ISO Certification Process

ISO Certification Process: Top Certification Consultant

The ISO Certification Process: Top Certification Consultant. The certification process includes the following key stages:

ISO Certification Process: Guidelines of Certification Bodies:

Key Steps to Achieve ISO Certification:

- Application and Contract Evaluation.
- Stage 2 Initial Certification Audit.
- Certification Decision.
- Ongoing Assessment (Surveillance Audit).
- Renewal Audit.
- Certification Scope Suspension, Withdrawal, Extension, or Reduction.

Application & Contract Evaluation. ISO Certification Process

Application Acknowledgement:

Questions about the ISO Certification Process can come through phone, letter, email, or online application. Moreover, Pro Certify Crew may also initiate contact with potential clients.

Applicant Information:

Please ensure the application organization includes the following details in the questionnaire so the Certification Consultant can evaluate:

Unlock the unparalleled scope of the certification currently in high demand;
General information about the applicant organization, including name, physical address(es), key processes and operations, and legal requirements;
Details about the certification field applied for, such as activities, human and technical resources, functions, and corporate relationships;
Information on outsourced processes affecting requirement conformity;
The standards or requirements the applicant organization aims to meet for certification;
Information on the use of consultancy for the management system

Review of Application:

Upon receiving the application questionnaire, Pro Certify Crew AM will review the details for certification processing. If the application falls within the Certification Body’s scope of accreditation, AM will forward it to the Accounts Team for contract review and quotation issuance.

Review of the Contract:

The Accounts Team will prepare a quotation after contract review, considering Man Days Multi-site activities and other factors. The estimation will follow the Certification Bodies procedure “Contract Review.” After CB approval, the Accounts Team will submit it to the client, who will follow up to secure the business.
If the client accepts Pro Certify Crew quotation, they will pay the registration fee. Upon receipt, AM will verify the client’s application details, fee, and quotation, and reconfirm the contract. AM may consult OM or other Certification Bodies officers for an accurate review, including the client’s activity scope under the registration. We will carefully review the initial application for any discrepancies and work closely with you to resolve them before moving forward. Your satisfaction is our priority, and we are here to ensure everything is perfect before we begin.
According to the contract review for ISO Certification Services Standards, Certification Bodies will determine the necessary competencies for the audit team and the certification decision.
The Accounts Team/AM, in consultation with CB, will finalize the audit team. The team, composed of auditors and technical experts as needed, will have the competencies identified during the application review. The selection will consider the competencies of auditors and experts, using both internal and external resources. The Certification Bodies Procedure will select the Auditor Team and Technical Experts.

Select individuals for the certification decision to guarantee they have the necessary competence.

Initial Certification Audit (Stage 1). ISO Certification Procedure

Initial Audit Stage:

Pro Certify Crew carries out the Initial Certification Audit (Stage-1) after the completion of contract review and acceptance of Certification Bodies Agreements. The Stage 1 audit, conducted before the Certification audit at the client’s discretion, offers a macro-level assessment of the implementation status and identifies major deficiencies in the documented quality system’s compliance with certification standards. Embark on your journey towards certification with confidence by taking proactive steps before the audit. Embrace the invaluable feedback and cherish the time you’ll save on future adjustments. Complete the Stage 1 audit and make sure the auditor signs the conflict of interest declaration before each visit to secure your peace of mind.

The purpose of the Stage 1 audit is to:

Verify that the client’s management system documentation complies with the relevant standard/specification.
Gather data to plan the stage 2 audit and assess the client’s preparedness, including the time frame between stage 1 and stage 2 audits.

The Stage 1 audit should adhere to the Certification Bodies’ audit plan format. Generally, this audit takes place at the client’s location. Conduct it off-site when necessary. This decision should be justified in the audit report, taking into account the client’s location, risk assessment, and previous knowledge. In these instances, the client’s management must be notified that the Stage 2 audit planning may not be exact.

