an assessment based on the application for accreditation (e.g., initial,
renewal, scope extension), the application will be rejected.

●

For surveillance, GSTC will initiate the procedure of suspension orwithdrawal of accreditation.

3.7.

The CB shall adhere to the GSTC Accreditation requirements consistently,
incorporating any new requirements or modifications within the deadlines
specified by GSTC.
3.7.1. GSTC shall timely inform the CB of any changes to its requirements andthe transition period and effective date of the changes.
3.7.2. GSTC shall verify that the CB conforms to the changed requirements prior
to the effective date.
3.7.3. In any case, the CB shall ensure compliance with the revised
Accreditation Manual or Procedure once it becomes effective.
3.7.4. After successfully evaluating the transition to the new or revised Manualand the closure of any significant non-conformities, the Certificate will be
updated to reflect the reference to the new or revised Manual.

3.8.

Appeals. If the applicant CB or the accredited CB disagrees with the GSTC NCs ordecision at any point in this Accreditation Procedure, they may submit an appeal
in accordance with the GSTC’s Grievance Procedure for Accreditation.

3.9.

GSTC maintains the list of applicant CBs and accredited CBs in its internal
database. The list includes information such as:●

CB name;●Address;●

Accreditation status;●

Technical/Geographical scope;7●Date of the Initial accreditation assessments and Assessment Report and arecord of suspension, along with contact data as informed by the CB.

3.9.1. GSTC may publish assessment reports to the extent permitted by the GSTC
Service Agreement.

Table 1. Classification of assessment findings and CB’s actions required
Classification of Findings
Finding
Nonconformity

Nonconforming accreditation
requirements, including:●

The CB’s conformity assessment
system:○does not address the entirety
or any part of theaccreditation requirements.

○

has a process contradicting
accreditation requirements.

○

is not specific enough toaddress accreditation
requirements. or○

Recommendation

Required Action by the CB

Criteria for Issuancedoes not ensure a stable
quality system.

●(If applicable) The effectivenessof the following assessment is notguaranteed.

●

Nonconformity can be classified
as major or minor according to
the accreditation manual

Opportunity for Improvement (OFI) is
recommended for a more effective
and efficient conformity assessment
system operation, which does not fall
into the classification of
nonconformity.

8

For desk assessment: submit Root Cause
Analysis and corrective action(s) to GSTC
(assessment team) no later than 3 days
before the planned office assessment
date.

For other assessments:●

documentation for corrective
action(s) no later than 30 days fromthe date of issuance; or●

submit Root Cause Analysis (RCA)and Corrective Action (CA) plan(s)no later than 30 days from the dateof issuance, and documentation forcorrective actions) no later than 90days from the date of issuance.

No action is required.

NOTE: Deviations from this rule outlined in Table 1 may be approved by GSTC, subject to clear justification.
For instance, major NCs may be closed at the Head Office (HO) during an office assessment or during awitnessing if onsite verification is feasible. Additionally, a CB's request to conduct a witnessing immediately
after the office assessment may be approved. However, in such cases, the CB must acknowledge that asecond witnessing may be necessary if the findings raised at the HO need to be verified.

4.

Accreditation Scope
4.1.

The procedure covers the accreditation scope described in the GSTC
Accreditation Manual for Certification of Hotel/Accommodation & Tour Operator
v.3.1 and the GSTC Accreditation Manual for Certification of Destination v.1.2.

5.

Outline of GSTC Accreditation Process
5.1.

Table 2 outlines the GSTC Accreditation process and lists specific procedures foreach step of the process.

5.2.

The CB is required to facilitate and collaborate in all GSTC assessments to create
a positive and professional assessment environment.
5.2.1. The CB shall provide unrestricted access to personnel, facilities, anddocuments related to the certification process, their operations including
the Affiliate Offices (AOs), and the Scope of Accreditation.
5.2.2. The CB is obligated to establish binding agreements with their clients toensure GSTC's access to observe the CB’s audit activities or to conduct an
on-site compliance assessment and to guarantee GSTC's access topertinent documents.

5.3.

All HO, AO, witnessing, and compliance assessments shall commence with an
opening meeting, whether performed on-site or remotely. In the case of a desk
assessment, the CB shall have the opportunity to request an opening meeting. For
more information, please refer to the Opening and Closing Meeting Procedure.

9

5.4.

All assessments shall conclude with a closing meeting. CB shall then be provided
with the opportunity to seek clarification on findings, including NCs. Any
disagreements shall be discussed and, if possible, resolved during the closing
meeting. If not resolved, the disagreement shall be documented in the Summaryof Findings (SOF) and the final Assessment Report. The CB is encouraged toinclude their senior management in opening and closing meetings when possible.

5.5.

Opening and closing meetings may be conducted remotely, if necessary, withprior agreement from both parties.

Table 2. Specific procedures for each accreditation step
InitialAccreditation

Scope

accreditation

renewalextensionInquiry for
Accreditation(Section 6)
Accreditation
Application(Section 7)
Preliminary Visit(Section 9)
Desk Assessment(Section 10)
Office Assessment(Section 11)
Witnessing(Section 12)
ReportingAssessment result(Section 14)
Accreditation
Decision-making(Section 15)

10

SurveillanceNotice ofAccreditation
Decision(Section 16)
Required or mandatory

5.6.

Optional or required on condition

GSTC provides accreditation activities either by itself or in cooperation with
National Accreditation Bodies.
5.6.1. Accreditation cooperation with the national accreditation body (NAB)
shall take place according to the country where the accreditation
applicant is based or another country according to EU Regulation
765/2008.
5.6.2. If cooperating with the NAB, the GSTC Accreditation Procedure will bealigned with NAB's procedures, as shown in Table 3 below, and GSTC will
be in charge of review of applications and oversight of NAB's assessment
activities.

Table 3. Accreditation Cooperation with the Endorsed National Accreditation Body
Activity

The CB based in Europe*

All other locations

Application for Accreditation

GSTC and the Endorsed NAB(GSTC will pre-review theapplication and pass it to the NAB
when the application has all therequired documents.)

GSTC

Desk Assessment

NAB

GSTC

Witnessing

NAB

GSTC

Office Assessment

NAB

GSTC

Accreditation Decision

NAB

GSTC

Oversight Activity

GSTC

GSTC

11

Note: Currently, GSTC formally collaborates with the NAB(Accredia) only for the CBs based in
Italy, but the collaboration may extend to other EU countries in the future.

6.

Inquiry for Accreditation
6.1.

GSTC will provide detailed responses to inquiries for the accreditation procedures,fees, labor day(s), etc. GSTC shall also respond to questions about the contentsof the GSTC Accreditation Manual. GSTC Accreditation information is publicly
available

on

the

GSTC

websiteaccreditation@gstcouncil.org.

12and can also be requested throughPART 2: APPLICATION FOR ACCREDITATION
7.

Application for Accreditation
7.1.

