ISO Certification Process

2.0 ISO Certification Procedure of TNV:
2.1 The Certification process shall consist of the following key stages:
2.1 Application Review & Contract Review
2.2 Initial Certification Audit: Stage-1 & Stage-2 Audit
2.3 Certification Decision
2.4 Continual assessment (surveillance audit)
2.5 Renewal Audit
2.6 Suspending, Withdrawing, Extending or reducing scope of certification
3.0 Application Review & Contract Review (Refer Procedure P05 for detailed information):
3.1 Application Receipt: ISO Certification enquiry may be received in several forms — by telephone, letter, e-mail or facsimile. Sometimes, TNV on its own may also approach prospective clients.
3.2 Applicant Information:
AM shall request the applicant organization to provide the following information in questionnaire TNV-F-001 to enable TNV to establish the following:
a) The desired scope of the certification
b) The general features of the applicant organization, including its name and the address(es) of its physical location(s), significant aspects of its process and operations, and any relevant legal obligations
c) General information relevant to the field of certification applied for, such as its activities, human and technical resources, functions, and relationship in a larger corporation (if any)
d) Information concerning all outsourced processes used by the organization that will affect conformity to requirements
e) The standards or other requirements for which the applicant organization is seeking certification
f) Information concerning the use of consultancy relating to the management system
3.3 Application Review:
3.3.1 On receipt of the application questionnaire, the details received shall be reviewed by AM against NACE / ANZSIC Codes and the accredited codes of IAF to check TNV’s capability for processing the certification. The review shall be conducted in accordance with Procedure No. P06 “Procedure for Review of Application and Contract Review.” If found to be within TNV’s 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 man-days, multi-site activities and other considerations. Estimation of man-days shall be as per TNV's procedure “Contract Review.” After obtaining approval from CEO, it shall be submitted to the client and followed up for securing business.
3.4.2 If the client accepts the quotation of TNV, they will forward the registration fee. On receipt of all these, AM shall verify the relevant details of the client’s application, reconfirm the contract, and consult CEO or other TNV officers for accurate review, including allocation of the scope sector and resolving any discrepancies before acceptance of work.
3.4.3 Based on the contract review for the standards of ISO Certification services applied for, TNV shall determine the competences needed in its audit team and for the certification decision.
3.4.4 QM/AM, in consultation with CEO, shall finalize the audit team. The team shall include auditors (and technical experts, as necessary) who together have the totality of competences identified by TNV in the application review. Team selection shall follow TNV procedure.
3.4.5 Individuals conducting the certification decision shall be appointed ensuring appropriate competence.
4.0 Initial Certification Audit (Stage 1 Audit):
4.1 Stage 1 Audit:
TNV proceeds with Stage-1 audit after contract review and client acceptance. Stage-1 audit provides a macro-level assessment of system implementation and identifies major deficiencies for corrective actions prior to Stage-2 audit. It is mandatory and includes auditor conflict-of-interest sign-off.
The purpose of Stage-1 audit is to:
a) Ensure documentation meets applicable standard requirements
b) Collect information to plan Stage-2 and determine client readiness
Stage-1 audit is normally conducted on-site (with exceptions justified in the audit report). It follows audit plan format TNV-F-005.
The audit includes:
1.Documentation audit
2.Evaluation of site-specific conditions and discussions
3.Review of understanding of requirements
4.Compliance and legal review
5.Stage-2 planning
6.Review of internal audits and management review
7.Confirmation of implementation levels
8.OHSAS system hazard identification
9.Site process description
10.Legal and regulatory overview
11.Alignment with OHS policy
12.Internal audit and management review status
13.Contract review accuracy
14.Special focus areas for Stage-2
15.Identification of PRPs
16.FSMS hazard control processes
17.Food safety legislation compliance
18.FSMS implementation status
19.Validation and improvement program effectiveness
20.Communication channels in FSMS
21.Additional documentation or knowledge gaps
22.External control measure documentation review
23.Combined audit system integration and staff understanding
4.3 Audit Report Preparation:
The team leader shall declare:
a) Readiness for Stage-2
b) Preventive areas blocking readiness
c) Potential nonconformities for Stage-2
d) No nonconformities shall be raised in Stage-1
e) If not ready, Stage-1 shall be repeated
f) Plan for Stage-2
g) Communication of Stage-1 findings
4.4 to 4.10 Cover:
a.On-site preference
b.Communication of findings
c.Time interval planning
d.Final report by team leader
e.Re-audit expectations
f.Sharing of audit report if different auditors used for OHS stages
5.0 Stage 2 Audit:
The purpose is to evaluate implementation and effectiveness of the management system.
5.1 – 5.4 Key Requirements:
a.Conducted on-site within 90 days of Stage-1
b.Plan issued post Stage-1
c.Includes performance data, legal compliance, internal audits, policy alignment, customer satisfaction, etc.
5.5 – 5.21 Detail audit execution:
1.Opening/closing meetings
2.Auditor notes and team meetings
3.Use of interpreters if needed
4.Explanation of NCs
5.Clear documentation
6.Inclusion of positive observations
7.Final report signed and submitted
8.Client review for errors
9.Corrective actions timeline (within 90 days)
10.Multi-site audit procedure
5.22 Non-Conformity Classification:
Type of NC Pre-Audit Certification Audit Surveillance/Recertification Major No certification, full audit needed Completion within 60 days or full audit, next surveillance in 6/9 months Completion within 15 days, verification required, certification suspended Minor No certification Completion within 30 days, verification needed Same as certification audit
6.0 Information For Granting Initial Certification
6.1 Audit team provides:
a) Audit reports
b) Comments on NCs and corrective actions
c) Confirmation of application info
d) Recommendation for certification
6.2 TNV Certification Committee:
Shall review all audit evidence and finalize the decision.