Certification process
Our ISO certification process is designed to be transparent and straightforward, ensuring you gain a thorough understanding of each stage from initial enquiry to recertification. Below is an overview of the key steps:
1. Application
Organisations may contact us by email or via our online form. If you prefer a physical copy of the application form, kindly request one by emailing our support team alcb.cert@gmail.com. Once you complete the application, we will begin reviewing your information.
2. Application and Contract Review
After receiving your completed application, our Certification Manager will examine the details to determine the scope of certification and the appropriate audit plan. We then prepare and send you:
- A formal quotation or work order, outlining costs and timelines.
- A copy of the certification agreement or contract, stating roles, responsibilities, and terms of service.
3. Initial Certification Audit
The initial certification audit typically consists of two stages (Stage 1 and Stage 2). However, some clients may opt for an additional pre-assessment (trial audit) before Stage 1 if they desire a preliminary review of their management system.
3.1 Stage 1 Audit
Preliminary Evaluation
Some clients prefer a pre-assessment (or ‘trial audit’) prior to the Stage 1 audit. It is not mandatory, but it can provide valuable insights, highlight areas needing improvement, and give you time to implement corrective actions. If you choose this option, our auditor will present a detailed report with recommendations. A conflict-of-interest declaration is always signed by the auditor prior to any visit.
- The Stage 1 audit focuses on a macro-level review of your documented management system.
- Our auditors will check whether your organisation’s documentation (policies, procedures, records) meets the requirements of the relevant ISO standard.
- This stage also helps identify any major gaps or deficiencies, so you have time to address these issues before moving on to Stage 2.
Some clients prefer a pre-assessment (or ‘trial audit’) prior to the Stage 1 audit. It is not mandatory, but it can provide valuable insights, highlight areas needing improvement, and give you time to implement corrective actions. If you choose this option, our auditor will present a detailed report with recommendations. A conflict-of-interest declaration is always signed by the auditor prior to any visit.
3.2 Stage 2 Audit
On-Site Assessment
Subject to satisfactory closure of nonconformities (if any), the certification body makes its formal certification decision. If everything meets the standard’s criteria, you will be granted certification and issued an official certificate.
- Stage 2 involves a more detailed, on-site evaluation of your management system in practice.
- Our auditors will gather objective evidence of compliance by reviewing procedures, speaking with staff, and examining operational records.
- Any nonconformities (major or minor) identified during the audit are documented and discussed with your management representative during the closing meeting.
- At the end of Stage 2, the audit team holds a closing meeting, summarising the findings and clarifying any nonconformities or observations.
- If there are no major nonconformities, the team may recommend your organisation for certification straight away.
- In the case of major nonconformities, you will need a follow-up or verification audit once corrections are made. Minor nonconformities typically require a corrective action plan within a specified timeframe (often 60 days).
- Once evidence of all corrective actions is provided and assessed, your organisation’s file undergoes an independent review for final certification approval.
Subject to satisfactory closure of nonconformities (if any), the certification body makes its formal certification decision. If everything meets the standard’s criteria, you will be granted certification and issued an official certificate.
4. Surveillance Audits (Annual Inspections)
Maintaining Compliance
After achieving initial certification, your organisation will be subject to surveillance audits, typically once per year. These audits are designed to ensure your management system remains compliant with the standard’s requirements throughout the validity of the certificate. Surveillance audits are usually shorter than the initial certification audits and may focus on selected elements of your management system, previous nonconformities, and any changes in your processes or documentation.
Surveillance Objectives
After achieving initial certification, your organisation will be subject to surveillance audits, typically once per year. These audits are designed to ensure your management system remains compliant with the standard’s requirements throughout the validity of the certificate. Surveillance audits are usually shorter than the initial certification audits and may focus on selected elements of your management system, previous nonconformities, and any changes in your processes or documentation.
Surveillance Objectives
- Verify that the certified management system is consistently maintained and effective.
- Ensure any modifications to the system still comply with the applicable ISO standard.
- Assess ongoing performance, including legal and regulatory compliance where applicable.
- Monitor continual improvement efforts, confirming your organisation continues to enhance its processes.
5. Recertification
Three-Year Renewal
Most ISO certificates remain valid for three years. Before the certificate’s expiry, a recertification audit is conducted to confirm continued compliance. We recommend scheduling the recertification audit at least one month prior to the certificate expiration to allow time for addressing any nonconformities and renewing without interruption.
Recertification Audit
Most ISO certificates remain valid for three years. Before the certificate’s expiry, a recertification audit is conducted to confirm continued compliance. We recommend scheduling the recertification audit at least one month prior to the certificate expiration to allow time for addressing any nonconformities and renewing without interruption.
Recertification Audit
- Similar to the initial certification process, the recertification audit reviews both documentation and operational practices to ensure sustained conformance.
- If your organisation has significantly expanded in scope or made substantial changes to its processes, additional time or audit days may be required.
- Upon successful completion of this audit (and resolution of any nonconformities), your certificate is renewed for another three-year cycle, with subsequent yearly surveillance audits continuing as before.
Making the Certification Decision
Following each audit (initial, surveillance, or recertification), the audit team compiles the reports and evidence gathered (including any corrective actions taken by the client). An independent reviewer within the certification body evaluates:
- The audit findings and conclusions
- Nonconformities and their resolution or corrective action plans
- Verification of all relevant information from the application stage
- Whether to grant or maintain certification, or if a follow-up audit is required
- A formal certification (or recertification) decision is then made, and if positive, an updated certificate is issued according to our established procedures.
Conclusion
By following these key stages—Application, Review, Initial Certification Audit, Surveillance, and Recertification—your organisation can confidently demonstrate ongoing compliance with international ISO standards. Regular reviews through annual surveillance ensure your management system remains effective and continuously improves, helping you maintain a competitive edge and provide greater assurance to clients, partners, and other stakeholders.
If you have any questions or wish to begin the certification process, please feel free to contact us. We look forward to supporting you on your path to ISO certification success! Application link
If you have any questions or wish to begin the certification process, please feel free to contact us. We look forward to supporting you on your path to ISO certification success! Application link