An authorized representative of the applicant CB shall submit a formal
application using the GSTC Accreditation Application Form and send it to GSTC
at accreditation@gstcouncil.org for initial accreditation.
7.1.1. Application conditions for all applicants. GSTC requires all applicants toensure all conditions are met, or the application will be rejected.
Applicant CB shall:a. be a legal entity that can be legally responsible for its conformity
assessment activities;
b. provide relevant information for the GSTC conformity assessment
system according to the GSTC accreditation requirements;c. have access to a sufficient number of competent personnel for
managing and supporting the GSTC conformity assessment
activities per scope of accreditation;d. ensure its impartiality risks are identified and controlled in order tominimize them.
7.1.2. Additional application conditions for initial accreditation. An applicant for
initial GSTC Accreditation shall comply with the following additional
conditions:a. The applicant shall have experience in the operation of its
conformity assessment system, including at least one internal audit
and management review conducted and at least one conformity
assessment activity completed (including simulated conformity
assessment)

13Note:

Simulatedconformity assessment means that a conformity

assessment activity has been completed following the CB’s service
procedures

from

the

beginning(e.g.

submissionofcertification

application) to the end (e.g. issuance of certificate), based on a virtual
scenario for conformity assessment.
b. At least two auditors (or a person who conducts conformity
assessment and a person who reviews the audit result) areavailable for every accreditation scope applied, regardless of
his/her type of contract.
7.2.

Other Application Inquiries
7.2.1. Reaccreditation. An applicant for renewal of existing GSTC Accreditation
shall comply with the following additional conditions:a. The application shall be submitted well in advance of the
expiration date for timely reassessment; andb. GSTC has confirmed the completion of all surveillance activities asplanned and the CB’s corrective actions, if any, have been
implemented effectively.
Note: CBs seeking Industry or Destination Certification should submit theirapplication approximately 9 months before the end of the accreditation
cycle.
7.2.2. Extension or reduction of accreditation scope. A CB can apply for an
extension or reduction of the Accreditation Scope at any time during theAccreditation Cycle.

7.3.

All information GSTC requests, including the application form, application
checklist, and supporting documents, shall be submitted in English.

7.4.

Within a period of 10 calendar days from receiving the application andsupporting documentation, GSTC will confirm receipt and perform a screening.

147.4.1. Additional information and/or clarification may be requested from theapplicant CB.
7.4.2. The applicant shall pay the application fee invoiced with the application.
If the fee is not paid, the reception of the application can be denied.
Payment is required within 30 days of the issue date of the invoice.
7.5.

At any point in the application and initial assessment process GSTC shall reject or
terminate the assessment process in case of evident fraudulent behavior or lackof compliance with regulations.

8.

Review of Documented Information
8.1.

GSTC receives and reviews the application documents to ensure that all thenecessary information has been provided.

8.2.

GSTC considers the application process finalized after the CB has submitted theapplication or other additional information and made a full payment of theapplication fee. GSTC shall initiate the application review process within 60
calendar days after finalizing the application.

8.3.

Rejection of Application
8.3.1. GSTC shall reject the application if any of the following cases apply:a. Legal compliance issues are identified
b. The CB intentionally provides false information;c. The CB conceals information;
d. Regulatory

andsafetyrestrictions

could

hinder

GSTC'simplementation of its oversight, accreditation, or services;e. Risk associated with the business relationship with the applicant is
unacceptably high.

15

8.3.2. GSTC shall provide justification to the CB for the reasons for the rejectionof the application.
8.3.3. Should the CB decide to reapply for accreditation following a rejection,
the application process is re-implemented (see 7.1). GSTC reserves theright to enforce an interval period of up to 2 years before reviewing a new
application from a previously rejected entity.
8.4.

Upon acceptance of the application, the CB shall sign the GSTC Service
Agreement.

8.5.

If, during the application process, the CB wishes to withdraw for any reason
whatsoever, that CB shall notify the GSTC in writing.

8.6.

Modifications to the current or applied Accreditation Scope can only occur upon
the CB submitting a formal application for scope extension or reduction, as
outlined in Section 21 for Scope Extension and Section 22 for Scope Reduction.

8.7.

GSTC may propose a reduction in the Scope of Accreditation based on the
results of a relevant assessment as detailed in Section 22.

8.8.

If there are significant changes in any aspect of the applicant's status oroperations during the application process, GSTC reserves the right to mandate
the submission of a new application, along with the payment of a new
application fee. Significant changes include but are not limited to alterations to
the CB's structure or procedures, which may require new documentation andprocesses, thereby extending the time needed for the GSTC Accreditationassessments.

8.9.

GSTC resource review. GSTC reviews its resources to determine whether
appropriate assessments and accreditation decision activity can be conductedat the proposed time or within the proposed deadline, considering the resourcesof GSTC. GSTC will consult with the CB to determine an appropriate adjustment inassessment or accreditation decision-making date.

16

PART 3: ASSESSMENTS
9.

Preliminary Visit
9.1.

Upon the applicant's request, GSTC can plan and conduct a one-day preliminary
visit in consultation with the applicant and at their expense.

9.2.

A preliminary visit may also be decided by GSTC in the following situations:a. During the application process, the applicant CB has not conducted any
tangible Conformity Assessment activities or services.
b. GSTC deems it necessary after identifying issues or significant deficiencies
in the provided information that raise concerns about the CB's capability
to meet the Accreditation requirements.

9.3.

The purposes of a preliminary visit are to:a. evaluate the suitability of the applicant's Quality Management System(QMS).
b. confirm the Scope of Accreditation.
c. assess the readiness of the CB for the accreditation process.
d. verify the submitted documentation.
e. provide the applicant with a better understanding of the GSTC
Accreditation process.

9.4.

An official report will not be issued to the CB, but brief results in free form can bemade and delivered to the CB upon request.

9.5.

Throughout this process, GSTC shall exercise due care to avoid consultancy.

9.6.

As long as no conditions for rejection of application (see Clause 8.3.) apply during
the preliminary visit, the result of the preliminary visit will not have any impact onconsecutive official accreditation assessment processes.

17

9.7.

Upon completion of the preliminary visit, the applicant may request a change inthe desired assessment dates.

10.

Desk Assessment
10.1.

Upon

acceptingtheapplication,

GSTC

shall provide an Accreditation

Application Checklist to the CB. The CB shall return it with the required supporting
documents to demonstrate compliance.
10.2.

After reviewing the Accreditation Application along with the checklist andrequired documents, GSTC shall carry out three types of assessments in thespecified sequence: Desk Assessment, Office Assessment, and Witnessing.

10.3.

Desk

assessment

objectives.

Desk

assessmentisan evaluation of the

documented management system of the CB in order to review the following anddetermine that the CB is ready for office assessment:
a. Review the CB’s management system documented information;b. Evaluate the CB’s office conditions and undertake discussions with the
CB’s personnel to determine the preparedness for office assessment;c. Review the CB’s status and understanding of accreditation requirements;
d. Obtain necessary information regarding the applied accreditation scope,
including the CB’s offices, personnel, and levels of controls;e. Review the office assessment team allocation;f.

Provide a focus for office assessment and determine affiliate offices
assessment if applicable; andg. Evaluate if the internal audits and management reviews are being
planned and performed

18

10.4.

The desk assessment should be scheduled to occur within 30 calendar days ofreceiving the outlined documents.

10.5.

Reporting desk assessment result. After document review, the assessment teamshall write a report with preliminary findings and deliver it to the CB.

10.6.

Desk assessment result. If an NC is identified during a document review, the CB
shall describe corrective actions and submit the evidence to GSTC within 90 days
from the notification date, up until 3 days before the planned office assessment
day. Otherwise, the application for accreditation will be rejected, andapplication and assessment fees will not be refunded.
The assessment team reviews the responses of the CB for NCs to determine
whether they are sufficient or not. If the corrective actions submitted are
insufficient or unsatisfactory, further information shall be requested from the CB.
Should the second round of corrective actions also be deemed insufficient or
unsatisfactory, the assessor shall impose sanctions along with the appropriate
justification.

11.

Office Assessment
11.1.

