ISO Certification Process

Unlock Excellence: Top Certification Bodies for ISO Certification

ISO Certification Process The Best Of Certification Bodies, The Certification process shall consist of the following key stages.

The Path to ISO Certification: An In-Depth Look at the Certification Bodies' Process:

ISO Certification Process shall consist of the following key stages,

Application Review & Contract Review.
Initial Certification Audit: Stage 1 & Stage 2 Audit.
Certification Decision.
Continual assessment (surveillance audit).
Renewal Audit.
Suspending, Withdrawing, Extending or reducing scope of certification.

Application Review & Contract Review. ISO Certification Process

Application Receipt:

ISO Certification Process Inquiry may be receive in several forms, by telephone, letter, e-mail or Online Application. Sometimes, Innova Connect, on its own may also approach prospective clients.

Applicant Information:

We request the application organization to provide the following information in the questionnaire to enable Certification Bodies to establish the following:

The desired scope of the certification;
The general features of the applicant organization, including its name and the address of its physical location(s), significant aspects of its process and operations, and any relevant legal obligations;
General information, relevant for the field of certification applied for, concerning the applicant organization, such as its activities, human and technical resources, functions and relationship in a larger corporation, if any;
Information concerning all outsourced processes used by the organization that will affect conformity to requirements;
The standards or other requirements for which the applicant organization is seeking certification;
Information concerning the use of consultancy relating to the management system

Application Review:

On the receipt of the application questionnaire the details received shall be reviewed by Innova Connect AM for processing the certification. The review shall be conducted under Review of Application and contract review, if the same is found to be within Certification Bodies scope of accreditation, AM forwards the application to Accounts Team for Contract Review and Quotation issuance process.

Contract Review:

Accounts Team shall prepare a quotation. After the contract review based on requirements of Man Days Multi-site activities and other considerations. Estimation of man-days shall be as per Certification Bodies procedure “Contract Review”. And after obtaining approval from CB, the Accounts Team shall submit the same to the client. The matter shall be follow by the client for securing business.
If the client accepts the quotation of Innova Connect. Client will make the payment of registration fee. And on receipt of all these. AM shall be verify the relevant details of the client’s application, fee, quotation, reconfirm Contract. AM may consult OM or any other officer of Certification Bodies to carry out an accurate review. Including allocation of the scope sector of the client’s activities coming under the applied scope of registration. With the original Questionnaire to check that there is no discrepancy. Any discrepancy shall be take up with the client and differences resolved before acceptance of work.
As per contract review for Standards of ISO Certification Services is Apply. Certification Bodies shall determine the competencies need to be include in its audit team and for the certification decision.
Accounts Team /AM in consultation with CB shall proceed for finalizing the audit team. The audit team shall be appoint and composed of auditors (and technical experts, as necessary). Auditors and Technical Experts, have the totality of the competencies identified by Certification Bodies in application review. For the certification of the applicant organization, the selection of the team shall be perform. Concerning the designations of the competence of auditors and technical experts. And may include the use of both internal and external human resources. The selection of the team comprising of Auditor Team including Technical Expert are select as per Certification Bodies Procedure.

The individual(s) who will be conducting the certification decision shall be appointed ensuring appropriate competence.

Initial Certification Audit (Stage 1 Audit). ISO Certification Process

Stage 1 Audit:

Innova Connect proceeds with Initial Certification Audit (Stage-1) audit activity on completion of contract review. And acceptance for Certification Bodies Agreements. Stage 1 audit which is conduct before the Certification audit at client’s option. To provide a macro-level assessment of the status of implementation and identification of any major deficiencies. In the compliance of the documented quality system with the requirements of the certification standards. For corrective actions to be take in advance of the certification audit. It provides valuable inputs to give confidence to the clients and saves time for taking necessary corrective action, later. Stage 1 audit is complete in all cases, and it is also ensured. That the auditor signs the conflict of interest before every visit.

Stage 1 audit is intend to:

Ensure that the clients’ management system documentation meets the requirements of the applicable standard/specification.
To collect information for the planning of the stage 2 audit and determine the client’s readiness. For stage 2 audit including the interval between stage 1 and Stage 2 audits.

Stage 1 audit shall have an audit plan as per format Certification Bodies. Normally the audit shall be perform at the client’s site. In exceptional cases
stage 1 could be Carrie out without a visit (off-site). Such a decision shall be justified in the audit report, which may be base on the clients. Location,
risk consideration, previous knowledge, etc. In such a situation the client’s management shall be inform. That the planning of stage 2 audit might not be accurate.

The stage 1 audit shall be conduct on-site as per the man-days defined in the Contract Review. The audit shall start with opening meetings and shall be concluded with a closing meeting. In which the client shall be inform about the readiness for Stage 2 audit.

