ISO certification process

3.1 Receipt of the application:

The request for ISO certification can be received in different forms, by telephone, letter, e-mail or fax.

3.2 Information about the applicant:

The Dossier Manager should request the applicant organization to provide the following information in the TNV-F-001 questionnaire to enable TNV to determine the following:

1. the desired purpose of the certification;
2. the general characteristics of the applicant organization, including its name and address (s) of its physical location, significant aspects of its process and operations and any relevant legal obligations;
3. information of a general nature, relevant to the area of certification requested, concerning the applicant organization, such as its activities, human and technical resources, functions and relationships in a larger company, if applicable;
4. Information relating to all outsourced processes used by the organization that will affect compliance with requirements;
5. The standards or other requirements for which the applicant organization requests certification;
6. Information concerning the use of consultancy relating to the management system

3.3 Application review:

3.3.1 Upon receipt of the application questionnaire, the details received must be reviewed by AM against the NACE / ANZSIC codes and the IAF accredited codes verify TNV's ability to process the certification. The review must be conducted according to procedure no. P 06. “Procedure for the review of the application and the review of the contract”, if the same falls within the scope of TNV accreditation, AM forwards the application to QM for the Review of the contract and process of issuing the offer.

3.4 Revision of the contract:

3.4.1 QM must prepare a quote after the contract review based on Mandays requirements, multisite activities and other considerations. The estimate of the man-days must be carried out according to the TNV “Contract review” procedure. And after getting approval from the CEO, he submits it to the customer. The matter must be followed up with the client to secure the business.

3.4.2 If the client accepts TNV's quotation, he will forward the registration fee and upon receipt of all these AMs will be required to verify the relevant details of the client's application, the quotation quotation will reconfirm the contract. You can consult with the CEO or any other TNV officer for a thorough review. Including the attribution of the sector of application of the client's activities falling within the scope of the registration with the original Questionnaire to verify that there are no discrepancies. Any discrepancies must be taken with the client and the differences resolved prior to acceptance of the work.

 3.4.3 Based on the review of the ISO certification service standards contract to which it applies, TNV must determine the necessary skills to be included in its audit team and for the certification decision.

3.4.4 QM / AM in consultation with the CEO proceeds to finalize the audit team. The audit team will be appointed and composed of auditors (and technical experts, if necessary) who, among themselves, have all the skills identified by TNV in reviewing the application for certification of the applicant organization. The selection of the team must be made with reference to the designations of competence of auditors and technical experts and may involve the use of both internal and external human resources. The selection of the team composed of Auditor / Team of Auditors including the Technical Expert is selected according to the TNV Procedure.

3.4.5 The person or persons who will lead the certification decision must be appointed ensuring the appropriate competence.

TNV proceeds with the Initial Certification Audit, which consists of two phases (Stage-1 + Stage 2), at the end of the revision of the contract and acceptance of the TNV certification agreements. The Stage 1 Audit is conducted before stage 2, to provide a macro-level assessment of the state of implementation and the identification of any important deficiencies in the compliance of the documented quality system in relation to the requirements of the certification standards, and allow any corrective actions to be taken prior to Stage 2.

4.1 Phase 1 Audit:

The phase I audit aims to:

1. Ensure that the customer's management system documentation meets the requirements of the applicable standard / specification;
2. Collect information on stage II audit planning and determine the client's readiness for stage II audit including the interval between stage I and stage II audits.

The Phase I audit must have an audit plan according to the TNV-F-005 format. Normally the Stage I audit must be carried out at the customer's site. In exceptional cases, internship I could be carried out without a visit (off-site). This decision must be substantiated in the audit report, which can be based on size, location, risk consideration, previous knowledge, etc. of the customer. In such a situation the client's management should be advised that the Phase II audit planning may not be accurate.

At the end of the audit, the group leader must prepare an audit report stating:

1. The situation in which the customer's system finds itself regarding availability for the phase 2 audit;
2. Any shortcomings that prevent the customer from being deemed ready;
3. Areas of interest, which could be classified as non-conformities during the stage II audit;
4. During phase I of the audit, no non-conformities must be identified.
5. The team leader must then prepare an audit plan for the Phase II audit based on the processes defined by the customer.
6. Stage 1 audit findings documented and communicated to the client by the Team Leader.

4.2 The results of the phase 1 audit must be documented and communicated to the client, including the identification of any problem areas that could be classified as non-conformities during the phase 2 audit.

4.3 In determining the interval between phase 1 and phase 2 audits, the client's needs must be taken into account to address the problem areas identified during the phase 1 audit. TNV may also need to review its provisions for phase 2 .

4.8 The general management system is considered to have been in place for at least three months or so before any Pre-Audit is considered. However, the time can be decided by the CEO.

4.9 Any part of the management system audited in Phase I of the audit and determined to be fully implemented, effective and compliant with the requirements of the FSMS can be left during the Phase 2 audit.