Office assessment objectives. The office assessment is intended to verify thecompetence of the CB in conducting the conformity assessment activity for GSTC
in compliance with all accreditation requirements.

11.2.

The timing of the office assessment is determined in consultation with the CB,
taking into account the CB’s availability, the GSTC annual assessment plan
(Clause 3.4.6), and, where applicable, the successful completion of a desk
assessment. In the case of surveillances and renewals, the office assessment shallbe planned and performed before the end of the accreditation cycle.

11.3.

It is recommended that CBs take the following actions in preparation for the GSTC
Office Assessment:19

a. review and acknowledge the office assessment plan;b. prepare top management interview;c. allocate responsible person(s) per assessor;
d. confirm availability of all documents and records required for theaccreditation requirements; ande. prepare office equipment required.
11.4.

An office assessment shall be conducted at all offices, such as the Head Office(HO) and Affiliate Office (AO) that perform the key functions of conformity
assessment activities, including the head office of the CB. Other offices must also
have an office assessment within the accreditation cycle.
11.4.1. The frequency of office assessments for each type of CB office is listed inTable 4.

11.5.

No later than 30 days prior to the assessment, the following documents are
submitted by the CB:a. documentation for assignment of organizational roles, responsibilities, andauthorities within the CB,b. auditors or personnel involved in the GSTC Certification program,c. competence requirements and documentation of their qualifications,d. quality management manual or procedures following the requirements
set out in the GSTC Accreditation Manual,e. list of certificates issued and documentation of relevant audits, and
f.

11.6.

other information requested by the GSTC.

Performance of office assessment. Office assessments shall include official
opening and closing meetings under the responsibility of the assessment teamleader.

20

11.6.1. Throughout the office assessment, various activities, according to theassessment plan, will take place. These activities include the opening
meeting, top management interview, requirements review, assessment
team meeting, wrap-up meeting, and closing meeting.
11.6.2. The top management of the CB

is expected to engage with theassessment process.
11.7.

Reporting office assessment result. At the end of the office assessment, theassessment team shall present a summary of their findings during a closing
meeting. These findings shall be discussed and agreed upon with authorized
personnel. Any findings not agreed upon will be documented in the summary
report.

11.8.

Actions to be taken for nonconformities. The classification of possible officeassessment findings and the corrective actions to be taken by the CB are shownin Table 1.
11.8.1. For any nonconformity, the assessment team shall establish a deadline forsubmitting the corrective action and/or corrective action plan. Before
proceeding with the witnessing, all Major NCs identified shall be closed,
and an action plan including Root Cause Analysis, time-framed
Correction, and Corrective Actions for Minor NCs shall be submitted.

11.9.

Impact of office assessment results. If the NC(s) found by the office assessment isdeemed to be a serious imperfection for the CB's conformity assessment
activities, then GSTC can take actions such as reassessment, follow-up
assessment,

additional

witnessing

activities,

rejectionofaccreditation

application, suspension or withdrawal of accreditation if determined necessary.
11.9.1. The CB shall complete the corrective action and submit the results to
GSTC within the time limit agreed upon with the evaluation team asprovided in Table 1.

21

11.9.2. If the assessment team finds that the corrective action submitted by the
CB is not satisfactory, it will require submission of additional corrective
action or taking corrective action with one more chance within a 30-day
deadline. If the result of the additional corrective action is not submitted
within the specified period, or if the additional corrective action is notsatisfactory, GSTC can discontinue the accreditation process and takemeasures such as rejecting the accreditation application or implementing
sanctions.

Table 4. Office assessment frequency for each type of CB officeType of CB’s office

Assessment Frequency

Head office

Initial accreditation
Every surveillance
Accreditation renewal assessment

Affiliate office*Initial accreditation
Once per accreditation cycle per affiliate office* The affiliate office is responsible for performing crucial functions, overseeing personnel engaged in key
functions, and/or maintaining records related to those key functions.
Note: Key functions are specified in IAF/ILAC A5, clause 7.5.

12.

Witnessing
12.1.

GSTC shall conduct witnessing assessments defined in the assessment plan,
according to GSTC Surveillance and Sampling Procedure.

12.2.

Witnessing carried out by GSTC is in accordance with ISO/IEC 17011:2017, 7.4.7 toachieve the following objectives:22

a. Onsite verification of the effective implementation of the CB's conformity
assessment and determination of certification scope assignment by theCB;
b. Evaluation of the CB’s audit team and their conformance with CB’sprocedures and GSTC requirements; andc. Obtaining a representative sample of the competence of the CB acrossthe accreditation scope
12.3.

The types, purposes, and timings of the witnessing of GSTC are listed in Table 5.
12.3.1. GSTC reserves the right to conduct the additional witnessing or alter thesequence of the witnessing. In such cases, a justification shall be provided.

12.4.

The CB shall provide GSTC with the information on the conformity assessment
activity that has been finalized or planned at least 14 days prior to thecommencement of the activity so that the assigned assessment team canestablish a witnessing plan.
12.4.1. The CB shall bear the cost of utilizing technical expert(s) if GSTC brings
technical expert(s) for effective witnessing.

12.5.

It is the duty of the CB to inform its client, to explain the witnessing procedure, andto obtain the documented client’s agreement to the procedure. The CB is notexpected to change its audit team, plan, or duration due to the witnessing. Ifsuch changes occur, the CB shall provide appropriate justification to the GSTC.
12.5.1. It is the responsibility of the CB’s client to inform the audit team and the
GSTC assessors of all the applicable safety and security requirements inadvance.

12.6.

No later than 14 days prior to the assessment, the CB shall provide to the GSTC:a. audit plan with reference to audit objectives, audit team, locations,
dates, and expected duration of audit activities to be conducted,
b. audit report from the previous audit (if applicable), and23

c. relevant to the audit complaints file (if applicable).
12.7.

Audit planning should be sufficiently flexible to permit any changes that arise as
the audit activities progress.

12.8.

Additional documents may be required individually, depending on the specific
case.

12.9.

During the witnessing, the GSTC assessor(s)' activities are restricted to those of anobserver without influencing the conduct of the conformity assessments by the
CB's audit team. The assessor(s) will not directly ask CB’s client questions nor
provide any opinions to the audit team or client at any time. However, access tothe client's documentation reviewed by the audit team shall be promptly
provided to the GSTC’s assessor(s) upon request.

12.10.

Witnessing results will be delivered to the CB’s audit team during the official
closing meeting between the GSTC and the CB, including findings (if applicable).
NOTES: The closing meeting will not include the CB’s client
12.10.1. The GSTC assessment team may request and review the completed audit
report and then confirm the results of the witnessing.

12.11.

Certain types of CB audits may not be suitable for an Initial witnessing, and GSTC
may reject them upon justification.

12.12.

If the required witnessing does not proceed by the due date, GSTC may dismiss
the application or initiate an accreditation scope reduction or withdrawal
process. However, the CB can officially submit a reason for postponing thewitnessing to GSTC, and the due date may be extended for an additional 3months or longer only if the reason is proven valid.

12.13.

The classification of the possible witnessing findings and the corrective measures
to be taken by the CB are listed in Table 1. For NCs, the assessment team shallestablish a deadline for submitting corrective actions and/or corrective actionplans by agreeing with either of the two options until the witnessing is completed.

2412.13.1. In order to proceed with the subsequent assessment in the sequence, allmajor NCs from the preceding assessment shall be closed. Minor NCs are
not required to be closed in order to proceed, but CBs shall have a plan
approved by GSTC, including an Action Plan or RCA and an indication of
how and when these will be addressed.
12.13.2. The CB shall promptly address any requests for clarification, additional
documents, and/or information related to any NCs within the deadlines
specified by GSTC.
12.14.