The audit shall be perform:

To audit the client’s management system documentation;
To evaluate the client’s location and site-specific conditions and to undertake discussions with the clients. Personnel to determine the preparedness for the stage 2 audit.
To review the client’s status and understanding regarding requirements of the standard. In particular concerning the identification of key performance or significant aspects. Processes, objectives, and operation of the management system;
To collect necessary information regarding the scope of the management system, processes and location of the client. And related statutory and regulatory aspects and compliance. (e.g., quality, environmental, legal aspects of the client’s operation, associated risks, etc.);
To review the allocation of resources for stage 2 audit. And agree with the client on the details of the stage 2 audit;
To provide a focus for planning the stage 2 audit. By gaining a sufficient understanding of the client’s management system. And site operations in the context of possible significant aspects;
To evaluate if the internal audits and management review. Are being planned and performed, and that the level of implementation. Of the management system substantiates that the client is ready for the stage 2 audit.

The OHSAS audit shall be perform:

The OHSAS management system includes adequate processes to identify the organization’s OHS hazards and determine their significance as well.
The OHS management system provides an adequate description of the organization and its on-site processes.
An overview of the applicable regulations, agreement with approving authorities has been included in the OHSAS management system. Also, if there are any OHS license requirement in the application. The relevant activities of the organization are in place.
The OHSAS management system is design to achieve the organization’s OHS policy.
To verify that at least one cycle of Internal Audit & Management Review has been conducted. And the OHSAS management system programmer is implement properly and the preparedness for the conduction of Stage 2 audit. To collect necessary information for an on-site audit of temporary sites considering the sites as per the complexity category.
To verify that the information derived from the Contract Review is complete and appropriate in all the terms. For the OHS management system and verify the multi-site sampling plan if applicable.
To collect necessary information and identify the issues which will need special attention during the stage 2 audit.
The organization has identified PRPs appropriate to the business (e.g., regulatory and statutory requirements)

The FSMS audit shall be perform:

The FSMS includes adequate processes and methods for the identification and assessment of the organizations. Food safety hazards and subsequent selection and categorization of control measures (combinations)
Food safety legislation is in place for the relevant sector(s) of the organization
FSMS implementation programmer justifies proceeding to the Stage 2 audit
The validation, verification and improvement programs conform to the requirements of the FSMS standard
The FSMS documents and arrangements are in place to communicate internally and with relevant suppliers, customers and interested parties
Additional documentation needs to be review and/or what knowledge needs to be obtain in advance.
Where? An organization has implemented an externally developed combination of control measures. The stage 1 audit shall review the documentation included in the FSMS. To determine if the combination of control measures is suitable for the organization. Was developed in compliance with the requirements of ISO 22000 and is kept up to date. The availability of relevant authorizations should be check when collecting the information regarding compliance with regulatory aspects.
For combined audits, the information gathered during Stage 1. Must include the following points (in addition to the above objectives)
- The level of integration of the organization’s management systems
- The ability of the organization’s personnel (at the time of the audit) to respond to questions. Relating to each management system standard covered by the combined audit.

ISO Certification Process At the end of audit the team leader shall prepare an audit report declaring:

Client’s status regarding readiness for stage 2 audit.
Identified areas preventing the client being deemed ready.
Areas of concern, which could be classified as non-conformity during stage 2 audit.
During stage 1 audit no non-conformities shall be identify.
In case it is conclude that the client is not ready for stage 2 audit then stage I audit shall be perform again.
Team leader then shall prepare an audit plan for stage II audit based on defined processes of the client.
Stage 1 audit findings documented and communicated to the client by the Team Leader

For most management systems. It is recommend that most parts of the stage 1 audit. Shall be execute out at the client’s premises to achieve the objectives stated above.

Stage 1 audit findings shall be record and communicated to the client. Including identification of any areas of concern. That could be classify as nonconformity during the stage 2 audit.
In determining the interval between stage 1 and stage 2 audits. Consideration shall be give to the needs of the client. To resolve areas of concern identified during the stage 1 audit. Certification Bodies may also need to revise its arrangements for stage 2.
A detailed report shall be prepared by the Team Leader and a copy shall be given to the client. The report shall be evaluated by AM. And the plan for the subsequent audits of the organization is discussed with the client.
It is expected that generally. The management system has been in place for at least about three months before the Pre-Audit is considered. However, time can be decided by the Certification Bodies.
Any part of the management system at stage 1 audit and determined to be fully implemented. Effective, and in conformity with requirements of FSMS can be left during the Stage 2 audit.
In case OHS Stage 1 & Stage 2 audit is execute out by different auditor. The auditor needs to take a copy of the report from Certification Bodies. AM is responsible for confirming from the auditor.

Stage 2 Audit.

Stage 2 audit is intend to:

Ensure that the client’s management system conforms to the requirements of the applicable standard/specification including its effectiveness.
To provide guidelines for associated follow-up audits/ surveillance audit and re-certification audit.

The purpose ISO Certification Process of the stage 2 audit is to evaluate the implementation. Including effectiveness, of the client’s management system. The stage 2 audit plan is intend to ensure that the majority of the audit time. Is given to verify the effective implementation of the management system. In the locations where the organization’s activities take place including on-site audits of temporary sites for OHSAS. (In Management System Audit 80% of the audit time shall be given onsite).

