Knowledge Axis
CERTIFICATION PROCESS
The Certification process shall consist of the following key stages
1. Application
2. Application/Agreement Review
3. (stage-1 audit), Initial Certification Audit
4. (stage-2 audit) Evaluation and
5. Continual assessment (Inspection audit).
1. Application :
Enquiries may be received in several forms, by telephone, letter, e-mail or facsimile. SometimesKAQSC, on its own may also approach prospective clients.AM shall request the applicant organization to provide the following information in KAQSC questionnaire to enable THEM 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
The Certification process shall consist of the following key stages
1. Application
2. Application/Agreement Review
3. (stage-1 audit), Initial Certification Audit
4. (stage-2 audit) Evaluation and
5. Continual assessment (Inspection audit).
1. Application :
Enquiries may be received in several forms, by telephone, letter, e-mail or facsimile. SometimesKAQSC, on its own may also approach prospective clients.AM shall request the applicant organization to provide the following information in KAQSC questionnaire to enable THEM 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. Contract Review :
The details received shall be reviewed by AM against NACE/EA Codes and the accredited codes of IAF. KAQSC capability for processing the certification. The review shall be conducted in accordance with procedure.If the same is found to be within KAQSC ‘S scope of accreditation the quotation will be prepared.AM shall prepare a quotation based on requirements. And after obtaining approval from CEO shall submit the same to the client.
AM /TC 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)
The individual(s) who will be conducting the certification decision shall be appointed ensuring appropriate competence with appointment letter
3. (Stage-1 audit), Initial Certification Audit
A. Stage 1 audit
KAQSC shall proceed with Initial Certification Audit (Stage-1) audit activity .A pre-assessment is conducted before the Certification audit at client's option to provide a macro level assessment. It provides valuable inputs to give confidence to the clients and saves time for taking necessary remedial action.
The audit shall be conducted :
a) to audit the client's management system documentation;
b) to evaluate the client's location and site-specific conditions and to undertake discussions with the .
c) to review the client's status and understanding regarding requirements of the standard system;
d) to collect necessary information regarding the scope of the management system, processes and related statutory and rigid aspects and compliance (e.g. quality, environmental, legal aspects of the client's operation, associated risks, etc.);
e) to review the allocation of resources
f) to provide a focus for planning the stage 2 audit
g) to evaluate if the internal audits and management review are being planned and performed,
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 AM and plan for the subsequent audits of the organization is discussed with the client.
The details received shall be reviewed by AM against NACE/EA Codes and the accredited codes of IAF. KAQSC capability for processing the certification. The review shall be conducted in accordance with procedure.If the same is found to be within KAQSC ‘S scope of accreditation the quotation will be prepared.AM shall prepare a quotation based on requirements. And after obtaining approval from CEO shall submit the same to the client.
AM /TC 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)
The individual(s) who will be conducting the certification decision shall be appointed ensuring appropriate competence with appointment letter
3. (Stage-1 audit), Initial Certification Audit
A. Stage 1 audit
KAQSC shall proceed with Initial Certification Audit (Stage-1) audit activity .A pre-assessment is conducted before the Certification audit at client's option to provide a macro level assessment. It provides valuable inputs to give confidence to the clients and saves time for taking necessary remedial action.
The audit shall be conducted :
a) to audit the client's management system documentation;
b) to evaluate the client's location and site-specific conditions and to undertake discussions with the .
c) to review the client's status and understanding regarding requirements of the standard system;
d) to collect necessary information regarding the scope of the management system, processes and related statutory and rigid aspects and compliance (e.g. quality, environmental, legal aspects of the client's operation, associated risks, etc.);
e) to review the allocation of resources
f) to provide a focus for planning the stage 2 audit
g) to evaluate if the internal audits and management review are being planned and performed,
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 AM and plan for the subsequent audits of the organization is discussed with the client.
B. Stage 2 audit
The purpose of the Assessment (STAGE-2) is to ensure that the requirements of relevant ISO standards (9001) as addressed by the documented quality system are being complied with.
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 internal auditing and management review;
c) management responsibility for the client's policies;
d) links between the normative requirements, policy, performance objectives and targets E
The purpose of the Assessment (STAGE-2) is to ensure that the requirements of relevant ISO standards (9001) as addressed by the documented quality system are being complied with.
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 internal auditing and management review;
c) management responsibility for the client's policies;
d) links between the normative requirements, policy, performance objectives and targets E
5. Inspection audits
Inspection audits are on-site audits, but are not necessarily full system audits..The inspection audits conducted at least once a year and the date of the first inspection audit following initial certification shall not be more than 12 months from the last day of the stage 2 audit.
Inspection audits are on-site audits, but are not necessarily full system audits..The inspection audits conducted at least once a year and the date of the first inspection audit following initial certification shall not be more than 12 months from the last day of the stage 2 audit.
Information for granting initial certification
The information provided by the audit team to KAQSC for the certification decision shall be as per KAQSC 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 KAQSC used in the application review , and
d) a recommendation whether or not to grant certification, together with any conditions or observations.
KAQSC shall make the certification decision on the basis of an evaluation of the audit findings and conclusions
The AM shall analyze all information and audit evidence gathered during the stage 1 and stage 2 audits to
The information provided by the audit team to KAQSC for the certification decision shall be as per KAQSC 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 KAQSC used in the application review , and
d) a recommendation whether or not to grant certification, together with any conditions or observations.
KAQSC shall make the certification decision on the basis of an evaluation of the audit findings and conclusions
The AM shall analyze all information and audit evidence gathered during the stage 1 and stage 2 audits to
Quality & ISO Consultancy Services, Quality Bureau