The Stage 1 audit will take place on-site as outlined in the Contract Review. Let’s start things off with an opening meeting and finish with a closing meeting, where we’ll update you on your readiness for the Stage 2 audit

Prepare for the upcoming audit:

Audit the client’s management system documentation;
Evaluate the client’s location, site-specific conditions, and discuss with personnel to determine readiness for stage 2 audit;
Review the client’s understanding of standard requirements, focusing on key performance indicators, significant aspects, processes, objectives, and management system operation;
Gather necessary information about the management system’s scope, client’s processes and location, and related statutory and regulatory compliance (e.g., quality, environmental, legal aspects, risks, etc.);
Review resource allocation for stage 2 audit and agree on audit details with the client;
Plan the stage 2 audit by understanding the client’s management system and site operations regarding significant aspects;
Evaluate if internal audits and management reviews are planned and performed, ensuring the management system’s implementation level indicates readiness for stage 2 audit.

The OHSAS audit will be conducted:

The OHSAS management system includes efficient processes to identify and assess the organization’s OHS hazards.
The OHS management system provides a comprehensive description of the organization and its on-site processes.
The OHSAS management system includes an overview of relevant regulations and agreements with approving authorities, along with any OHS license requirements. The organization’s relevant activities are in place.
The OHSAS management system is designed to fulfill the organization’s OHS policy.
To confirm that at least one cycle of Internal Audit & Management Review has been conducted, ensuring the OHSAS management system is properly implemented and ready for the Stage 2 audit. To gather necessary information for an on-site audit of temporary sites, considering their complexity.
To verify that the information from the Contract Review is complete and suitable for the OHS management system and to check the multi-site sampling plan if applicable.
To gather necessary information and identify issues needing special attention during the Stage 2 audit.
The organization has identified PRPs suitable for the business (e.g., regulatory and statutory requirements).

The FSMS audit must be performed:

The FSMS has effective processes and methods to identify and assess food safety hazards and select appropriate control measures.
Food safety legislation is established for the relevant sectors of the organization.
The FSMS implementation program supports advancement to the Stage 2 audit.
Validation, verification, and improvement programs comply with FSMS standards.
The FSMS has documentation and arrangements for internal communication and communication with relevant suppliers, customers, and interested parties.
Additional documentation needs to be reviewed and/or specific knowledge needs to be acquired beforehand.
If an organization uses an externally developed combination of control measures, the Stage 1 audit should review FSMS documentation to ensure it is suitable, complies with ISO 22000 requirements, and is up to date. Relevant authorizations should be checked for regulatory compliance.
For combined audits, the information gathered during Stage 1 should include the following (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 related to each management system standard covered by the combined audit.

ISO Certification Process: Upon completing the audit, the team leader will compile a report stating:

Client’s preparedness for the stage 2 audit.
Main issues affecting the client’s readiness.
Potential concerns that could be non-conformities in stage 2 audit.
No non-conformities should be identified during stage 1 audit.
If the client is not ready for stage 2, stage 1 audit will be repeated.
The team leader will develop an audit plan for stage 2 based on the client’s processes.
Stage 1 audit results will be documented and provided to the client by the Team Leader.

It is advisable for most management systems to conduct the majority of the stage 1 audit at the client’s location to meet the objectives.

Stage 1 audit findings will be recorded and shared with the client, highlighting any issues that could lead to nonconformities in the stage 2 audit.
When scheduling the time between stage 1 and stage 2 audits, take into account the client’s need to address issues found in stage 1. Certification Bodies may also need to adjust stage 2 plans accordingly.
The Team Leader will prepare a detailed report and provide a copy to the client. AM will review the report, and future audit plans will be discussed with the client.
The management system should be in place for at least three months before the Pre-Audit. However, Certification Bodies can determine the exact timeframe.
Any part of the management system found fully implemented, effective, and compliant with FSMS requirements during the stage 1 audit can be excluded from the stage 2 audit.
If different auditors conduct Stage 1 and Stage 2 audits, the auditor must receive a copy of the report from the Certification Bodies. AM will confirm this with the auditor.

The Crucial Second Audit Stage.

The purpose of Stage 2 audit is to:

Verify that the client’s management system meets the relevant standard/specification requirements and is effective.
Offer guidelines for related follow-up audits, surveillance audits, and re-certification audits.

The goal of the Stage 2 ISO Certification Audit is to assess the implementation and effectiveness of the client’s management system. The Stage 2 audit plan ensures that most of the audit time is dedicated to verifying the management system’s effective implementation at the organization’s activity locations, including on-site audits of temporary OHSAS sites. (In a Management System Audit, 80% of the audit time must be on-site).