Impact of witnessing results. If the NC found by the witnessing is deemed to be asignificant deficiency for the CB's conformity assessment activities, then GSTC cantake actions such as reassessment, follow-up assessment, additional witnessing
activities, rejection of accreditation application, suspension, or withdrawal ofaccreditation as determined necessary.
12.14.1. The CB shall complete the corrective action and submit the results to
GSTC within the time limit agreed upon with the evaluation team asprovided in Table 1.
12.14.2. If the assessment team finds that the corrective action submitted by the
CB is not satisfactory, it will require submission of additional corrective
action or taking corrective action with one more chance within a 30-day
deadline. If the result of the additional corrective action is not submitted
within the specified period, or if the additional corrective action is notsatisfactory, GSTC can discontinue the accreditation process and takemeasures such as rejecting the accreditation application or sanctions.
12.14.3. In case the assessment team cannot reach a conclusion on a finding, theteam shall seek clarification from the GSTC Secretariat.

Table 5. Purpose and timing per type of the witnessing

25

Type

Purpose

Initial Witnessing

Initial accreditation

TimingTypically within 3 months from the end date of officeassessment for initial accreditation, but the assessment
schedule will be agreed upon between GSTC and theCB.

Accreditation scope

Typically within 3 months from the end date of office

extensionassessment for accreditation scope extension, but theassessment schedule will be agreed upon between
GSTC and the CB.

Regular Witnessing

Periodic surveillance

Until the end of the due date of the surveillance cycle.

Accreditation renewal

Until 1 month before the expiration date of therecognition validity period.

Occasional

To confirm CB’s overall

Anytime when applied by CB, within a valid period ofWitnessing

competence for its

accreditation.

accreditation scope
Additional

If the result of witnessing

Additionally conducted once after the previous

Witnessing

does not confirm

witnessing.

adequate competence

13.

Reassessment and Follow-up Assessment
13.1.

Reassessment
13.1.1. If an assessment team comes across a critical NC during their assessment,
which makes it impossible for them to continue, they will immediately
inform the CB and discontinue the assessment. In such a case, GSTC will
arrange for a partial or full reassessment, per the guidelines given in Table
6.
The

fees

chargedfortheaccreditation

discontinuance shall be paid by the CB.

26

processes prior to the13.1.2. If the reassessment is not made within the time limit, even though theassessment has been discontinued due to the conditions listed in Table 6,
the accreditation application may be rejected, or existing accreditation
may be suspended or withdrawn.
13.2.

Follow-up assessment
13.2.1. Follow-up assessment is performed to confirm additional information that
couldn’t be confirmed or confirmed by regular assessments. Thisevaluation will follow the objectives and methods listed in Table 7 below.
13.2.2. If the CB provided the cause for a follow-up assessment, the fee iscovered by the CB.

Table 6. Classification, conditions, and methods of reassessment
Classification

Conditions

Reassessment timing and methods

PartialFor a specific accreditation standard or

Reassess the requirements or scope

reassessment

scope that affects a part of the system ofof the nonconforming part after one

the CB:month from the assessment-

these requirements are not fully

discontinuance and within threeaddressed; andmonths thereafter.

the part of the conformity
assessment system concerned can
not be validated.

Full reassessment

For a specific accreditation standard or

Reassess the requirements or scope

scope that affects a part of the system ofof the nonconforming part after

the CB:

three months from the assessment-

these requirements are notdiscontinuance and within threeaddressed at all; andmonths thereafter.

the part of the conformity
assessment system concerned can
not be validated.

Note: The reassessment schedule may be determined by agreement between GSTC and the CB.

27

Table 7. Objective, method, and duration/frequency of follow-up assessments
Objective
To confirm the validity of theresults of the corrective action
submitted by CB for any

MethodDesk assessment at the GSTC office

N/A

Office assessment at the CB

0.5 ~ 1.0 LD*(determined by GSTC)

nonconformities found during
the assessment process
To review the potential impactof CB’s reported changes

Duration/Frequency

Witnessing the CB client

Depending on CB’s audit plan

Desk assessment at the GSTC office

N/AFirst visit to the CB

0.5 LD

Additional visit to the CB

1.0 ~ 2.0 LD(determined by the first visit)

Responding to the decision of
the GSTC Assurance Panel

Office assessment at the CB

1.0 ~ 2.0 LD

Witnessing the CB’s client

At least once (depending on
the CB’s audit plan)

To confirm validity of the results

Office assessment at the CBof the corrective action
against sanctions imposed

0.5 ~ 1.0 LD(determined by GSTC)

Witnessing the CB’s client

Depending on CB’s audit plan

Note: No charge of assessment fees for the desk assessment at the GSTC office.
* LD(Labor Day) is the time spent on the assessment task per the GSTC Assessor.

14.

Reporting Assessment Result
14.1.

For all types of assessments, the SOF shall be submitted to the CB no later than
two weeks after the closing meeting. The report shall contain comments on
conformity and identified nonconformities.

14.2.

The CB shall have one week to file EOF to the GSTC.

14.3.

Each report undergoes a Technical Review (TR) that might result in modificationof the grading and/or wording of SOF. Any changes shall be reported in the final
Assessment Report. This process might last up to three additional weeks.

2814.4.

GSTC shall provide the final Assessment Report to the CB within 42 calendar daysof each assessment’s closing meeting.

14.5.

The CB shall return the Assessment Report to the GSTC after having filled it out
adequately with Root Cause Analysis, Corrections, and Corrective Actions.
Additional information can be found in the GSTC Findings Procedures.

PART 4: ACCREDITATION DECISION-MAKING
15.

Accreditation Decision-Making
15.1.

GSTC makes accreditation decisions for initial accreditation, extension/reductionof accreditation scope, and suspension/withdrawal of accreditation based on
the result of accreditation assessments and review of other related information.

15.2.

GSTC operates the Assurance Panel (AP) consisting of external professionals inorder to maximize our objectivity and impartiality in the accreditation
decision-making process.

15.3.

The AP is responsible for the following decisions:a. initial accreditation;b. accreditation renewal (reaccreditation);c. extending/reducing technical scope; andd. sanctions, including withdrawal and suspension.
15.3.1. When rendering the accreditation decision, the AP serves as arepresentative of GSTC, and the decision is thereby ascribed to GSTC. No
legal or contractual relationship is established between the AP and theCB.
15.3.2. The AP is granted access to all assessment reports and nonconformities(NCs) issued, including those from both GSTC and the CB's responses to
the NCs.

29

15.3.3. An accreditation decision made by the AP is grounded in the findingspresented in the Accreditation Report, prepared by the GSTC assessment
team. While the Accreditation Report may provide recommendations on
howtoproceed,itisessential

tounderscore

that

any

such

recommendations are advisory in nature and do not impose binding
obligations on the AP.
15.4.

Other accreditation decisions, which do not necessitate an Accreditation Report,
are delegated as follows;
15.4.1. Decisions regarding the maintenance of accreditation are delegated to
the Assurance Director (AD).
15.4.2. Decisions regarding the extension or reduction of geographical scope aredelegated to the AD.
15.4.3. Decisions regarding the extension or reduction of technical sub-scope aredelegated to the AD.
15.4.4. Decisions where the CB voluntarily requests a reduction of scope,suspension, or withdrawal of accreditation are delegated to the AD.
15.4.5. Other decisions, such as pausing or terminating the accreditation process,can occur during the accreditation cycle or assessments and can bemade by the AD.

