Certification Rules

Application For Certification

• The Client organization seeking certification of their QMS to ISO 9001/ EMS to ISO 14001:2004 Standard if applicable should submit in detailed information in the prescribed format. Quotation Request Form, sent to client is response to the client enquiry.
• The Quotation Request Form should be signed by the authorized representative and sent to Tricert Certification LLP office.
• The Client organization should be prepared to provide additional information or allow Tricert Certification LLP representative to visit the client site to gather more information about the client.
• The Quotation Request Form is reviewed by Tricert Certification LLP to ascertain the clarity of Certification requirements and the capability of Tricert Certification LLP to provide the required service. If the Quotation Request Form rejected the same is communicated to the client.

If the quotation for request is accepted further documents are sent to the client for their approval and confirmation.

Documentation Review

A document review is done, with the purpose of giving the customer an indication of the status of its documented management system with the requirements of the relevant standard without issuing a certificate of conformity.

Pre-Assessment Audit

Before the actual assessment, a detailed examination as a Pre-assessment of the client Quality Management System is undertaken for ensuring compliance with all applicable requirements of Quality Management System standard. This is optional part of certification process and has no bearing on certification process.

Certification Audit

An assessment team will visit the organization’s premises for assessment compliance with the procedures and requirements described in their Quality Management System/Environmental Management Systemdocumentation.

Non Conformity Report

If a nonconformance is detected during assessment, a Nonconformity Report will be issued and a corrective action process will commence. Non-conformances may be classified as Minor or Major. The auditor will discuss with the client the reason for the NCR in order to enable the client to identify the corrective action. The auditor will also explain how Tricert Certification LLP will follow up and clear the NCR. Corrective Action shall be verified by Tricert Certification LLP.

In case of minor non-conformance, the Corrective Actions are identified by the client and the documentary evidence submitted toTricert Certification LLP to verify the implementation. In case of a major non-conformance verification shall be done by a follow-up audit. In all cases certificate is not issued unless all NC's are verified by Tricert Certification LLP as having been effectively implemented.

Recommendation for Certification

The organisation will be recommended for certification when all non-conformities found during assessment have been closed to the satisfaction of the Tricert Certification LLP. Auditor will recommend the organization to the Certification Panel for certification. Upon acceptance by certification panel, the client will be awarded a certificate confirming the organisation's registration as a certified company, subject to clearance of all dues.

Note: The certificate shall not be released till such time that all dues are completely cleared.

The Certificate of Registration is the property of Tricert Certification LLP., and shall not be copied or reproduced in any way without the prior written approval of Tricert Certification LLP

The certification of Registration will be valid for a period of three years from the date of issue of the certificate, subject to the condition that surveillance audits confirm satisfactory maintenance of the Management System.

Surveillance Audit

Surveillance audits are conducted regularly to ensure that the Client's Management System continues to conform to the requirements of the standard to which it is certified. The purpose of these audits is to verify that the approved Management System continues to be implemented and to consider the implications of changes to the system initiated as a result of changes in the organization's operation. Surveillance Audits are also to confirm continuous conformity with certification requirements and use of certificate and logo.

The frequency and number of these surveillance audits will depend on the efficacy of the client's Management System. Six monthly surveillance audits are preferred for regular maintenance and upgrade of the Management System during the three-year period of Certification of Registration. In any event, at least one Surveillance Audit shall be conducted every year depending on the confidence of Tricert Certification LLP in the organization's Management System.

In the event that more than a single surveillance audit is conducted during a year, Tricert Certification LLP shall decide which elements are to be audited during each of the surveillance audits, ensuring that all elements of the Standard are audited once a year. However, certain key elements crucial to the success of the Management System will be included in each surveillance audit. Some of these elements are internal audits, corrective actions and handling of customer complaints. Tricert Certification LLP shall be granted access for surveillance purposes whenever deemed necessary.

For each surveillance audit conducted, Tricert Certification LLP will prepare a report that will provide the client with feedback regarding the results of the audit.

For major non-conformances, a follow-up audit shall be conducted to verify that corrective action taken is appropriate and adequate before continuation of the organisation's registration is recommended. Corrective action must be verified for effectiveness within the stipulated period of one month to avoid suspension of registration.

For minor non-conformances, the organisation has to provide the corrective action plan with target dates acceptable to auditor. For the continuation of recommendation of certification the organisation has to submit the objective evidence of compliance of the corrective action plan provided The review of effectiveness of corrective Action taken shall be verified at the subsequent audit .

In the case that a surveillance audit cannot be carried out because the organisation's operations are affected owing to factors outside its control, e.g.: employee union strike, natural calamity, etc. the case shall be presented to Certification Panel for a decision.

Re-certification Audit

Certification of an organisation's Management System is valid for a period of three years. At the end of this period, certification must be renewed through the conduct of another comprehensive audit on the lines of the certification Audit. If the re-certification audit reveals evidence that the client's company has maintained and continually improved the status of its Management System, Tricert Certification LLP shall renew the Certification of Registration for another three years.

Special Audit

If one or more major non-conformances are found during a certification/surveillance/re-certification audit, recommendation for certification/continuation of certification (Surveillance Audit) shall be stayed until a follow up audit is conducted to verify action against the specific non-conformance. Certification shall be recommended or continued as applicable if the non-conformance is cleared. Such verification must take place within one month.

If this timeframe is not adhered to in the case of a certification/re-certification audit, the organisation, at its own expense, shall need to undergo a complete audit all over again in order to achieve certification. In case of a surveillance audit where a major nonconformance cannot be closed after the follow up audit within one month, registration shall be suspended for a period of one to three months. If corrective action is still not verified within this time, the client's registration shall be withdrawn.

Maintaining Certifications