Certification Process
The certification process shall consist of the following key stages:
- Application
- Application / Contract Review
- Initial Certification Audit (Stage 1 audit)
- Assessment (Stage 2 audit)
- Continual assessment (Surveillance audit)
- Recertification
1. Application
Enquiries may be received in several forms — by telephone, letter, e-mail, facsimile or online as available on the website under the Tab “Application”. In case a client needs a physical copy of the application form, the client can write to us at info@smscert.in and we will provide a copy of the application.
2. Application Review
After getting the complete application, the Certification Manager will send it for application review. After application review, a work order shall be sent to the client including a copy of the client agreement.
3. Initial Certification Audit (Stage I & Stage II)
A. Stage 1 Audit — SMS shall proceed with the Initial Certification Audit (Stage 1) audit activity on completion of earlier activities. A pre-assessment is a trial audit conducted before the certification audit at the client’s option, to provide a macro level assessment of the status of implementation and identification of any major deficiencies, so that corrective actions may be taken in advance of the certification audit. 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 the Assessment Manager, and the plan for subsequent audits is discussed with the client.
B. Stage 2 Audit — The purpose of the Assessment (Stage 2) is to ensure that the requirements of the relevant ISO standards, as addressed by the documented quality system, are being complied with. The auditors will look for objective evidence of compliance with the standards. At the end of assessment, findings are discussed and the company’s management representative is asked to sign the report acknowledging that they understand and accept the findings.
The assessment concludes with a “Closing Meeting” at which the Team Leader presents the findings and makes a recommendation, either for certification to the applicable ISO standard, or otherwise with a requirement for a verification audit in case major non-conformances have been identified. In case non-compliances are of a minor nature, certification is recommended subject to a corrective action plan that addresses the non-compliances within 60 days. When the corrective action plan and objective evidences are received at the SMS office, the audit reports shall be verified for conformance, and the client’s file is reviewed for grant of certification.
The Stage 2 audit shall take place at the site(s) of the client
- 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.
- 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, legal requirements, responsibilities, competence of personnel, operations, procedures, performance data and internal audit findings and conclusions.
4. Granting of Initial Certification
Each certified organisation shall be required to undergo a surveillance audit at least once a year during the term of validity of its certification. The continual conformance of the organisation’s 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 information provided by the audit team to SMS for the certification decision shall include, as a minimum: the audit reports, comments on the non-conformities and correction / corrective actions taken by the client, confirmation of the information provided to SMS used in the application review, and a recommendation whether or not to grant certification together with any conditions or observations. Global quality control shall issue the certificate as per procedure.
5. Surveillance Audits
Surveillance audits are on-site audits, but are not necessarily full system audits. They are planned together with other surveillance activities so that the certification body can maintain confidence that the certified management system continues to fulfil requirements between recertification audits. Surveillance audits are 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 last day of the Stage 2 audit.
- Ensure that the client’s management system, which was the basis of grant of certificate, has been maintained on a continuous basis.
- Verify and ensure that any changes to the management system since the last audit meet the requirements of the standard and are implemented effectively.
- Ensure on-site audits assess the certified client’s management system’s fulfilment of the specified requirements of the standard to which certification is granted.
- Assess continual improvement in the client’s management systems.
6. Recertification Audit
There shall be recertification after every 3 years of certification. A re-certification audit is conducted prior to the certification period for continuation of the Certificate of Registration, subsequently followed up by surveillance audits as per the accepted proposal. Re-certification audit shall be completed preferably one month prior to the expiry of the present certificate, including adequate time to close any non-conformities raised.