2. ISO Certification Procedure of Asia Certification:
2.1 The Certification process shall consist of the following key stages,
2.1.1 Application Review & Contract Review
2.1.2 Initial Certification Audit: Stage-1 & Stage 2 Audit),
2.1.3 Certification Decision
2.1.4 Continual assessment (surveillance audit),
2.5 Renewal Audit
2.5 Suspending, Withdrawing, Extending or reducing scope of certification
3. Application Review & Contract Review (Refer Procedure P05 for detailed information):
3.1 Application Receipt:
ISO Certifiction Enquiry may be received in several forms, by telephone, letter, e-mail or facsimile. Sometimes, Asia Certification, on its own may also approach prospective clients.
3.2 Applicant Information:
The desired scope of the certification;
3.3 Application Review:
3.3.1 On the receipt of application questionnaire the details received shall be reviewed by AM against NACE / ANZSIC Codes and the accredited codes of IAF check Asia Certification capability for processing the certification. The review shall be conducted in accordance with procedure no P 06. “Procedure for Review of Application and contract review”, if the same is found to be within Asia Certification scope of accreditation, AM forwards the application to QM for Contract Review and Quotation issuance process.
3.4 Contract Review:
3.4.1 QM shall prepare a quotation after the contract review based on requirements of Mandays, multi site activities and other considerations. Estimation of man days shall be as per Asia Certification procedure “Contract Review”. And after obtaining approval from CEO, shall submit the same to the client. The matter shall be followed with the client for securing business.
3.4.2 If the client accepts the quotation of Asia Certification, he will forward the registration fee and On receipt of all these AM shall be required to verify the relevant details of the client application, fee quotation reconfirm Contract. He may consult CEO or any other officer of Asia Certification to carry out an accurate review. Including allocation of the scope sector of the client activities coming under the applied scope of registration with the original Questionnaire to check that there is no discrepancy. Any discrepancy shall be taken up with the client and differences resolved prior to acceptance of work.
3.4.3 Based on the contract review for the Standards of ISO Certification Services is Applied for, Asia Certification shall determine the competences needed to be included in its audit team and for the certification decision
3.4.4 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 Asia Certificationv 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 Asia Certification Procedure.
3.4.5 The individual(s) who will be conducting the certification decision shall be appointed ensuring appropriate competence.
4. Initial Certification Audit ( Stage 1 Audit):
4.1 Stage 1 Audit:
Asia Certification proceeds with Initial Certification Audit (Stage-1) audit activity on completion of contract review and acceptance for Asia Certification certification agreements. Stage 1 audit which is conducted before the Certification audit at client 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:
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.
The audit shall be performed:
i) The level of integration of the organization management system (s)
ii) The ability of the organizations personnel (at the time of the audit) to respond to questions relating to each management system standard covered by the combined audit
4.3 At the end of audit the team leader shall prepare an audit report declaring:
4.4 For most management systems, it is recommended that most part of the stage 1 audit be carried out at the client premises in order to achieve the objectives stated above.
4.5 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.
4.6 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. Asia Certification may also need to revise its arrangements for stage 2.
4.7 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.
4.8 It is expected that the 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.
4.9 Any part of management system audited at stage I audit and determined to be fully implemented, effective, and in conformity with requirements of FSMS can be left during the Stage 2 audit.
4.10 In case OHS Stage 1 & Stage 2 audit is carried out by different auditor, the auditor need to take a copy of the report from Asia Certification, QM is responsible for confirming from the auditor.
5. Stage 2 Audit
Stage II audit is intended to:
The purpose of the stage 2 audit is to evaluate the implementation, including effectiveness, of the client 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 activities takes place including on-site audits of temporary sites for OHSAS (In Management System Audit 80% of the audit time shall be given onsite).
Asia Certification ensures Stage 2 audit meets the following requirement
5.1 Stage 2 Audit shall take place at the site (s) of client
5.2 Stage 2 audit shall be conducted within maximum 90 days of completion of stage 1 audit
5.3 Team leader shall prepare an audit plan communicate to the client after completion of stage 1 audit
5.4 Stage 2 audit shall include at least the following:
5.5 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
5.6 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.
5.7 Each team member shall ensure that the Auditor 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.
5.8 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 doesnt have competency, in such case a specialist with appropriate code shall be arranged.
5.9 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.
5.10 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.
5.11 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.
5.12 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
5.13 In addition to non- conformity, any observation for improvement, positive issues should also be recorded, in the report.
5.14 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.
5.15 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.
5.16 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.
5.17 When recommendation is made for certification the audit reports, confirmation of the information provided to the Asia Certification 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 take into account & explained. The client should complete the corrective action within maximum 90 days from the date closing meeting.
5.18 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 Asia Certification.
5.19 For multi- site certification “Procedure for selection site P06 shall be followed.
5.20 Lead Auditor shall clearly identify the recommendations conditions with Non Conformity or without Non Conformity, the observations shall be well communicated in the report.
5.21 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:
6.0 Information For Granting Initial Certification
6.1 The information provided by the audit team to Asia Certification for the certification decision shall be as per Asia Certification procedure no. P 07 “Procedure for issue, change and cancellation of certification. and shall include, as a minimum,
the audit reports,
6.2 Asia Certification 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.