ISO Certification Process

The Certification process shall consist of the following key stages

1. Application
2. Application/Contract Review
3. Initial Certification Audit (stage-1 audit),
4. Assessment (stage-2 audit)
5. Technical Review
6. Certification Decision
7. Surveillance audit (Continual assessment).
8. Recertification/Renewal of Certification.

1. Application:

ISO Certification Enquiries may be received in several forms, by telephone, letter, e-mail or facsimile or online as available on the website under the Tab Application. In case client need the physical copy of the application form then client can write us on info@starscert.com and demand a copy of an application or can download from the website under the Tab download.

1.1 Applicant Information:
Applicant organization need to provide the following information in Application Form SF-01 to enable SCS 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 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;
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

2. Application/contract Review:

2.1 On the receipt of application questionnaire the details received shall be reviewed by SM against Technical Areas (EA/ISO/NACE Codes). In case any deficiency is found then ask the information from the client and complete it and then forward it to the application reviewer for the review

2.2 SM shall prepare a quotation after the Application/contract review based on requirements of Mandays, multi-site activities and other considerations. Estimation of man days shall be as per procedure and after obtaining approval from CM/Director, shall submit the same to the client. The matter shall be followed with the client for securing business. If the client accepts the quotation of SCS, he will forward the registration fee along with the acceptance of terms and Conditions of Certification (Client Agreement) and on receipt of all these SM shall be required to verify the relevant details of the client’s application, fee quotation reconfirm Contract. Any discrepancy shall be taken up with the client and differences resolved prior to acceptance of work.

2.3 Based on the Application/contract review for the Standards of ISO Certification Services is Applied for, SCS shall determine the competences needed to be included in its audit team and for the certification decision. SM in consultation with CM/Director 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 SCS 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.

3. Initial Certification Audit (Stage 1) :

SCS shall proceed with Initial Certification Audit (Stage-1) audit activity on completion of earlier activities. A pre-assessment is a trial audit which is conducted before the Certification audit at client's option to provide a macro level assessment of the status of implementation and identification of any major deficiencies in the compliance of the documented system with the requirements of the certification standards, for corrective actions to be taken in advance of the certification audit. It provides valuable inputs to give confidence to the clients and saves time for taking necessary corrective action, later. However pre-assessment is done in special cases and it is also ensured that the auditor signs the conflict of interest before every visit.

A detailed report shall be prepared by the Team Leader and a copy shall be given to the client. The report shall be evaluated by SM and plan for the subsequent audits of the organization is discussed with the client.

4. Certification Assessment (Stage 2 audit)

The purpose of the Assessment (STAGE-2) is to ensure that the requirements of relevant ISO standards as addressed by the documented quality system are being complied with. The Auditors will be looking for objective evidence of compliance with the standards, and Non compliances are brought to the attention of the guide and noted on a report form. At the end of assessment, these are discussed and the company's management representative is asked to sign the report acknowledging that he understands and accepts the findings.

The Assessment is concluded with a “Closing Meeting” at which the Team Leader presents the findings and makes a recommendations, either for certification to the applicable standards of ISO otherwise with a requirement for a verification audit in case of major non-conformances having been identified.

In case where non-compliances are of a minor nature, certification is recommended subject to a corrective action plan that addresses the non-compliances and observations raised in the report being submitted together with objective evidences for all non-compliances within 60 days. When this corrective action plan and the objective evidences are received at the SCS office, the audit reports shall be verified for conformance against the requirements of the certification standard. The client's file is reviewed to ensure an independent verification of compliance against certification checklist and grant of certification.

The stage 2 audit shall take place at the site(s) of the client. It shall include at least the following :

a) information and evidence about conformity to all requirements of the applicable management system standard or other normative document;
b) performance monitoring, measuring, reporting and reviewing against key performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document);
c) the client's management system and performance as regards legal compliance; d) operational control of the client's processes;
e) internal auditing and management review;
f) management responsibility for the client's policies;
g) links between the normative requirements, policy, performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document), any applicable legal requirements, responsibilities, competence of personnel, operations, procedures, performance data and internal audit findings and conclusions.

Each certified organization shall be required to undergo a surveillance audit at once a year during the term of validity of its certification. The continual conformance of the organization management system with the certification standard shall be verified by auditing selected elements of the management system at each visit besides verification of the effectiveness of the corrective actions against the non-conformities raised during the previous audit.

The Auditors are required to complete the Reports in a precise and accurate manner. The justification for non-inclusion of any element as per the ISO standards e.g. Design Control etc from the company's quality system should be carefully verified and recorded in the Report.

5. Technical Review:

Certification Manager shall be collected all information and audit evidence gathered during the stage 1 and stage 2 audits and the audit findings and agree on the audit conclusions. All documents to be submitted to the different Technical person/auditor for Technical review.

6. Certification Decision:

SCS shall make the certification decision on the basis of an evaluation of the audit findings and conclusions and any other relevant information (e.g. public information, comments on the audit report from the client).

Information for granting initial certification
The information provided by the audit team to SCS for the certification decision shall be as per SCS procedure shall include, as a minimum,
a) the audit reports,
b) comments on the nonconformities and, where applicable, the correction and corrective actions taken by the client,
c) confirmation of the information provided to SCS used in the application review , and
d) a recommendation whether or not to grant certification, together with any conditions or observations.

7. Surveillance audits

Surveillance audits are on-site audits, but are not necessarily full system audits. Surveillance audits planned together with the other surveillance activities so that the certification body can maintain confidence that the certified management system continues to fulfill requirements between recertification audits. The surveillance audits conducted at least once a year and the date of the first surveillance audit following initial certification shall not be more than 12 months from the Certification Decision date.

The objective of surveillance audit is to:

Ensure that the client's management system which was basis of grant of certificate has been maintained on continuous basis.

Verify and ensure that any changes to management system which might have taken place since last audit meet the requirement of the standard/ specification and implemented effectively

Ensure on-site audits assessing the certified client's management system's fulfillment of specified requirements with respect to the standard to which the certification is granted.

Ensure that the management system continues to be appropriate to the product/ process/ service offered by client, with the capability of managing and improving performance.

Assess continual improvement in client's management systems

8. Recertification Audit

There shall be recertification after every 3 year of certification .Conduct re-certification audit prior to certification period for continuation of Certificate of registration and subsequently followed up by Surveillance audits as per the accepted proposal. Re-certification audit shall be completed, preferably prior to one month of expiry of the present certificate of registration including the provision of adequate time to close any NCRs.