Certification Bodies ensures Stage 2 audit meets the following requirement:

Stage 2 Audit shall take place at the site (s) of client.
Stage 2 audit shall be conduct within maximum 90 days of completion of stage 1 audit.
Team leader shall prepare an audit plan communicate to the client after completion of stage 1 audit

Stage 2 audit shall include at least the following:

Information and evidence about conformity to all requirements of the applicable management system standard or another normative document
Performance monitoring, measuring, reporting and reviewing against key, performance objectives and targets. (Consistent with the expectations in the applicable management system standard or another normative document).
The client’s management system and performance as regards to legal and other requirements.
Operational control procedures of the client’s processes.
Internal auditing and management review.
Management commitment and responsibility for the client’s policies.
Links between the normative requirements, policy, performance objectives and targets. (Consistent with the expectations in the applicable management system standard or another normative document). Any applicable legal and other requirements, responsibilities, the competence of personnel. Operations procedures, performance data, and internal audit findings and conclusions.
Various mandatory records to ensure that the management system is operational.
Evidence of the monitoring of customer satisfaction.
The organization adheres to its own OHSAS policies, objectives and procedures.
The OHS management system conforms to all the requirements of the OHS standard. And is achieving the organization’s policy objectives for providing a safe and healthy working environment.
Verify effective implementation of OHS including temporary sites.

Audit shall begin with an opening meeting of ISO Certification Process followed by a site visit. If the audit is for more than one calendar day duration. A meeting shall be conduct to appraise the client on findings of the day including any non- conformities. The progress of audit, any problem faced and modification to the audit plan, if required.

“Before” meeting the client/ closing meeting. The team leader shall have a meeting with the team members. Who will exchange findings and review the audit progress? And system implementation status until that time.

Each team member shall ensure that the Auditor’s notes are legible. Containing the name of the main audit. Date and area/ process audited, what and where was seen. Reference of documents/ records reviewed. Any nonconformity identified with objective evidence, category of non- conformity, observations, etc.
As, far as possible at least one member in the team shall possess the relevant code. Who shall be assign to audit core processes of the management system? In case of team members. Don’t have the competency in such case a specialist with appropriate code shall be arrange.
It is the responsibility of the team leader. To ensure that the audit is completed for areas/ processes by the team. And all requirements are cover that the team members have provided necessary inputs to audit for completing the report.
If? The audit is to be conduct in a language not known by any team member including team leader. A suitable interpreter should be arrange, ensuring impartiality.
If any non- conformity is identify, the auditor shall explain the same to the auditee to his satisfaction. In case of a Major non- conformity. The team leader shall be inform who will update the management about the same. And give them option either to terminate further audit or to continue.
While recording nonconformity, sufficient objective evidence standard/specification clause number, client documents. Reference number (if any) in addition to the area where it was found shall be capture in clear terms. So that the auditee or any other person reading it can easily understand.
In addition to non- conformity, any observation for improvement, positive issues should also be record, in the report.

While deciding on recommendation, the issues like number and category of non- conformities. Any concentration of non- conformities against any clause (s), view of team members shall be consider.

At the end of the assessment, a written report, duly signed by the team leader. And client representative shall be prepare and handed over to the client which shall include nonconformities identified if any. The recommendation for certification or otherwise.
It is advisable to request the client to have a close look at the “Certification detail” in the report. For any possible error in name, address, scope, spelling mistake, etc.
When a recommendation is build for certification the audit reports. Confirmation of the information provided to the Certification Bodies used in the application review. A recommendation whether to grant certification. Together with any conditions or observations. The need for taking corrective action and need of verification of the corrective action taken. (i.e., when there is nil or few minor non- conformities). By site visit or otherwise must be take into account & explained. The client should complete the corrective action within a maximum of 90 days from the date closing meeting.
A copy of the report should be handover to the client and one copy with attendance record. And auditors note to be sent to the Head office of Innova Connect.
For multi- site certification “Procedure for selection site shall be followed.
Lead Auditor need to submit a copy of report to the client. And accepted report to Innova Connect.
Lead Auditor shall identify the recommendations conditions with non-Conformity. Or without non-Conformity. The observations shall be well communicated in the report.
Nonconformities shall be classify as. Major or Minor according to their potential effects on the management system. The consequences of these shall be term as follows:

Information for Granting Initial Certification

The information provided by the audit team to Innova Connect. For the certification decision shall be as per the Certification Bodies procedure. “Procedure for the issue, change, and cancellation of certification. And shall include, as a minimum.

The audit reports.
Comments on the non-conformities and, where applicable, the correction and corrective actions taken by the client.
Confirmation of the information provided to Certification Bodies used in the application review.
A recommendation whether to grant certification. Together with any conditions or observations. Certification Bodies shall make the certification decision based on an evaluation. Of the audit findings and conclusions and any other relevant information. (e.g., public information, comments on the audit report from the client).

Certification Bodies Committee shall analyze ISO Certification Process all information and audit evidence gathered during stage 1 and stage 2 audits. To review the audit findings and agree on the audit conclusions.