Certification Bodies ensure that the Stage 2 audit meets the following criteria:

The Stage 2 Audit will occur at the client’s site(s).
The Stage 2 Audit must be conducted within 90 days of completing the Stage 1 Audit.
The team leader will prepare and communicate an audit plan to the client after the Stage 1 Audit is finished.

Stage 2 audit must cover at least the following:

Details and proof of compliance with all requirements of the applicable management system standard or relevant normative document.
Tracking, measuring, reporting, and reviewing performance against key objectives and targets, consistent with the applicable management system standard or relevant normative document.
The client’s management system and performance in relation to legal and other requirements.
Operational control procedures for the client’s processes.
Internal auditing and management review.
Management’s commitment and responsibility for the client’s policies.
Connections between normative requirements, policy, performance objectives, and targets, consistent with the applicable management system standard or relevant normative document. This includes any applicable legal and other requirements, responsibilities, personnel competence, operational procedures, performance data, and internal audit findings and conclusions.
Various mandatory records to ensure the management system is operational.
Evidence of monitoring customer satisfaction.
The organization complies with its own OHSAS policies, objectives, and procedures.
The OHS management system meets 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 at temporary sites.

The audit will start with an opening meeting for the ISO Certification Process, followed by a site visit. Join daily meetings during multi-day audits to stay informed about the day’s findings, address non-conformities, track audit progress, resolve issues, and implement any necessary changes to the audit plan.

Prior to meeting the client or closing the meeting, the team leader should meet with the team members to discuss findings, review audit progress, and assess the system implementation status up to that point.

Each team member must ensure the Auditor’s notes are legible, including the main audit name, date, audited area/process, observations, and references to reviewed documents/records. Document every identified nonconformity thoroughly, including objective evidence, category, observations, and all relevant details.
At least one team member should possess the relevant code to audit core management system processes. If team members do not possess this skill, a qualified specialist will be provided.
The team leader must drive the completion of every audit across all areas and processes, leveraging essential inputs from team members to produce a comprehensive final report.
Ensure a qualified and unbiased interpreter is available if any team member or leader is not fluent in the audit’s language
Upon detecting a nonconformity, the auditor must promptly communicate it to the auditee. For major nonconformities, the team leader will inform management and provide the option to terminate or continue the audit.
Document all nonconformities with precise, objective evidence, clearly citing relevant standard/specification clauses and client document references. Clearly state the location for easy comprehension by the auditee or any reader.
Additionally, please include any suggestions for improvement or positive feedback in the report.

When making a recommendation, consider the number and category of non-conformities, any concentration of non-conformities against specific clauses, and the views of team members.

After completing the assessment, the team leader and client representative will sign the report and deliver it to the client with unwavering dedication. This report will include any identified nonconformities and recommendations for certification or otherwise.
It is advisable to request the client to closely review the “Certification detail” in the report for any possible errors in name, address, scope, spelling, etc.
Upon making a certification recommendation, audit reports must verify the information given to the Certification Bodies during the application review. The recommendation should state whether to grant certification, along with any conditions or observations, and address the need for corrective actions and their verification (e.g., via site visit) if there are nil or minor non-conformities. The client should complete any corrective actions within a maximum of 90 days from the closing meeting date.
Deliver a copy of the report to the client, and send another copy, along with the attendance record and auditor notes, to the Procert Business Consultant Head Office.
It’s absolutely vital to follow the “Site Selection Procedure” for achieving multi-site certification
The Lead Auditor needs to submit a copy of the report to the client and the accepted report to Pro Certify Crew.
The Lead Auditor shall identify the recommendation conditions with or without non-conformities. The report should clearly communicate observations.
Nonconformities shall be classified as Major or Minor based on their potential effects on the management system, with consequences defined accordingly:

Details for Issuing Initial Certification

The audit team provides information to Pro Certify Crew for the certification decision according to the Certification Bodies procedure. This includes the procedure for issuing, changing, and canceling certifications and must minimally comprise:

The audit reports.
Comments on non-conformities, and if applicable, the corrections and corrective actions taken by the client.
Confirmation of the information given to Certification Bodies during the application review.
A recommendation on whether to grant certification, including any conditions or observations. Certification Bodies will make the certification decision based on an evaluation of the audit findings, conclusions, and any other relevant information (e.g., public information, client comments on the audit report).

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