15.5.

If a major NC emerges during the accreditation assessment or is subject toinvestigation during a renewal process, the AP review will be delayed until theinvestigation concludes. The CB's accreditation will remain in effect throughout
this period.

15.6.

The AP shall convey its decision to the GSTC assessment team within 30 calendar
days of receiving the Accreditation Report. GSTC shall inform the CB of thisdecision in writing within 5 calendar days of the AP decision, providing a copy ofthe final Accreditation Report.

30

15.7.

For all accreditation decisions, GSTC reserves the right to stipulate additional
requirements and conditions for the CB to address and mitigate ongoing risks to
the integrity of their accreditation.

15.8.

The CB may appeal the accreditation decision in accordance with the GSTC
Grievance Procedure for Accreditation.

15.9.

In the event that GSTC fails to adhere to a procedural provision, it does notinvalidate an accreditation decision. The validity of the decision remains intact
despite any procedural shortcomings.

15.10.

If the accreditation cycle expires before the completion of the decision-making
process due to the CB's failure to the conformance demonstration, the CB shallbe suspended. GSTC may lift the suspension without the AP’s involvement once
the CB complies with the NCs, allowing the reaccreditation process to continue.

15.11.

If the accreditation cycle expires before the completion of the decision-making
process due to reasons beyond the control of the CB, the CB's accreditation willremain valid until further notice by GSTC.

16.

Accreditation Information
16.1.

Accreditation is granted in the form of an Accreditation Certificate, signed by the
GSTC CEO, with general requirements.
16.1.1. The AP's accreditation decision will be publicly posted on the GSTC
website.
16.1.2. All accreditation decisions take effect on the date of notification.
However, in the case of an accreditation decision involving a registration
fee request, such as an initial or renewal accreditation, an accreditation
certificate will be issued after the required fee is paid in full.

16.2.

Requirements for the Certificate of Accreditation:31

16.2.1. The certificate includes the GSTC logo, Name and address of the CB,
unique identification number, Scope of Accreditation granted, Standard
used for the Certification, and Accreditation Period.
16.2.2. The certificate belongs to GSTC. A digital copy of the certificate is
distributed to the Accredited CB through email and is made publicly
accessible on the GSTC website.
16.2.3. The CB shall ensure that all claims related to accreditation fall within thescope of the GSTC Accreditation Certificate.
16.3.

The CB shall only use the GSTC logo and the GSTC Accreditation Symbol as
outlined in the policy of the GSTC Certification Body Licensing Agreement.

16.4.

Once the certificate is issued, GSTC will retain the database for market access,and clients will be permitted to use the logos on their website and in theirorganizational operations in accordance with the Logo Usage Procedure.

16.5.

Renewal of accreditation per scope
16.5.1. Accreditation for the CBs certifying hotel/accommodation and tour
operator is renewed every 5 years following a reaccreditation assessment
and accreditation certification decision, which must occur before thecurrent cycle expires.
16.5.2. Accreditation for the CBs certifying tourism destinations is renewed every 2
years

followingareaccreditationassessment

andaccreditation

certification decision, which shall occur before the current cycle expires.
16.6.

A new certificate is only issued if there is a change in the CB name or address.
Regarding geographical or technical scope changes, only the certificate will be
updated accordingly.

16.7.

If the applicant CB cannot achieve the accreditation within 2 years of GSTC
receiving the application, GSTC shall halt and cancel the accreditation process.
A complete reapplication may be necessary in such cases.

32

33

PART 5: ACCREDITATION CYCLE
17.

Periodic Surveillance Assessments
17.1.

Periodic surveillance is conducted according to the prescribed timing andfrequency by combining desk assessment, office assessment, and witnessing, asshown in Table 5.

17.2.

Each desk assessment, office assessment, and witnessing follow Sections 10-12 inthis document.

17.3.

Desk assessment may be conducted only when there are significant changes
that affect CB's conformity assessment system.

17.4.

The first HO surveillance assessment should be carried out within 6 months after
the Initial accreditation.

17.5.

For every surveillance assessment, GSTC shall include a conclusion in the final
Assessment Report indicating whether the evidence supports the continuation,suspension, or reduction of accreditation.

17.6.

Annualsurveillance assessment includes office and witness assessments.

However, other assessments such as desk or follow-up assessments may apply as
considered necessary by GSTC to confirm that the CB is operating in accordancewith the Accreditation Procedure and GSTC Accreditation Manual.
17.7.

A preliminary surveillance program for the accreditation cycle shall be provided
to the CB at the beginning of each accreditation cycle. This program will outline
the anticipated total duration for office assessments and the expected numberof witnessing or compliance assessments for each program. These estimates do
not cover expenses, travel time, or Assessors' days.

34

17.8.

Moreover, a revised annual assessment plan for the upcoming surveillance year
shall be provided to the CB at the beginning of the accreditation stage.This plan
may be modified according to the GSTC Surveillance and Sampling Procedure.

17.9.

GSTC will publish announcements of surveillance assessments for accredited CBs
via email and conduct Stakeholder Consultations for certain assessment types. If
stakeholders' comments are received, GSTC considers them during theassessment and provides responses in the Assessment Report, ensuring theconfidentiality of stakeholders.

17.10.

GSTC may conduct an additional assessment beyond the regular GSTC
surveillance assessment program to investigate incidents and/or complaints,
review the outcomes of consecutive assessments, or address other circumstances
deemed necessary by GSTC.

17.11.

In addition to scheduled surveillance assessments, GSTC reserves the right toconduct unannounced inspections when concerns arise regarding heightenedrisk, potential violations, or neglect of accreditation requirements.

17.12.

The CB shall ensure that GSTC can carry out the witnessing and complianceassessments on a sample of the CB's clients as selected by GSTC. Additional
information about the selection criteria and scope can be referenced in the
GSTC Witnessing and Compliance Assessment Procedure.

17.13.

In cases where justification exists, intervals for Head Office assessments may be
extended. During the intervening year without a Head Office assessment, the CB
shall be asked to submit documentation for compliance with GSTC requirements,
including Internal Audit Report and Management Review Minutes. Moreover, theCB shall notify GSTC of any changes to the organization's Quality Management
System. GSTC reserves the right to request additional information at any point in
time.

35

17.14.

As periodic surveillances are designed to check whether the CB consistently
meets the GSTC Accreditation requirements, the results are used to determine
whether or not GSTC Accreditation is able to be maintained.
17.14.1. GSTC Accreditation may be suspended or withdrawn if the assessment
reveals a significant violation of the accreditation requirements or if any
NCs have not been properly addressed.

17.15.

GSTC Accreditation may be invalidated if the assessment is not completed within
the validity period of the accreditation or the periodic surveillance cycle andtime limit set by GSTC due to the delay of certain assessment steps.
17.15.1. The CB shall ensure all applicable assessments are completed within thescheduled periodic surveillance cycle. A sanction may be taken if theassessment is not completed in time or there is no valid justification for
delay.

18.

Maintaining Accreditation
18.1.

