Certification process

Decision for certification and Selection of Certification Body

  •   Organization’s top management decide to go in for certification
  •   Enquiries for certification received from organization

Application Review and Contract Finalization

  •   Receive Filled Application from the applicant organization
  •   Contract sent to applicant organization
  •   Finalize contract and sign the contract
  •   Register contract in the database

Audit Planning Phase

  •   Agree on the dates of the stage 1 and stage 2 audits
  •   Agree on the Audit Team members
  •   Pre-Assessment Audit (Optional)
  •   Agree on Technical Scope & choice of certificates

Stage 1 Audit & Reporting of the Findings

  •   Conduct the stage 1 audit on site
  •   The purpose of the stage 1 audit is to
    •   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 review the client’s status and understanding regarding requirements of the standard, in particular with respect to the identification of key performance or significant aspects, processes, objectives and operation of the management system;
    •    to collect necessary information regarding the scope of the management system processes and location(s) of the client, and related statutory and regulatory aspects and compliance (e.g. quality, environmental, legal aspects of the client’s operation, associated risks, etc.);
    •   to review the allocation of resources for stage 2 audit and agree with the client on the details of the stage 2 audit;
    •   to provide a focus for planning the stage 2 audit by gaining a sufficient understanding of the client’s management system and site operations in the context of possible significant aspects;
    •   to evaluate if the internal audits and management review are being planned and performed, and that the level of implementation of the management system substantiates that the client is ready for the stage 2 audit.
  •   Prepare a report which identifies omissions and/or Problems for correction prior to the Certification Audit
  •   Corrections to be implemented and submitted to Quality Austria Central Asia Pvt. Ltd. for closure

Stage 2 Audit & Reporting of the Findings

  •   Opening meeting
  •   Conduct Site tour
  •   The stage 2 audit shall take place at the site(s) of the client. It shall cover at least the following:
    •   information and evidence about conformity to all requirements of the applicable management system standard or other normative document;
    •    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);
    •   the client’s management system and performance as regards legal compliance;
    •   operational control of the client’s processes;
    •    internal auditing and management review
    •   management responsibility for the client’s policies;
    •    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.
  •   Cover all core processes and sites
  •   Interviews, Observations & Discussions
  •   Record Audit teams concerns
  •   Record and hand over Non conformities to organization
  •   Closing Meeting
  •   Summary of observations
  •   Recommendation of the audit team

Non-conformity clearance

  •   Provide objective evidence of implementation of corrective action
  •   Non-conformity may be cleared through on-site follow-up audit or documentary evidence through fax / e-mai
  •   A major non-conformity may require an on-site follow-up audit
  •   Certification / continuation. as applicable. can be recommended only after closure of all non-conformities


  •   Quality Austria Central Asia Pvt. Ltd. issues certificates of approval to the various standards
  •   Quality Austria Central Asia Pvt. Ltd. supplies details of Certification Logo in electronic and paper copy for printing on stationary
  •   Organization to use certification mark according to the guidelines for use provided along with the certificate

Post Certification Activity

  •   Surveillance Audits (annually or bi-annually)
  •   First Surveillance audit for a certification cycle to be conducted within 11 months of the last date of the stage 2 audit
  •   Not accepting surveillance audits as per schedule may lead to suspension and/or withdrawal of the certificate
  •   Audit intimations to be sent in advance and audit dates mutually decided
  •   Any nonconformities reported to be addressed as stated above


  •   New Contract
  •   Recertification audits and associated certification decision process to be completed before expiry of the existing certificate and no extension to validity of previous certificate

Refusal, Restoration, Scope Expansion and Scope Reduction

  • Refusal for Certification decision may be granted in case of non-availability of scope, scheme, major non-conformities from previous Certification Body (in case of transfer clients), etc.A suspended certificate will be restored if the issue that has resulted in suspension has been resolved.Scope expansion – In case Scope of the existing certificate is to be expanded (eg. Inclusion of process (es) in the system which was earlier excluded, inclusion of new product), then following actions are initiated:
    • The Scope expansion audit will be conducted either as separate or combined with Surveillance / re-certification.
    • The audit team/auditor shall send the entire set of documents and recommendations for the review and issue of fresh certificate

    Scope reduction – in-case the scope of the existing certificate is to be reduced(eg parts not meeting requirements; persisting complaints; business on hold from customer), etc, then following
    actions are initiated:

    • The certification scope is reduced to that which meets the current set of requirements
    • The audit team/auditor shall send the entire set of documents and recommendations for the review and issue of fresh certificate.

Remote Assessment under Extraordinary Events