ISO Certification Process - TNV System Certification

ISO Certification Procedure of TNV

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
2.5 Suspending, Withdrawing, Extending or reducing scope of certification

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 application organization to provide the following information in questionnaire TNV-F-001 to enable TNV to establish the following:

The desired scope of the certification;
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;
General information, relevant for the field of certification applied for, concerning the applicant organization, such as its activities, human and technical resources, functions and relationship in a larger corporation, if any;
Information concerning all outsourced processes used by the organization that will affect conformity to requirements;
The standards or other requirements for which the applicant organization is seeking certification;
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 the 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. P-06, “Procedure for Review of Application and Contract Review.” If the same is found to be within TNV’s scope of accreditation, the AM forwards the application to the QM for Contract Review and Quotation issuance process.

3.4 Contract Review
3.4.1 QM shcall prepare a quotation after the contract review, based on the requirements of mandays, multi-site activities, and other considerations. Estimation of mandays shall be as per TNV’s procedure “Contract Review.” After obtaining approval from the CEO, the quotation shall be submitted to the client. The matter shall then be followed up with the client for securing the business.

3.4.2 If the client accepts the quotation of TNV, they will forward the registration fee. On receipt of all these, the AM shall verify the relevant details of the client’s application, the fee quotation, and reconfirm the contract. The AM may consult the CEO or any other officer of TNV to carry out an accurate review, including allocation of the scope sector of the client’s activities falling under the applied scope of registration. The original questionnaire shall be checked to ensure there is no discrepancy. Any discrepancy shall be taken up with the client, and differences shall be resolved prior to acceptance of the work.

3.4.3 Based on the contract review for the Standards of ISO Certification Services is Applied for, TNV 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 TNV 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 TNV Procedure.

3.4.5 The individual(s) who will be conducting the certification decision shall be appointed ensuring appropriate competence.

Certification Process for ISO 9001:2015

The certification process for ISO 9001:2015 involves several key steps to ensure that your organization meets all the necessary requirements:

Gap Analysis: An initial review of your current processes against ISO 9001 standards to identify areas for improvement.
Documentation Preparation: Develop and organize key documents such as the quality manual, procedures, and records.
Implementation of QMS: Apply the necessary changes to align your processes with ISO 9001 requirements.
Internal Audit: Conduct an internal audit to verify compliance with the standard.
Corrective Actions: Address any non-conformities identified during the internal audit.
Stage One Audit: External auditors review your documentation to assess readiness for certification.
Stage Two Audit: A comprehensive on-site audit by TNV auditors to evaluate the implementation of your QMS.
Certification Issuance: Upon successful completion of the audit, ISO 9001 certification is awarded.
Surveillance Audits: Regular audits are conducted to ensure ongoing compliance and continuous improvement.

4.0 Initial Certification Audit (Stage 1 Audit):

4.1 Introduction : TNV proceeds with the Initial Certification Audit (Stage 1) after the completion of the contract review and acceptance of the TNV certification agreement.

The Stage 1 Audit is conducted before the Certification (Stage 2) Audit and provides a macro-level assessment of the implementation status. It helps identify major deficiencies in the documented quality system against certification standards, allowing the client to take corrective actions in advance.

Stage 1 Audit:

Offers valuable input and builds client confidence.
Saves time by enabling early corrective actions.
Is conducted in all cases.
Requires auditors to sign a Conflict of Interest Declaration before every visit.

4.1.1 Purpose of Stage 1 Audit:

The Stage 1 Audit is intended to:

Ensure that the client’s management system documentation meets the requirements of the applicable standard/specification.
Collect information for planning the Stage 2 Audit and determine the client’s readiness, including the interval between Stage 1 and Stage 2 audits.

An audit plan (format: TNV-F-005) is prepared for Stage 1. Normally, Stage 1 audits are performed on-site. In exceptional cases, they may be conducted off-site, based on factors such as client size, location, risk, or previous knowledge. Such decisions must be justified in the audit report, and the client must be informed that Stage 2 planning may not be fully accurate in such situations.

4.2 Stage 1 Audit – On-site Conduct

Stage 1 Audits are conducted on-site based on the man-days defined in the Contract Review. The audit begins with an Opening Meeting and concludes with a Closing Meeting, where the client is informed about readiness for Stage 2.

The audit shall:

Audit the client’s management system documentation.
Evaluate the client’s location, site-specific conditions, and personnel preparedness.
Verify quotation information.
Review the client’s understanding of standard requirements, especially regarding:
Identification of key performance aspects.
Significant processes and objectives.
Operations of the management system.
Collect information regarding:
Scope of the management system.
Client processes and locations.
Statutory and regulatory compliance (e.g., quality, environmental, legal, risk).
Review resource allocation for Stage 2 Audit and agree on details with the client.
Plan Stage 2 Audit based on sufficient understanding of the system and site operations.
Evaluate whether internal audits and management reviews are planned and implemented adequately.

