CERTIFICATION PROCESS

Certification Process Overview

The certification process involves several essential stages, including inquiries, quotations, application submission, Stage I and Stage II audits, and surveillance visits. Re-audits are also integral to ensuring ongoing compliance. The process can be summarized as follows:

• Certification Agreement

Upon acceptance of the quotation, a certification agreement is signed between ISO CERT INTERNATIONAL and the client. This agreement formalizes the commitment of ISO CERT INTERNATIONAL to provide certification services for the client’s management system, in compliance with the relevant international standards.

• Stage 1 Audit
ISO CERT INTERNATIONAL will conduct a Stage 1 audit at the client's site to assess the adequacy of the documented management system in meeting the applicable standard requirements.
This audit will also serve to collect additional information about the client’s operations, processes, and applicable statutory and regulatory requirements, in order to support effective planning for the Stage 2 audit.
The client is responsible for resolving all observations raised during the document review and addressing any concerns or issues identified during the audit.
These resolutions must be communicated and confirmed to ISO CERT INTERNATIONAL prior to the Stage 2 audit planning.
A formal report will be submitted to the client by ISO CERT INTERNATIONAL after the Stage 1 audit.
• Objectives of the Stage 1 Audit:
1. Review of Documented Information:

Assess the client's management system documentation to verify its alignment with applicable standard requirements.

2. Evaluation of Site-Specific Conditions:

Evaluate the client's site conditions and conduct discussions with relevant client personnel to assess readiness for Stage 2.

3. Assessment of Client’s Understanding of Standard Requirements:

Review the client’s understanding of the standard, with a particular focus on key performance indicators, significant aspects, core processes, defined objectives, and the overall operation of the management system.

4. Scope and Resources Review:

Obtain necessary details regarding the scope of the management system, including:

  • The client’s sites
  • Operational processes and equipment in use
  • Levels of control implemented, particularly for multi-site clients
  • Relevant statutory and regulatory requirements
5. Resource Allocation for Stage 2:

Review the proposed resource allocation for Stage 2 and confirm the details with the client.

6. Planning for Stage 2:

Facilitate effective planning for Stage 2 by gaining a sufficient understanding of the client’s management system and site operations in the context of the relevant management system standards or normative documents.

7. Internal Audits and Management Reviews:

Evaluate the client’s internal audit and management review processes to ensure that both are appropriately planned and effectively implemented. Confirm that the level of implementation demonstrates sufficient preparedness for the Stage 2 audit.

  • In determining the interval between Stage 1 and Stage 2, consideration will be given to the client’s need to address any concerns raised during Stage 1. ISO CERT INTERNATIONAL may also need to adjust its arrangements for Stage 2 accordingly. Should any significant changes occur that impact the management system, ISO CERT INTERNATIONAL will assess the necessity to repeat all or part of Stage 1
  • The client will be informed that the results of Stage 1 may result in the postponement or cancellation of Stage 2.
• Stage –2 Audit
  • ISO CERT INTERNATIONAL’s audit team will visit the client’s premises according to an agreed-upon plan to assess the effectiveness of the client’s management system in meeting the requirements of the applicable ISO standard. ISO CERT INTERNATIONAL will submit a formal report to the client.
  • The purpose of stage 2 is to evaluate the implementation, including effectiveness, of the client’s management system.
  • The Stage 2 audit will take place at the client’s site(s)
• Objectives of the Stage 2 Audit:
Conformity to Requirements

Examination of information and evidence demonstrating conformity with all requirements of the applicable management system standard or other normative documents.

Performance Monitoring and Review

Assessment of performance monitoring, measurement, reporting, and reviewing against key performance objectives and targets, in line with the expectations of the applicable management system standard or other normative documents.

Compliance with Statutory and Regulatory Requirements

Evaluation of the client’s management system and its performance in meeting applicable statutory, regulatory, and contractual requirements.

Operational Control

Review of the operational control over the client’s processes to ensure effective management and execution.

Internal Auditing and Management Review

Evaluation of internal auditing processes and the effectiveness of management reviews within the client’s organization.

Management Responsibility for Policies

Assessment of management’s responsibility for the client’s policies, ensuring proper leadership and accountability.

