1. Application for certification
Information about the applicant organization is gathered through client information for certification (CIC). Details such as scope (i.e. name, address, business activities etc.) of certification , Standards, man power, statutory & regulatory requirements, clause not applicable, processes and product information are critical inputs for certification process, outsource and consultancy information.
2. Application Review
The submitted CIC is reviewed by technical reviewer team (TRT) to ensure the adequacy of the information under the purview of its scope for submitting the proposal and subsequent provision of certification services. The ability and competence to perform the certification is decided by technical reviewer team considering its accreditation scope. If client information for certification is found within its scope TRT shall submit the proposal for certification services for initial certification and surveillance audits for the 3 years period along with certification agreement and conditions for certification.
3. Contract Review
Contract review by the commercial and technical team for the whole process based on man-days and site activities and other consideration.
4. Proposal & Agreement
Based on the contract review, Commercial proposal is submitted to client for acceptance of providing information on number of audit Man days, technical expert and auditor(s) required for each stage of audit process and associated professional charges. Upon acceptance of terms and condition stated in the proposal for certification, a certification agreement is signed with the Client.
5. Initial Certification audit
Stage-I audit
Initial certification Audit is conducted to assess implemented management system and assess the maturity and readiness of the system and identification of any major deficiencies in compliance of documented of management system as per the applicable standard. Initial certification audit is conducted in two stages as per the requirement of ISO 17021-I. Stage I Audit: Conducted to assess the management system planning, validate the information provided in the client information for certification, required logistics and planning for Stage II audit: Verify compliance of the management systems to the planned arrangements and decide on the recommendation for certification (stage-2 audit) based on stage-1 audit output.
Stage-1 Audit report shall be provided to the client along with audit findings, if any. The Client is responsible to plan for adequate take corrective actions for audit findings along with revision to system documents, if required. Client shall communicate the corrective actions to TRT prior to stage II audit. Output of stage I audit and nature of observations may have impact on the stage II audit schedule. Inadequate and ineffective corrective actions for stage I audit may lead to major non-conformances in during stage II audit.
Stage II audit
Stage II audit is conducted to evaluate effective implementation of the Management System as per the applicable standard. Inform audit team nomination and audit plan in advance. Conduct opening meeting with top management to explain audit process. Verify effective implementation of the management System for adequacy to the scope of certification by examining operational activities, personnel, policies, procedure and records on sample basis against the contractual standard. Stage II audit is carried our as per the checklist defined by the organization. Record Nonconformance and classify as major, minor and OFI. Conduct closing meeting and explain audit findings, recommendations and revision to scope of certifications if required. Provide copy of audit report with recommendations. Review the suitability of surveillance frequency and/or man days based on the audit findings. Review corrective actions provided by client for all the non-conformance reports by follow up audit or documentation verification.
6. Review Audit Report and Closure of NC’s/Observation
Review of audit reports and NC closure by certification decision committee. Impartiality shall be maintained during such reviews. Resolutions of clarifications in the audit reports if any prior to approval of recommendations.
7. Issue of Certificate
Full fees shall be submitted for issuing the certificate. Issue certificate is valid for 3 years from the issue date. But the certificate validity shall be null and void in case of failure of conducting surveillance audit at defined interval.
8. Surveillance Audit
Conduct surveillance audit at defined frequency to check continued implementation of Management System to meet the standard requirement. Provide recommendations on continuation of certification.
9. Re-certification Audit
Prior to complete 3-years certification cycle. Conduct re-certification audit for continuation of certificate and subsequently followed up by Surveillance audits as per the accepted proposal. Re-certification audit shall be completed before the validity of the previous certificate.