4.2.1 OHSAS & FSMS Specific Requirements

For OHSAS:

Verify that the system identifies hazards and determines their significance.
Confirm the system provides adequate description of the organization and on-site processes.
Review applicable regulations and approvals, including OHS license requirements.
Ensure the system is designed to achieve OHS policy objectives.
Verify at least one cycle of Internal Audit & Management Review has been conducted.
Review temporary site arrangements and complexity.
Verify Contract Review information and multi-site sampling plan (if applicable).

For FSMS:

Ensure appropriate PRPs (Pre-Requisite Programs) are identified.
Review processes for identifying and assessing food safety hazards and selecting control measures.
Check sector-specific food safety legislation.
Verify FSMS implementation justifies proceeding to Stage 2.
Confirm validation, verification, and improvement programs meet FSMS requirements.
Review communication arrangements with suppliers, customers, and stakeholders.
Examine external combinations of control measures for compliance with ISO 22000.

For combined audits, assess: i) Level of integration of management systems. ii) Ability of personnel to respond to questions on all covered standards.

4.3 Stage 1 Audit – Reporting

At the end of the Stage 1 Audit, the Team Leader shall prepare an audit report including:

Client’s status regarding readiness for Stage 2.
Identified areas preventing readiness.
Areas of concern that may be non-conformities in Stage 2.
Confirmation that no non-conformities are raised during Stage 1.
Re-audit requirement if the client is not ready for Stage 2.
Stage 2 Audit Plan based on client processes.
Communication of findings to the client.

4.4 – 4.10 Additional Provision

4.4: Most Stage 1 Audits should occur at the client’s premises.
4.5: All findings must be documented and shared with the client.
4.6: Interval between Stage 1 & 2 depends on client’s corrective action needs.
4.7: A detailed report is prepared by the Team Leader, evaluated by AM, and discussed with the client.
4.8: Systems should be implemented for at least 3 months before Pre-Audit (CEO can decide otherwise).
4.9: Fully compliant elements audited in Stage 1 may be excluded from Stage 2.
4.10: If different auditors conduct Stage 1 & 2, the Stage 1 report must be shared and verified.

5.0 Stage 2 Audit

5.0.1 Purpose : Stage 2 Audit aims to: a) Ensure the client’s management system conforms to applicable standards and is effective. b) Provide guidelines for follow-up, surveillance, and recertification audits.

The audit evaluates the implementation and effectiveness of the system. 80% of the audit time is allocated to on-site activities.

5.1 – 5.4 Stage 2 Audit Requirements

Location: Conducted at client site(s).
Timeline: Must occur within 90 days of Stage 1 completion.
Planning: Audit plan prepared by Team Leader post-Stage 1.
Scope: Must include:
Evidence of conformity to all standard requirements.
Performance monitoring and reporting.
Legal and other requirement compliance.
Operational control procedures.
Internal audits and management reviews.
Management commitment and responsibility.
Links between policies, objectives, operations, and audit results.
Mandatory records.
Customer satisfaction evidence.
OHSAS policy adherence and effective implementation, including temporary sites.

5.5 – 5.21 Stage 2 Audit Process

Opening & daily meetings for multi-day audits.
Team leader meetings for progress review.
Auditor notes must be clear and detailed (auditee, date, observations, evidence, etc.).
At least one team member must have relevant competency codes.
Interpreter arrangements must ensure impartiality.
Non-conformities must be clearly explained and recorded with evidence and references.
Observations and positive findings should also be noted.
Recommendations must consider number/category of NCs.
A signed written report is handed to the client post-assessment.
Client must review report details for errors.
Corrective actions must be completed within 90 days of the closing meeting.
Reports are shared with TNV Head Office.
For multi-site certifications, Procedure P06 applies.
Lead Auditor must submit reports with clear recommendations.

5.22 Non-Conformity Classification

Type of NC	Pre-Audit	Certification Audit	Surveillance or Recertification Audit
Major	– No certification – Completion required – Time scale open – Full certification audit	– No certification until completion within 60 days or new full audit verification based on objective evidence. – Next surveillance audit within 6/9 months.	– Completion within 15 days. – Verification based on objective evidence. – Certification suspended; information to customers. – New verification based on objective evidence. – Next surveillance audit within 6/9 months.
Minor	– No certification	– Certification completion effective or planned within 30 days. – Verification based on objective evidence.	– Completion effective or planned within 30 days. – Verification based on objective evidence. – Certification suspended; information to customers.

6.0 Information for Granting Initial Certification

6.1 Certification Decision Basis

The certification decision shall follow TNV Procedure No. P-0 and be based on: a) Audit reports. b) Comments on nonconformities and related corrective actions. c) Confirmation of application information. d) Recommendations, conditions, and observations.

TNV will evaluate all findings and relevant information before granting certification.

6.2 Certification Committee Review

The TNV Certification Committee reviews all audit evidence and findings from Stage 1 and 2 audits, ensuring conclusions are justified before making a final certification decision.