The accredited CB shall conform to the requirements for the responsibility of theaccredited CB listed in Clause 18.1.1 below to maintain its accredited status.
During the accreditation cycle, GSTC will conduct a series of surveillance
activities to confirm the continuous effectiveness of the GSTC Accreditation.
18.1.1. Responsibilities of the accredited CB
a. Continuous conformity to the GSTC Accreditation requirements: The CB
shall ensure its continuous conformity to the recent version of GSTC
Accreditation

requirements applicable to its accreditation scope,

including any changes or additions.
b. Cooperation with GSTC’s follow-up activities: GSTC conducts follow-up
activities to confirm whether the accredited CB is consistently complying
with accreditation requirements, and the CB is responsible for ensuring36

that the CB continues to comply with accreditation requirements byactively cooperating with GSTC's follow-up activities.
c. Cooperation with GSTC’s responses to the complaints and appeals raisedby the CB’s clients: The CB’s stakeholders may file a complaint or appeal
to a CB or to its conformity assessment activities, in which case GSTC will
follow the complaints and appeals handling procedures outlined in the
GSTC Grievance Procedure for Accreditation. The CB shall immediately
submit a record of action for all disputes, complaints, and appeals raisedby their stakeholders, including certified organizations.
d. Reporting required information: The CB shall report information requested
by GSTC. This reporting includes information on changes in the CB and theperformance of conformity assessment activity accredited by GSTC.
e. The CB shall give to the GSTC immediate notice of any changes in thestatus, operating activities, and relevant personnel that might impact
accreditation.
f.

Accreditation fee payment: A CB applying for or maintaining a GSTC
Accreditation shall pay the accreditation fees charged by GSTC basedon the GSTC Accreditation Fee Schedule.

18.2.

GSTC’s regular surveillance activities consist of periodic surveillance assessments
and additional follow-up or special assessments conducted if required. Other
than surveillance activities described above, GSTC can also conduct special
surveillance

activities

such

as

requestsfordocumentsorinformation,

investigations, visits, and interviews if deemed required.
18.3.

If an accredited CB is applying for renewal of GSTC Accreditation before its
validity expires, GSTC determines eligibility for its accreditation renewal throughformal reassessments.

37

19.

Reaccreditation Assessment
19.1.

The purpose of the reaccreditation assessment is to renew the accreditation
cycle, validate the competence of the CB, and comprehensively evaluate the
CB's management and Certification System, taking into account all assessment
knowledge and information gathered during the accreditation cycle.

19.2.

Reaccreditation assessment is conducted by combining desk assessment, officeassessment, and witnessing.

19.3.

A reaccreditation assessment for the CB should begin around 9 months prior to
the end of the current accreditation cycle for CBs conducting certification basedon GSTC Industry Criteria and 4 months prior to the end of the current
accreditation cycle for CBs conducting certification based on GSTC Destination
Criteria. The date of the closing meeting for the reaccreditation HO assessment
serves as the deadline for addressing NCs requiring a response from the CB
before renewing the accreditation cycle.
19.3.1. All major NCs identified during the assessment up to and including thisdate shall be closed;
19.3.2. Other open NCs shall not hinder the reaccreditation process unless theyraise significant doubt about the CB's competence to carry out
certification activities or present a risk to the integrity of certification
decision-making.

19.4.

Once all major NCs are closed, GSTC shall prepare the accreditation report for
the AP.

19.5.

The procedures for accreditation decision-making and notice of the decision are
outlined in Sections 15 and 16.

38

20.

Changes in Accreditation
20.1.

GSTC will issue a new accreditation certificate if there are changes in theinformation specified on the certificate or if there is a matter that has a significant
effect on the performance of the accredited conformity assessment activity.

20.2.

Types of changes in accreditation are as follows:a. Changes in CB information: changes in the legal status, ownership,organizational structure, management system, etc. of the CB.
b. Changes in CB accreditation information: changes in accreditation
scope, etc. of the CB.
c. Request for a temporal pause of CB’s accredited activity.

20.3.

CBs shall report to GSTC within 30 days of any changes to the following CB
information, including the CB’s Affiliate Office(s).
a. legal statusb. top representative, directors, or shareholdersc. important policies or procedures, including certification fee schedule andcertification labor days
d. name, postal address, website, telephone number, etc
e. any changes in a. to d. (listed above) for permanent offices conducting
key functions (see Table 4)f.

countries in which the CB operates from a fixed office location (Affiliate
Office) or has remote personnel that performs any certification activities

g. new or revised contracts with foreign entities or subsidiaries that perform
any certification activities
20.3.1. Failure to notify GSTC of the changes in a timely manner may result insanctions.

3920.4.

If a CB intends to apply for an extension of the accreditation scope, GSTC will
follow the procedure in Section 21.

20.5.

If a CB intends to apply for a voluntary reduction of the accreditation scope,
GSTC will follow the procedure in Section 22.
20.5.1. If GSTC determines that the request received has a significant impact on
the CB's accredited conformity assessment activity, GSTC may conduct afollow-up assessment as described in Section 13.
20.5.2. After the reduction process is completed, GSTC will announce the nameof the CB and the voluntary accreditation reduction on the GSTC website.

20.6.

If a CB wishes to withdraw its GSTC accreditation voluntarily, it must pay any
outstanding accreditation fees and follow an official process with GSTC.

20.7.

If a CB requests a temporary pause, GSTC will disclose the CB's name,accreditation scope, and duration of the pause without the AP's decision.

40

PART 6: EXTENDING AND REDUCING ACCREDITATION
21.

Scope Extension
21.1.

A CB may apply for technical and geographical scope extensions at any time
during the accreditation cycle.

21.2.

Applications shall be submitted directly to GSTC at accreditation@gstcouncil.org.

21.3.

Applications for scope extensions may be considered during scheduled
surveillance office assessments provided they are submitted to GSTC at least 90
calendar days prior to the planned assessment.

21.4.

After the application has been reviewed, GSTC shall determine the duration andtype of assessment needed.
21.4.1. The witnessing shall be required for a technical scope extension.
21.4.2. Forageographicalscopeextension

GSTC

will

requirefurtherdocumentation for sufficient resources such as personnel, language,
management system, affiliate office or subcontractor, arrangement tocover potential liabilities from conformity assessment activities in the newly
proposed countries, etc. Depending on the evaluation of resources,
additional conditions or assessments may be required.
21.5.

Decisions regarding scope extensions will be handled as follows:
21.5.1. For a technical scope extension, the Accreditation Report shall be
prepared for the AP per Section 15.
21.5.2. For a technical sub-scope extension, the AD shall take the decision
without the AP’s involvement.
21.5.3. For a geographical scope extension, the AD shall take the decision
without the AP’s involvement.

41

21.5.4. Following a positive decision on the scope extension, GSTC updates thecertificate on the website and directly provides the CB with the revised
version containing the new technical and/or geographical scope.

22.

Scope Reduction
22.1.

A reduction in technical and/or geographical scope may be recommended by
GSTC or may be voluntarily requested by CBs.

22.2.

GSTC may recommend a scope reduction to the CB based on findings fromsurveillance or reaccreditation assessments or other incidences of identified legal
non-compliance.
22.2.1. Decisions for technical scope reduction shall be made by the AP basedon the Accreditation Report and recommendation from GSTC.
22.2.2. Decisions for geographical scope reduction shall be made by the AD
without AP’s involvement.

22.3.

The decision of the CB to voluntarily reduce technical or geographical scopemust be communicated to GSTC with a minimum of 3 months' notice before theintended effective date of the scope reduction.
22.3.1. The CB may reapply for scope extension at any time by following theprocess outlined in Section 21.

42

PART 7: SUSPENSION, WITHDRAWAL, AND SANCTIONS
23.

Sanctions23.1.

If the CB violates accreditation requirements or accreditation procedures oris/has been in breach of the terms of the GSTC Certification Body Licensing
Agreement (CBLA), GSTC shall initiate its procedures to impose a suitablesanction in order to ensure the credibility of the GSTC Accreditation and its
accredited conformity assessment activities. It will be under GSTC’s discretion to
pursue legal rights under applicable laws or signed Agreements with the CB

23.2.

