Certification Process

An ISO certificate shows that your company follows quality standards and ensures that the products or services offered are always within parameters. Quality is defined by how your customers perceive the end product they buy, so anything from your production process to the distribution network will contribute to your status as an ISO certified company.

Studies also suggest that companies with an ISO 9001 certification perform better than those that don’t have it. While a correlation is definitely there, it might not imply unilateral causation. In other words, the certification can, indeed, motivate your company to perform better, your customers will be more encouraged to buy your goods, but it can also be more likely requested by companies that are already performing well.

The actual process of certification is a relatively straightforward matter.
Indeed, most of the certification schemes follow the same basic procedures as outlined below.

STEP: 1 Application
Applicant will be asked to provide the following information for the purpose of application review and generating a quotation for certification services:
a) the desired scope of the certification;
b) relevant details of the applicant organization as required by the specific certification scheme, including its name and the address(es) of its site(s), its processes and operations, human and technical resources, functions, relationships and any relevant legal obligations;
c) identification of outsourced processes used by the organization that will affect conformity to requirements;
d) the standards or other requirements for which the applicant organization is seeking certification.

STEP: 2 Application Review
On receipt of above information, a review shall be conducted based on the application and supplementary information for certification submitted by client. Following the review of the application, Certification Body shall either accept or decline an application for certification.

As a result of successful review of the application and where client application is accepted, an audit program for the full certification cycle shall be developed and certification quotation is submitted to client.

STEP: 2.1 Quotations
Based upon the information provided, the technical manager or subject expert reviews the scopes available with Certification Body and prepares the quotation, which will be sent along with the application for registration. 

STEP: 3 Certification Audit Contract
Once the Application for registration received & reviewed, which confirms the exact way client company name and site address will appear along with the description of scope (products or services) for which registration is sought. The certification audit contract will be made and sent to the client.

Step-4 AUDIT

Step: 4.1 AUDIT PLANNING
Once the certification audit contract received, the technical manager plans the audit on the basis on audit time allocation and audit assignment, which is defined as below and raise the audit plan in duplicate, which should narrate the requirements of the relevant management system standard; size and complexity, name, address and scope of the client, date of audit and the constitution of the audit team and send it to the auditors. After getting the consent from auditor, the statement of confidentiality and no conflict of interest will be obtained. The Audit plan shall be sent to the client there after. The operational manager will confirm the date then about the auditor & technical expert detail with the client.

STEP: 4.2 Stage-1 Audits
The stage one audit is performed by lead auditor at client’s premises, to audit the client’s management system documentation. To evaluate the client’s location and site-specific conditions and to undertake discussions with the client’s personnel to determine the preparedness for the stage 2 audit. To evaluate if the internal audits and management review are being planned and performed, and that the level of implementation of the quality management system substantiates that the client is ready for the stage 2 audit.

STEP: 4.3 Stage-1 Audit Report
After the stage one audit the auditor shall submit his finding & advice by written report.

STEP: 4.4 Stage-2 Audits
Stage two audits is an assessment audit, which is carried out after phase one audit’s inadequacies have been removed and the organization is all set to demonstrate the compliance to the selected international standard. Auditors will plan and conduct the assessment audit.

Step-5 Granting Certificate
The technical committee is appointed from the auditors and experts working with Certification Body to consider specific recommendations made in relation to granting, refusing, maintaining of certification, expanding or reducing the scope of certification, renewing, suspending or restoring following suspension, or withdrawing of certification. Members of the technical committee will be independent from the auditing activity. The technical committee will be made up of three members, whose technical expertise will cover the certification scope being considered. The technical committee will be appointed by the manager technical. The technical committee is impartial & free from commercial or financial pressure.

STEP: 6 Surveillance audits
Surveillance audits are carried out annually to ensure that the certified management system is in compliance and demonstrates continual improvement in terms of Systems, products and resource management.

Suspension of Certification (After Granting Certification)

In the event that Client is not complying with following, Certification Body may suspend Client’s registration.

• Client did not accept on-going surveillance visit within the time agreed.
• Certification Body determines that Clients does not have resources or organization to satisfy with requirements of standard applied, or the certified system does not exist.
• Client lost its confidence as a result of claims raised by interested party and social conflict.
• Client has not taken the required actions against the changes or registration system or requirements during the specified period.
• Client failed to correct the nonconformities found at on-site audit within the time agreed.
• Client failed to timely correct nonconformities, caused by misuse of certification mark, within one (1) month.
• Client didn’t pay Certification Body for registration activities set in Certification Body published Auditor days and Fees structure.
• Certification Body determines that Clients didn’t comply with organization’s obligation based on Certification Audit Contract.
• Clients used and applied the certificate (certification) to out of its coverage.
• It is proved that the information and/or material provided by Client during assessment are falsity.
• Certification Body determines that Client does not comply with the agreement(s) and/or contract(s) concluded with Certification Body.

Amendment to Scope of Certificate of Registration

• Extending of scope: –Upon client’s request for extending scope Certification Body shall review the availability of scope and competence level and advice for audit considering the auditor time. The audit time may be extended after seeing the actual process of the extended part of scope. The certificate will be re-issued incorporating the new scope. This type of scope extension may be clubbed with surveillance audit or it can be carried out separately through Special Audit.
• Restoring:-Certification Body shall restore the certification as per the following
• If the Client submits the Corrective action report within the 30 days of time period in case of minor non-conformity and 90 Days of time period in case of major non-conformity and also in case of major non-conformity there should be a provision of re-visit of auditor at client’s location for the verification of effectiveness of Closure of Non-Conformity.
• After Suspension there is 15 Days of time period for the renewing of certification after Verification of Effectiveness of System by the Auditor at the time of Re-Visit, Without Re-Visit no any certification will be restored except in case of suspension Due to non-payment.
• Responsibility for Renewing of Client is Technical Manager/Director technical
• Reduction of scope: –The Certification Body shall reduce the client’s scope of certification to exclude the parts not meeting the requirements. When the client has persistently or seriously failed to meet the certification requirement of those parts of the scope of certification. Any such reduction shall be in line with the requirements of the standard used for certification. Certification Body decision on reducing the scope of certification shall be communicated to the client, in writing, through letter. The certificate will be re-issued after reduction of scope.

Withdrawal of Certification (After Granting Certification)
In the event that Client is not complying with following, Certification Body may withdraw Client’s registration.

• Failures to timely correct a suspension within three months.
• Client’s Request.
• Client discontinues the activities (manufacturing, installation, etc.) related to the scope of registration.
• The certified Client is no longer identified because of its dismantlement or communication disconnecting, etc.
• The suspension of Client’s registration is more then 3 times during the term of validity of its registration.
• After receipt of Certification Body request to return the Certificate(s), Client didn’t return its certificate(s) to Certification Body within one (1) month.

The client name will be listed in cancel list of Certification Body website, www.carecertification.com