• Audit Report and Non-Conformity Report
  •  ISO CERT INTERNATIONAL shall provide a written report for each audit to the client.
  • ISO CERT INTERNATIONAL shall require the client to analyze the root cause and describe the specific correction and corrective actions taken, or planned to be taken, to eliminate detected nonconformities, within a defined time.
  • If a nonconformance is detected during audit, a Nonconformity Report shall be issued to the client.
  • For the non-conformities raised during the audit, client shall submit the correction and the corrective action (based on root cause) to ISO CERT INTERNATIONAL office within 20 working days from the last day of the audit.
  • ISO CERT INTERNATIONAL shall verify the submitted correction and the corrective action and confirm the acceptance of the same to the client.
  • Clients shall take the correction and corrective action within the stipulated date and submit the documentary evidence to ISO CERT INTERNATIONAL to verify the effectiveness of action taken and accordingly to close the non-conformances.
  • ISO CERT INTERNATIONAL shall review the corrections, identified causes and corrective actions submitted by the client to determine if these are acceptable.
  • ISO CERT INTERNATIONAL shall verify the effectiveness of any correction and corrective actions taken.
  • The evidence obtained to support the resolution of nonconformities shall be recorded.
  • The client shall be informed of the result of the review and verification.
  • The client shall be informed if an additional full audit, an additional limited audit, or documented evidence (to be confirmed during future audits) will be needed to verify effective correction and corrective actions.
  • In case of a major non-conformance, the effectiveness of action taken shall be verified at client’s site by a follow up visit or as communicated by the team leader on the closing day of the audit. This verification will be completed within 90 days from the last day of the audit.
• The ISO CERT INTERNATIONAL shall cancel the audit under the following conditions:
  •  The Client does not submit a Corrective Action Plan for the Non-Conformity raised within 20 working days as stipulated above.
  • In case of major non-conformity, the verification of effective of corrective action is not completed within 90 days as stipulated above.
• In case of certified clients ISO CERT INTERNATIONAL shall suspend the certificate under the following conditions:
  • The Client does not submit a Corrective Action Plan for the Non-Conformity raised within 20 working days as stipulated above.
  • In case of major non-conformity, the verification of effective of corrective action is not completed within 90 days as stipulated above.
• Recommendation for Certification

ISO CERT INTERNATIONAL shall recommend certification of the client’s management system, based on the following:

  • ISO CERT INTERNATIONAL has reviewed the audit reports and has accepted the recommendations of the audit team .
  • The client has submitted the correction and corrective action for the non-conformities raised within the stipulated time and ISO CERT INTERNATIONAL has accepted the same.
  • In case of a major non-conformance, the effectiveness of correction and corrective action is verified by ISO CERT INTERNATIONAL's auditors as agreed and the non-conformity either closed or downgraded to minor.
  • If the client is not recommended for certification ISO CERT INTERNATIONAL shall accordingly inform the client.
• Issue of certificate
  • ISO CERT INTERNATIONAL shall issue the certificate against the applicable standard to the client only after the closure of all the non-conformities.
  • The Certificate is the property of ISO CERT INTERNATIONAL and shall be produced to ISO CERT INTERNATIONAL as and when requested.
  • The certification will remain valid for three years from the approval date, provided the management system is maintained satisfactorily, as confirmed through regular surveillance audits.
• Surveillance Audit
  • Surveillance audits are on-site checks, but they are not full system audits. These audits will be scheduled alongside other surveillance activities to ensure that the client’s certified management system continues to meet requirements between recertification audits. Each surveillance audit for the relevant management system standard will include:
  • Internal audits and management review;
  • A review of actions taken on nonconformities identified during the previous audit;
  • Complaints handling;
  • The effectiveness of the management system with regard to achieving the certified client’s objectives and the intended results of the respective management system (s);
  • Progress of planned activities aimed at continual improvement;
  • Continuing operational control;
  • Review of any changes;
  • Verification of proper usage of the ISO certification logo or any mention of certification to ensure compliance.
  • Surveillance audits shall be conducted regularly at the client site at least once in a year to confirm that the Client’s Management System continues to conform to the requirements of the standard to which it is certified.
  • The first surveillance audit shall take place within twelve months from the last day of the stage –2 audit and failure to comply with this requirement will lead to suspension and subsequently withdrawal of certification.
  • If a surveillance audit cannot be carried out due to external factors affecting the client’s operations (e.g., employee union strike, natural calamity, etc.), the case shall be presented to ISO CERT INTERNATIONAL for a decision.
  • ISO CERT INTERNATIONAL shall submit a formal report to the client.
• Re-certification Audit
  • For any major nonconformity, ISO CERT INTERNATIONAL shall define time limits for correction and corrective actions. These actions shall be implemented and verified prior to the expiration of certification.
  • ISO CERT INTERNATIONAL shall conduct the recertification audit at least 60 days before the certification expiry to allow the client time to implement corrective actions before the certificate expires.
  • When recertification activities are successfully completed before the expiry date of the existing certification, the expiry date of the new certificate may be based on the expiry date of the existing certification. The issue date of the new certificate will be on or after the recertification decision.
  • If ISO CERT INTERNATIONAL has not completed the recertification audit or is unable to verify the implementation of corrections and corrective actions for any major non-conformity before the certification expiry date, recertification will not be recommended, and the validity of the certification will not be extended. The client will be informed, and the consequences will be explained.
  • Following expiration of certification, ISO CERT INTERNATIONAL can restore certification within 6 months provided that the outstanding recertification activities are completed, otherwise at least a stage 2 shall be conducted. The effective date on the certificate shall be on or after the recertification decision and the expiry date shall be based on the prior certification cycle.
  • The effectiveness of the management system in its entirety in the light of internal and external changes and its continued relevance and applicability to the scope of certification;
  • Demonstrated commitment to maintain the effectiveness and improvement of the management system in order to enhance overall performance;
  • The effectiveness of the management system in achieving the certified client’s objectives and the intended results of the respective management system(s).
  • The purpose of the recertification audit is to confirm the continued conformity and effectiveness of the management system, and its continued relevance and applicability for the scope of certification.
  • A recertification audit shall be planned and conducted to evaluate the continued fulfilment of all of the requirements of the relevant management system standard or other normative documents.
  • This audit shall be planned and conducted in a timely manner to allow for renewal before the certificate expiry date.
  • The recertification activity shall include the review of previous surveillance audit reports and consider the performance of the management system over the most recent certification cycle.
  • Recertification audit activities may require a Stage 1 audit if there have been significant changes to the management system, organization, or the context in which the management system operates (e.g., changes to legislation).
  • The recertification audit shall include an on-site audit that addresses the following:
• Special Audits
  • ISO CERT INTERNATIONAL shall submit a formal report to the client.
  • Changes to ISO CERT INTERNATIONAL’s certification requirements.
  • - To investigate complaints received by ISO CERT INTERNATIONAL about the client.
  • - In response to changes
  • - Follow up on suspended clients
  • Extension to the scope of certification already granted, in response to an application introduced by the client. ISO CERT INTERNATIONAL will review the application and determine any necessary audit activities to decide whether the extension may be granted. This may be conducted in conjunction with a surveillance audit.
  • It may be necessary for ISO CERT INTERNATIONAL to conduct audits of certified clients at short notice or unannounced.
  • ISO CERT INTERNATIONAL shall conduct special audits under the following conditions:
• Notice of Changes by ISO CERT INTERNATIONAL
  • ISO CERT INTERNATIONAL shall inform the client in advance of any changes to its requirements for certification and shall subsequently verify that each client complies with this new requirement. It shall necessitate a special audit in certain cases.
• Notice of Changes by the client
  • The client must inform ISO CERT INTERNATIONAL, without delay, of matters that may affect the ability of the management system to continue to fulfill the requirements of the standard used for certification. These may include changes related to,
  • - The legal, commercial, organizational status or ownership,
  • - Organization and management (e.g. changes in key managerial, decision making or technical staff),
  • - Contact address and sites,
  • - Scope of operations under the certified management system,
  • - Major changes to the management system and processes.
  • ISO CERT INTERNATIONAL will review these changes and discuss with the client to verify early that the management system continues to meet the applicable standard’s requirements.
• Maintaining Certifications
  • The Certification is maintained for a period of 3 years under the following conditions:
  • - The Surveillance Audits are conducted as planned and the client has demonstrated that it continues to satisfy the requirements of the management system standard as confirmed by ISO CERT INTERNATIONAL.
  • - All the non-conformities raised during previous surveillance are closed within the time frame agreed and correction and corrective actions for the non-conformities raised during the current audit are identified and accepted by ISO CERT INTERNATIONAL as per the specified conditions.
  • - The Internal Audit and the management reviews are conducted as scheduled and there are no issues pending.
  • - The client must maintain suitable records of customer complaints and keep the records of investigation and remedial actions taken with respect to such complaints for verification by the ISO CERT INTERNATIONAL auditors.
  • - All outstanding dues to ISO CERT INTERNATIONAL are paid
• Suspending, Withdrawing, or reducing the scope of certification
• Suspension
  • During suspension, the client’s management system certification is temporarily invalid.
  • The Suspension will be for a maximum of six months, and the suspended status of the client will be publicly available in the register of certified clients maintained by ISO CERT INTERNATIONAL at its registered office. During this period, the client must discontinue using the logo or any reference to certification in advertising materials, as directed by ISO CERT INTERNATIONAL at the time of suspension notice.
  • - The client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system.
  • - The certified client does not allow surveillance and recertification audits to be conducted at the required frequencies.
  • - The certified client has voluntarily requested a suspension.
  • - The certified client misuses the certification logo or reference to certification.
  • - Noncompliance with the submission of Corrective action.
  • ISO CERT INTERNATIONAL shall suspend certification in cases wherein:
• Withdrawal
  • ISO CERT INTERNATIONAL shall withdraw the certificate under the following circumstances:
  • - Failure of the client to resolve the issues of suspension within six months shall result in withdrawal of certification.
  • - Other reasons, such as a major legal complaint, company involvement in malpractices, loss of accreditation by ISO CERT INTERNATIONAL, etc.
  • - Client voluntarily requested for a withdrawal.
  • Upon withdrawal of certification, the client loses the certification status and must return the certificate as directed by ISO CERT INTERNATIONAL at the time of withdrawal notice.
• Reduction in scope of certification
  • ISO CERT INTERNATIONAL may reduce the client’s scope of certification by excluding parts that do not meet the requirements when the client has persistently and seriously failed to meet the certification requirements for those parts. Such exclusions will be consistent with the certification standard.
  • Upon request from any party, ISO CERT INTERNATIONAL shall provide information related to the validity of a given certificate.
• Certification and Use of Logo
While using the certification, the client must:
  • The certificates issued by ISO CERT INTERNATIONAL remain the property of ISO CERT INTERNATIONAL and must be returned when requested.
  • The client is authorized to use the certification mark or logo in advertising, as instructed by ISO CERT INTERNATIONAL at the time of certification issuance.
  • While using the certification, the client must:
  • - Comply with ISO CERT INTERNATIONAL's requirements when referring to certification status in media such as the internet, brochures, advertising, or other documents.
  • - Avoid making misleading statements about their certification.
  • - Not misuse or permit misuse of the certification document.
  • - Stop using advertising materials mentioning certification if it is suspended or withdrawn, as directed by ISO CERT INTERNATIONAL.
  • - Update advertising if the scope of certification is reduced.
  • - Not imply that a product or service is certified and ensure that the certification mark or logo does not appear on laboratory test reports, calibration certificates, inspection certificates, or product packaging to prevent the suggestion of product conformity.
  • - Not claim that certification applies to activities outside the certified scope.
  • - Not use the certification in a way that could harm the reputation of ISO CERT INTERNATIONAL or the certification system.
  • - Not use logos on visiting cards.
  • - Use of the Accreditation Body (AB) logo must follow AB and IAF regulations.
• Publicly Accessible Information
  • All other information shall be treated as confidential.
  • - The activities of ISO CERT INTERNATIONAL
  • - The requirements for certification including information on the audit processes and certification process for granting, maintaining, extending, renewing, reducing suspending and withdrawing certification.
  • - Certification status of clients through the register of certified clients maintained at ISO CERT INTERNATIONAL office
  • - The Appeal and complaint process.
  • ISO CERT INTERNATIONAL shall make the following information publicly accessible through its web site and through documents:
• Obligations of the applicant / certified organization