The types of sanctions that may be imposed on accredited CBs include warnings,
suspensionofaccreditation,

withdrawalofaccreditation,and intensive

surveillance. Table 8 outlines the specific types of sanctions that correspond toeach violation.
23.3.

The CB shall analyze the cause(s) that led to the sanction so that GSTC may
address or eliminate it. If this is not the case, a more severe sanction may result.

23.4.

In cases of alleged fraud, GSTC will provide the accused entity with a summary of
the accusations (Cause Notes). The GSTC shall allow a 10-day window for the CB
to submit evidence refusing the claims before enforcing any sanctions.

23.5.

The CB shall pursue actions to protect the Scheme's integrity. This may involve
withdrawing or restricting certification as deemed necessary or as requested by
GSTC in instances where evidence of fraud is identified or if fraud allegations at
the Certified Organization(CO) level cannot be refuted. Non-compliance withthis directive may lead to sanctions imposed by GSTC as per Section 23.

23.6.

If a CB has been sanctioned within two years due to the same violation,
accumulated sanction criteria will be applied based on the number of violations.
However, if a CB is suspended for over a month’s period twice in one year,43accreditation will be withdrawn immediately, disregarding two years ofaccumulation.
23.7.

If a conformity assessment is proven fraudulent by GSTC’s assessment orinvestigation, the responsible CB must report its determination to GSTC, such as
cancellation or reaudit, etc., according to its documented procedures. In thiscase, the conformity assessment fee cannot be charged by the CB to theaudited organization in case of fraud in the assessment. The CB cannot demand
any charges from the object organization of that conformity assessment.

23.8.

The suspension period will not exceed three months in principle, but it may
increase depending on the decision of the AP. Once decided, the suspension isvalid during the period even if the cause of suspension is resolved before the endof the period. Accreditation will be withdrawn if the suspended CB, without
reasonable excuse, cannot prove to GSTC that the cause of suspension is
resolved or cannot meet the lifting conditions the AP determined.

23.9.

Should suspension occur, the CB's ability to deliver services within their accredited
scope will be temporarily restricted. This can apply to either the entire scope or a
specific part of it. The precise details and timeframe of this restriction shall beclearly outlined in the suspension notice from GSTC
23.9.1. Suspension permits the CB to continue audits for initial and recertification
purposes, but they shall not issue any new accredited certifications or
scope extensions within the suspended scope unless the certification
process commenced prior to the suspension date and the CB has
secured prior written approval from GSTC.
23.9.2. The CB shall not contract a new client for the certification of thesuspended scope.
23.9.3. The CB shall not be able to apply for a new scope extension.
23.9.4. Annual fees shall be paid normally during the period of the suspension.

44

23.9.5. For assessment-related suspensions, the GSTC will not inform the CB about
the possible suspension before sending the final assessment report to theCB.
23.9.6. For non-assessment-related suspensions (e.g., not responding to the Major
NCs), the CB shall receive a formal notification with the intention tosuspend and the beginning of the suspension process.
23.9.7. Failure to pay an invoice and its accumulated interest within 120 calendar
days (90 days past the due date) from the invoice date may result in
GSTC directly suspending the CB's accreditation without the involvementof the AP. For applicant CBs, the application process shall be suspended.
GSTC will formally notify the CB of the suspension, which will also be
published on the GSTC website.
23.9.8. For each suspension decision, except for 23.9.8, GSTC will prepare theAccreditation Report for the AP. This report should explain the reasonsleading to suspension, provide a justification of the proposed scope forsuspension, outline the conditions for lifting the suspension, and include
additional details or information necessary for the recommendation.
23.9.9. Prior to the report being sent to the AP, the CB will have the opportunity to
file the EOF within 10 calendar days.
23.9.10. The decision of the AP shall be issued within a time period of 30 calendar
days after receiving the report.
23.9.11. Within 5 calendar days after the decision made by the AP, GSTC shallnotify the CB regarding the suspension in writing. This should include:a. effective date of suspension;b. duration;c. reason;d. scope and condition;45

e. any other additional information or action; andf.

deadline for conformance required by the CB.

23.9.12. The GSTC Grievance Procedure for Accreditation is applied for appealing
the suspension decision.
23.9.13. GSTC shall update the record of the accredited CB on the website andpublish an announcement along with a brief summary explaining the
grounds for suspension. The CB will be provided with an opportunity toreview the announcement before publication.
23.9.14. The suspension shall be in effect for a maximum duration of 3 months. The
suspended CB may submit a request for an extension of this duration,
providing a clear justification to GSTC. Upon providing acceptablejustification, the AD shall grant approval for the extension.
23.9.15. Failure to adequately address the issues that resulted in the suspension
within the set-out deadline serves as a basis for initiating the withdrawal ofaccreditation.
23.9.16. The suspension shall be lifted once GSTC has verified, through anassessment, that the conditions outlined in the notice of suspension havebeen appropriately fulfilled.
23.9.17. Upon receipt of payment, suspensions shall be lifted. This decision does
not require the preparation of an accreditation report for the AP.
23.9.18. For lifting suspensions, an accreditation report shall be prepared andsubmitted to the AP to issue a decision within 10 calendar days of receiptof the report. This report will not be shared with the CB to file the EOF.
23.9.19. Within 5 calendar days of the decision of the AP, GSTC shall inform the CB
in writing once the suspension is lifted. GSTC shall update the record of theaccredited CB on the GSTC website.

46

23.10.

GSTC shall continue to conduct surveillance assessments for the CB and its clients
throughout the period of the CB suspension.

23.11.

Withdrawal. A CB shall be subject to a withdrawal of accreditation based on theviolations listed in Table 8.
23.11.1. GSTC shall prepare the Accreditation Report for the AP, detailing therationale behind the withdrawal and providing any additional information
deemed essential for the recommendation.
23.11.2. Prior to the Accreditation Report being sent to the AP, the CB will have 10
calendar days to submit the EOF to GSTC regarding the Accreditation
Report within 10 calendar days.
23.11.3. Within 30 calendar days of receipt of the Accreditation Report, the APshall communicate the decision to GSTC.
23.11.4. Within 5 calendar days, the CB will be notified in writing of the decision
regarding the withdrawal. The notice shall include the following:a. The effective date of the withdrawal;
b. A clear statement of the reason for the decision; andc. The Accreditation Report.
23.11.5. The CB may appeal the withdrawal decision using the GSTC Grievance
Procedure for Accreditation.
23.11.6. GSTC shall publicize the notice of the withdrawal decision on the GSTC
website.
23.11.7. Upon confirmation of the withdrawal of accreditation or termination of
the GSTC service agreement, the CB shall:a. immediately cease all the GSTC certification activities.
b. provide a list of all clients affected, including their contact
information for each client, to GSTC within 5 calendar days.

