ISO Certification  Procedure

   The Certification process shall consist of the following key stages,

1. Application Review & Contract Review

2. Initial Certification Audit: Stage-1 & Stage 2 Audit),

3. Certification Decision

4. Continual assessment (surveillance audit),

5. Renewal Audit

6. Suspending, Withdrawing, Extending or reducing scope of certification

Application Receipt and Audit Planning

ISO Certifiction Enquiry may be received in several forms, by telephone, letter, e-mail or facsimile.  Sometimes, Quality Systems Veritas Cerifications, on its own may also approach prospective clients.

  Based on the contract review for the Standards of ISO Certification Services is Applied for, Quality Systems Veritas Cerifications shall determine the competences needed to be included in its audit team and for the certification decision

QM /AM in consultation with CEO shall proceed for finalizing the audit team. The audit team shall be appointed and composed of auditors (and technical experts, as necessary) who, between them, have the totality of the competences identified by Quality Systems Veritas Cerifications in application review for the certification of the applicant organization. The selection of the team shall be performed with reference to the designations of 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 Auditors/ Auditor Team including Technical Expert are selected as per Quality Systems Veritas Cerifications Procedure.

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

Initial Certification Audit

A. Stage I Audit :

 Quality Systems Veritas Cerifications proceeds with Initial Certification Audit (Stage-1) audit activity on completion of contract review and acceptance for Quality Systems Veritas Cerifications agreements. Stage - 1 audit which is conducted 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 taken 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 done in all cases and it is also ensured that the auditor signs the conflict of interest before every visit.

Stage I audit is intended to:

a) Ensure that the clients management system documentation meets the requirements of the applicable standard/specification.

b) To collect information for planning of stage II audit and determine the client’s readiness for stage II audit including interval between stage I and Stage II audits.

Stage I audit shall have an audit plan as per format. Normally the Stage I audit shall be performed at client’s site. In exceptional cases stage I could be carried out without a visit (off site). Such decision shall be justified in audit report, which may be based on the client’s size, location, risk consideration, previous knowledge, etc. In such situation the client’s management shall be informed that the planning of stage II audit might not be accurate.

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

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

a)      Client’s status regarding readiness for stage 2 audit.

b)      Identified areas preventing the client being deemed ready.

c)      Areas of concern, which could be classified as non-conformity during stage II audit.

d)      During stage I audit no non-conformities shall be identified.

e)      In case it is concluded that the client is not ready for stage II audit then stage I audit shall be performed again.

f)       Team leader then shall prepare an audit plan for stage II audit based on defined processes of the client.

g)      Stage 1 audit findings documented and communicated to the client by the Team Leader

For most management systems, it is recommended that most part of the stage 1 audit be carried out at the client's premises in order to achieve the objectives stated above.

Stage 1 audit findings shall be documented and communicated to the client, including identification of any areas of concern that could be classified as nonconformity during the stage 2 audit.

In determining the interval between stage 1 and stage 2 audits, consideration shall be given to the needs of the client to resolve areas of concern identified during the stage 1 audit. Quality Systems Veritas Cerifications 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 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, the time can be decided by CEO.

B. Stage II Audit

Stage II audit is intended to:

a) Ensure that the clients management system conforms to the requirements of the applicable standard/specification including its effectiveness.

b) To provide guidelines for associated follow up audits/ surveillance audit and recertification audit.

The purpose of the stage 2 audit is to evaluate the implementation, including effectiveness, of the client's management system. The stage 2 audit plan is verified 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 takes place including on-site audits.

Quality Systems Veritas Cerifications 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 conducted 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:

1. Information and evidence about conformity to all requirements of the applicable management system standard or other normative document
2. Performance monitoring, measuring, reporting and reviewing against key, performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document).
3. The client’s management system and performance as regards to legal and other requirements
4. Operational control procedures of the client’s processes.
5. Internal auditing and management review
6. Management commitment and responsibility for the client’s policies
7. Links between the normative requirements, policy, performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document), any applicable legal and other requirements, responsibilities, competence of personnel, operations procedures, performance data and internal audit findings and conclusions.
8. Various mandatory records to ensure that the management system is operational
9. Evidence of the monitoring of customer satisfaction

Audit shall begin with an opening meeting followed by a site visit. If the audit is for more than one calendar day duration, a meeting shall be conducted to apprise the client on findings of the day including any non- conformities, 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 till that time.

Each team member shall ensure that the Auditor’s notes are legible, containing name of main auditee, 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 assigned to audit core processes of the management system. In case team members doesn’t have competency, in such case a specialist with appropriate code shall be arranged.

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 covered and that the team members have provided necessary inputs to him for completing the report.

If audit is to be conducted in a language not known by any team member including team leader, a suitable interpreter should be arranged, ensuring impartiality.

If any non- conformity is identified, the auditor shall explain the same to auditee to his satisfaction. In case of a Major non- conformity, the team leader shall be informed who will inform 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 area where it was found shall be recorded 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   recorded, 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 considered.

At  the end of the assessment, a written report, duly signed by the team leader and client representative shall be prepared and handed over to the client which shall include non conformities identified if any, recommendation for certification or otherwise.

It is advisable to request 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 recommendation is made for certification the audit reports, confirmation of the information provided to the Quality Systems Veritas Cerifications used in the application review, a recommendation whether or not 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 taken into account & explained.  The client should complete the corrective action within maximum 90 days from the date closing meeting.

A copy of the report should be given to the client and one copy with attendance record and auditors notes to be sent to Head office of Quality Systems Veritas Cerifications.

Lead Auditor need to submit a copy of report to the client and accepted report to Quality Systems Veritas Cerifications Head Office.

Lead Auditor shall clearly identify the recommendations conditions with Non Conformity or without Non Conformity, the observations shall be well communicated in the report.

Non conformities shall be classified as. Major or Minor according to their potential effects on the management system. The consequences of these shall be termed as follows:

Information For Granting Initial Certification

The information provided by the audit team to Quality Systems Veritas Cerifications for the certification decision shall be as per Quality Systems Veritas Cerifications procedure no. P 07 “Procedure for issue, change and cancellation of certification. and shall include, as a minimum,

a) the audit reports,

b) comments on the nonconformities and, where applicable, the correction and corrective actions taken by the client,

c) confirmation of the information provided to Quality Systems Veritas Cerifications used in the application review , and

d) a recommendation whether or not to grant certification, together with any conditions or observations. Quality Systems Veritas Cerifications shall make the certification decision on the basis of 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).

Quality Systems Veritas Cerifications Certification Committee shall analyze all information and audit evidence gathered during the stage 1 and stage 2 audits to review the audit findings and agree on the audit conclusions.