The applicant / certified organization shall commit to fulfill continually the requirements of certification set by ISO CERT INTERNATIONAL for the scope for which certification has been granted including adapting changes in requirements for certification as and when communicated

  • When requested the applicant / certified organization shall cooperate with ISO CERT INTERNATIONAL in the fulfillment of the requirements for certification. This shall apply to all locations included in the certification
  • The applicant / certified organization shall provide access to information, documents, and records as necessary for granting certification and maintaining certification
  • The certified organization shall allow the personnel from the accreditation body (e.g., SAAC) access to their sites and shall provide access to information, documents and records when requested by ISO CERT INTERNATIONAL
  • The certified client shall claim certification only with respect to the scope for which certification has been granted
  • The certified organization shall not use its certification in such a manner as to bring ISO CERT INTERNATIONAL into disrepute
  • The applicant / certified organization shall pay fees as determined by ISO CERT INTERNATIONAL
  • The applicant / certified organization shall inform without delay any significant changes relevant to the certification in respect of its status or its operation related :
  • - Its legal, commercial or ownership status
  • - The organization, top management & key personnel
  • - Resources and premises
  • - Scope of certification
  • - Other such matters that might affect the ability of the certified organization to fulfill requirements of certification.
• Obligations of ISO CERT INTERNATIONAL
  • ISO CERT INTERNATIONAL will make publicly available information about the status of certification granted to the certified organization. The information will be regularly updated and include:
  • - Name and address of the certified client
  • - Dates of granting certification and expiry date as applicable.
  • - Scope of certification
  • ISO CERT INTERNATIONAL will give due notice of any changes to its certification requirements, considering the views of interested parties before deciding on the precise form and effective date of the changes. After deciding on and publishing the changes, ISO CERT INTERNATIONAL will verify that each certified client carries out the necessary adjustments.