47

c. inform all subcontractors, affiliates, partners, and clients in writingof the Withdrawal of Accreditation and its associated implications
within 15 calendar days. This includes detailing requirements forclients to return certificates or outlining the process for transitioning
to another CB, among other relevant information.
d. provide evidence to GSTC of having contacted all of the above
within 5 calendar days of the contact.
e. cease referencing its accredited status and discontinue using the
GSTC logo.
f.

return the Accreditation Certificate to GSTC if a printed copy was
obtained.

g. Certificates issued by the CB at the time of the withdrawal may
remain valid for a period of 90 days, subject to confirmation by
GSTC. This timeframe allows COs to enter into a new agreementwith another accredited CB. The AD holds the authority to extend
this transition period if necessary.
23.11.8. Once a GSTC Accreditation has been withdrawn, it cannot be reinstated.
If the CB wishes to be accredited again, it shall initiate the accreditation
process anew from the beginning.
23.11.9. For a period of 24 months, GSTC may choose not to accept applications
from a CB whose accreditation has been withdrawn or from new entities
that are substantially staffed with personnel associated with thewithdrawn accreditation CB. This period of non-acceptance is typically
imposed to allow for a cooling-off period and to ensure that theaccreditation process remains independent and unbiased.

Table 8. Violations, sanctions, and potential situations leading to sanctions48

Sanctions
Item

1

Violations

CB has been accredited or

1st

2nd

3rd

4th

violation

violation

violation

violation

Withdrawal

Withdrawal

maintained accreditation falsely or in
fraudulent ways.
2

Not conducting corrective actions tothe cause of suspension without any
valid excuse before the suspension
period ends.

3

Conducting audits other thansurveillance or issuing certificatescontaining the GSTC logo or GSTC
Accreditation mark during thesuspension period.

4

Making, retaining, or controlling fakeaudit records without conducting
the audit.

5

6

Impartiality or independence is not

Suspension

Suspension

assured by the CB’s organizationalfor 1 to 3

for 3 months

structure and operation.

monthsConducting certification activity
outside the GSTC accreditation
scope.

7

CB’s auditor audits an organization
to which he/she provided
consultancy.

8

Fake audit records have been
made, retained, or controlled as if
the planned audit was completed
when only a part of the planned
audit was conducted.

9CB gives GSTC false information orconceals, minimizes, or falsifies partof the information in response to49

GSTC’s request.
10

Issuing a certificate for an

Suspension

Suspension

Suspension

Withdrawalorganization whose management

for up to 1

for 1 to 3

for 3 months

system or operations aremonthmonthsWarning

Suspension

Suspension

not meet competency requirements

for up to 1

for 1 to 3

and conducting audits.

month

monthsLack of collaboration with

Intensive

Suspension

Suspension

scheduling or undergoing the GSTC

Surveillance

for 1 to 3

for 3 to 6

monthsmonthsnonconforming to relevant
certification requirements.
11

Making, keeping, or manipulating
false records in cases other thanitems 4 and 8.

12

Providing consultancy by CB’s
employee or auditor against
consultancy prohibition rules in cases
other than item 7.

13

Rejecting or hindering GSTC’s
direction or supervision without any
valid excuse.

14

15

Allocating an audit team that does

assessment.
16

Withdrawal

Issuing a certificate for an
organization that is nonconforming
to the accreditation requirements.

17

Improper use of the GSTC

Suspension

Suspension

Suspension

Accreditation Logo and the GSTC

for up to 1

for 1 to 3

for 3 to 6

Accreditation Symbol (against themonthmonthsmonthsGSTC Logo Usage Procedure),
incorrect reference to thecertification scheme, or misleadinguse of licenses, certificates, logos, orclaims found in documentation orother publicity may lead toconsequences or sanctions as50

defined in the applicable usage
guidelines or agreements with GSTC.
18

Failure to submit the Root Cause

Suspension

Suspension

Suspension

Analysis, Correction, and planned

for up to 1

for 1 to 3

for 3 to 6

Corrective Actions for NCs within themonthmonthsmonthsRoot Cause Analysis, Correction, andSuspension

Suspension

Suspension

planned Corrective Actions for NCs

for up to 1

for 1 to 3

for 3 to 6

are insufficient or unsatisfactory evenmonthmonthsmonthsBreach of obligation in the GSTC

Suspension

Suspension

Withdrawal

Certification Body Licensingfor 1 to 3

for 3 to 6

Agreement (CBLA).

monthsmonthsspecified deadline.
19

after further has been requested for
the CB.
20

21

Intensive surveillance or suspension is

Intensive

Suspension

Suspension

recommended by accreditation

Surveillance

for 1 to 3

for 3 to 6

monthsmonthsWithdrawal

assessment reports, the AD, or theWithdrawal

AP.
22

Discrediting or damaging the GSTC's

Suspension

Suspension

reputation, such as making orfor 1 to 3

for 3 to 6

supporting incorrect public negative

monthsmonthsPerforming certification

Suspension

Scopeactivities/services in a region without

for 3 to 6

reductionsatisfying legal requirements such asmonthsor criticizing statements about the
GSTC system, process, and teams.
23

Withdrawal

local laws, permits, etc.
24

Not paying responsible fees to GSTC.

Warning

51

Suspension

Suspension

Suspension

for up to 1

for 1 to 3

for 3 to 6

month

monthsmonthsPART 8: COMPLAINTS AND APPEALS
24.

Complaints and Appeals
24.1.

GSTC addresses stakeholder complaints and appeals against its accreditation
activities in accordance with established procedures.
24.1.1. An appeal is raised by a CB to request reconsideration of any adverse
accreditation decision made by GSTC regarding its desired accreditation
status. Adverse accreditation decisions can include GSTC’s decisions on:a. refusal of accreditation applicationb. refusal or discontinuation of assessment progression
c. reducing accreditation scoped. suspending or withdrawing accreditation
24.1.2. A complaint is an expression of dissatisfaction related to the activities of
GSTC or of a GSTC-Accredited CB, where a response is expected. This is
not related to the GSTC Accreditation decision.

24.2.

Any officially submitted complaint or appeal shall be dealt with based on thefollowing procedures:
24.2.1. Complaints and Appeals: GSTC Grievance Procedure for Accreditation

52

PART 9: OTHERS
25.

Transfer of Accreditation
25.1.

If an accredited CB (original CB) desires to transfer its accreditation to another CB(recipient CB), different approaches shall be applied as follows:
25.1.1. The CBs involved shall inform GSTC of any significant transfer events.
25.1.2. In the event that the original CB decides to reduce its scope or withdraw
accreditation, the applicable procedures in Section 22 shall be followed
after completing the transfer.
25.1.3. If the recipient CB is already accredited by GSTC for the relevant
geographic and technical scope, the CB may coordinate the transfer ofcertificates and contractual agreements with its clients directly. A formaltransfer of accreditation may not be necessary in such cases.
25.1.4. If the recipient CB is not accredited by GSTC, the CB shall initiate the GSTC
Accreditation application process to proceed with transfer.
25.1.5. If the recipient CB is partially accredited (e.g., only needs to extend atechnical scope), the recipient CB shall apply for a scope extension unlessa specific situation, as outlined below, is applicable.

25.2.

The recipient CB must notify all relevant stakeholders, including clients,
subcontractors, and regulatory authorities, of the transfer of accreditation andprovide continued service quality and compliance.

25.3.

The original CB shall provide the recipient CB with all relevant documentation
and records pertaining to the transferred accreditation within a specified
timeframe.

25.4.

GSTC may implement a streamlined process for transferring the accreditation incase where the recipient CB:

53

25.4.1. shares common ownership and control with the original CB, or
25.4.2. has been a subcontractor of the original CB, managing a substantial partof the certification activities under GSTC Accreditation for the preceding
18 months.
25.4.3. Details of this process shall be communicated with the CB individually in
written form as needed.
25.5.

For minor changes (e.g., change of CB’s name) that do not involve the transfer ofaccreditation to another legal entity, GSTC has the discretion to acknowledge
these changes based on the documentation submitted.

25.6.

Closing all open NCs shall be under the responsibility of the recipient CB.

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