The Phase II audit aims to:

1. Ensure that the client's management system complies with the requirements of the applicable standard / specification, including its effectiveness;
2. Provide guidelines for associated follow-up audits / surveillance audits and recertification audits.

L' The objective of the stage 2 audit is to evaluate the implementation, including the effectiveness, of the client's management system. The stage 2 audit plan is verified to ensure that most of the audit time is devoted to verifying the effective implementation of the management system in the places where the organization's activities take place including on-site audits of temporary sites ( In the audit of the management system the 80% of the audit time must be dedicated on site).

TNV ensures that the Phase 2 audit meets the following requirements

5.1 The Phase 2 audits must take place at the customer's site (s)

5.2 The Phase 2 audit must be conducted within a maximum of 90 days from the completion of the phase 1 audit

5.3 The foreman must prepare an audit plan to be communicated to the client after the completion of the stage 1 audit

5.4 The Phase 2 audit must include at least the following:

1. Information and evidence of compliance with all requirements of the applicable management system standard or other regulatory document;
2. Performance monitoring, measurement, reporting and review against key performance objectives and milestones (consistent with expectations in the applicable management system standard or other regulatory documents);
3. The client's management system and performance with respect to legal and other requirements;
4. Procedures for operational control of customer processes;
5. Internal auditing and management review
6. Management commitment and responsibility for client policies
7. Links between regulatory requirements, policy, performance objectives and milestones (consistent with expectations in the applicable management system standard or other regulatory document), any legal and other requirements, responsibilities, staff competence, operating procedures, performance data and internal audit results and conclusions.
8. Various mandatory registrations to ensure that the management system is operational
9. Evidence of customer satisfaction monitoring
10. The organization adheres to its OHSAS policies, objectives and procedures.
11. The OHS management system complies with all the requirements of the OHS standard and is meeting the organization's policy objectives to provide a safe and healthy working environment.
12. Verify the effective implementation of the OSH, including temporary sites.

5.5 The audit must begin with an opening meeting followed by an on-site visit. If the audit lasts more than one calendar day, a meeting should be conducted to inform the client of the day's results, including any non-conformities, audit progress, any problems found and changes to the audit plan if required.

5.6 Before meeting the client for the closing meeting, the team leader must have a meeting with team members to exchange information from each and review the audit results in relation to the system implementation status up to that point.

5.7 Each team member must ensure that the Auditor's notes are legible, containing the name of the principal audited, the date and area / process audited, what and where it was audited, the references of documents / records examined, any non-compliance identified with objective evidence, category of non-compliance, observations, etc.

5.8 As far as possible, at least one team member should have the relevant code, which should be assigned to audit key management system processes. In case the team members do not have competence, then a specialist with appropriate code must be organized.

5.9 It is the responsibility of the group leader to ensure that the audit is completed by areas / processes by the group and that all requirements are covered and that group members have provided the necessary inputs to complete the report.

5.10 If the audit is to be conducted in a language unknown to any team member, including the team leader, a suitable interpreter should be arranged, ensuring impartiality.

5.11 If a non-compliance is identified, the team leader must explain it to the auditee in a satisfactory way.

5.12 In addition to non-conformities, any improvement observations and positive aspects must be recorded in the final report.

5.13 In deciding on the recommendation, issues such as the number and category of non-compliance, any concentration of non-compliance with respect to any clause (s), point of view of the team members must be considered.

5.14 At the end of the assessment, a written report, duly signed by the group leader and the customer's representative, must be drawn up and delivered to the customer, which will include any identified non-conformities, recommendations for certification or other.

5.15 When the Organization is recommended for certification, it must complete the required corrective action within a maximum of 90 days from the date of the closing meeting.

5.16 A copy of the report must be given to the client and a copy with the attendance report and the notes of the audit team must be sent to the TNV headquarters.

5.17 The Lead Auditor must send a copy of the client report and the accepted report to the TNV Lucknow Headquarters, Uttar Pradesh.

5.18 The Lead Auditor must clearly identify the recommendation conditions with Non-Conformity or Non-Conformity, the observations must be well communicated in the report.

6.1 The information provided by the audit team to TNV for the certification decision must be as per TNV procedure no. P 07. and must, at least, include:

1. audit reports,
2. comments on non-conformities and, where applicable,
3. the corrections and corrective actions taken by the customer,
4. confirmation of the information provided to TNV used in the review of the application;
5. the recommendation on whether or not to obtain certification, accompanied by any conditions or observations.

TNV will make the certification decision based on an evaluation of the audit results and conclusions and any other relevant information (e.g. public information, customer comments on the audit report).

6.2 The TNV Certification Committee will analyze all audit information and evidence collected during phase 1 and phase 2 audits to review the audit results and issue the Certificate or not.