Steps Involved in the Certification Procedure/Cycle:
1. Application Submission and Review
• Application Submission: The certification process begins with the submission of an application by the organization seeking certification. This application includes details about the organization, the management system in place, the scope of certification, and the standard(s) for which certification is being sought (e.g., ISO 9001, ISO 14001, etc.).
• Application Review: The certification body (CB) reviews the application to ensure it aligns with the certification requirements. This review assesses the organization’s readiness, size, and complexity to determine the resources needed for the audit and the total duration of the audit process.
2. Signing Certification Proposal and Agreement
• Certification Proposal: Based on the review of the application, the certification body issues a certification proposal outlining the scope of certification, the audit process, fees, and terms and conditions.
• Signing Agreement: Once the proposal is accepted, the client signs the certification agreement. This agreement formalizes the relationship between the organization and the certification body, specifying the terms of the certification process, confidentiality, and impartiality commitments.
3. Stage 1 Audit (Documentation Review)
• Purpose: The Stage 1 audit is primarily a documentation review. The certification body assesses whether the organization’s management system documentation (e.g., policies, procedures, and records) aligns with the requirements of the ISO standard.
• Readiness Evaluation: The audit also evaluates the organization’s preparedness for the Stage 2 audit by identifying any significant gaps in the management system. It may be conducted on-site or remotely, depending on the complexity and scope of the system.
• Report: The Stage 1 audit results are documented, and the organization is given time to
address any findings before proceeding to Stage 2.
4. Stage 2 Audit (On-Site Audit)
• On-Site Evaluation: The Stage 2 audit is conducted on-site and focuses on evaluating the implementation and effectiveness of the organization’s management system. The certification body reviews evidence of compliance with the ISO standard(s) through interviews, observations, and documentation reviews.
• Nonconformities: Any nonconformities or areas for improvement identified during the
audit are documented. The organization is required to address these nonconformities before the certification decision can be made.
5. Closure for Nonconformities
• Corrective Actions: The organization must take corrective actions to address any nonconformities found during the Stage 2 audit. These actions must be documented and submitted to the certification body within an agreed timeframe.
• Verification: The certification body reviews the corrective actions to ensure that the nonconformities have been effectively resolved. This may involve follow-up audits or reviews of additional evidence.
6. Certification Decision
• Review of Audit Findings: Once the nonconformities have been addressed, the certification body reviews the audit findings, the corrective actions taken, and any other relevant documentation.
• Impartial Decision: An independent certification decision is made by the certification body, following the principles of impartiality and objectivity. If the management system is found to be in full compliance with the ISO standard, the certification process
proceeds.
7. Awarding the Certificate
• Issuance of Certificate: Upon a positive certification decision, the organization is awarded an official ISO certification. The certificate typically includes the scope of certification, the ISO standard, and the certification period (usually three years).
• Public Recognition: The organization can now display its certification and use it to
demonstrate its compliance with international standards to customers, stakeholders, and regulatory bodies.
8. Surveillance I Audit
• Annual Surveillance: To ensure continued compliance with the ISO standard, a surveillance audit is conducted one year after the certification is issued. This audit focuses on critical aspects of the management system to verify that the system is being effectively maintained.
• Continuous Improvement: The organization must demonstrate ongoing adherence to the ISO standard and show evidence of continual improvement.
9. Surveillance II Audit
• Second Surveillance Audit: A second surveillance audit is conducted in the second year following the initial certification. This audit reviews the management system’s continued
effectiveness and evaluates corrective actions taken since the previous audit.
• Maintain Certification: If the management system continues to meet the requirements, the organization retains its certification until the next recertification cycle.
10. Recertification Audit
• Recertification Process: At the end of the three-year certification cycle, a full recertification audit is conducted to evaluate the organization’s management system
comprehensively.
• Renew Certification: Upon successful completion of the recertification audit, the ISO
certificate is renewed for another three-year cycle, and the organization continues to benefit from certified status
