Certification Process

CERTIFICATION PROCEDURE

The procedure is structured to fully meet the requirements of the referenced documents i.e. ISO 17021, ISO 19011 and to enable free & transparent client access, impartiality, non-discrimination, and participation by all parties concerned in the certification process.

Request for Quote

Any Organization desirous of availing this service should contact WSA Certifications, obtain a Quotation Request Form, fill it up and return the same to WSA Certifications. Once a Quotation Request Form has been received from an Applicant, WSA Certifications conducts an internal contract review. As part of the internal contract review process the duration and times of the audit is calculated as per procedure

Application

WSA Certifications will make their offer to the Organization, which will include the commercial terms, blank ‘Application For Registration’ Form, which contains the terms and conditions for WSA CERTIFICATIONS services for Certification. In the case of multiple sites of a certified client, where not all sites consist the same legal entity WSA Certifications ensure there is a agreement between WSA Certifications explicitly covering each certified site of the client. Applicants and certified clients are required to confirm acceptance of these agreements prior to the provision of services by WSA Certifications.

Submission for Documents

Upon acceptance of WSA Certifications offer, the Organization submits the ‘Application For Registration’ Form, agrees to terms & conditions & to pay the fees and expenses,

Application review

Before proceeding further WSA Certifications reviews the information on the application plus any additional information available, such as web sites. All applications are reviewed for the following:

Collection of necessary information regarding scope of management system, processes and location/s of the organization, statutory requirements etc.

Consider associated risks with this client, including potential threats to impartiality, if any language, safety conditions, shifts, number of employees.

Any other points influencing the certification activity are taken into account based on this review the competences needed to include in the audit team and for the certification decision. The audit team is appointed and composed of auditors (and technical experts, as necessary) who, between them, have the competence to perform the certification of the applicant organization.

Audit Plan

The Audit Plan for the certification audit is prepared by the Lead Auditor and contains the following:

1. Audit objectives and scope
2. Reference documents (appropriate industry standard, client’s quality manual)
3. Identification of audit team members and the client’s management representative
4. Dates and place where the audit is to be conducted
5. Expected time and duration for the opening and closing meetings, meetings with the client’s management, and for each major audit activity (process based)
6. Client’s organizational unit representatives to be audited for each major audit activity
7. Language of the audit
8. Confidentiality requirements
9. Audit report submittal and expected date of issue.

Audit Team

Audit team members are selected based on skills, experience and, special product expertise as needed for the client scope of registration.

Audit Execution

WSA Certifications Informs to the client confirming the date, duration, audit team details, audit plan and consent from the client regarding the audit team and if consent not there, then rearrange the audit team structure

Audit for certification is carried out in two stages at organization’s manufacturing site. These are described as:

Stage 1 audit

1. To audit the client's management system documentation;
2. 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;
3. 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;
4. 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, working condition , legal aspects of the client's operation, associated risks, etc.); use stage 1 WSA certification checklist to provide the audit trails of audit findings
5. To review the allocation of resources for stage 2 audit and agree with the client on the details of the stage 2 audit;
6. 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;
7. 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.

The stage 1 audit is performed The client is responsible to provide its latest revisions of the quality manual, process descriptions, procedures, and work and test instructions to the Lead Auditor for documentation review. The documents are reviewed against the requirements of the applicable standards and all known requirements (regulatory, customer specifics, e.g.). The document review results are included in the stage 1 activities and reporting. The client is informed by the reviewer of the results either verbally or through a copy of the report.

The stage 1 audit is documented on the Stage One Audit form. The embedded audit plan may be modified by the Lead auditor to meet the specific organization’s requirements.

In determining the interval between stage 1 and stage 2 audits, consideration shall be given to the needs of the client to resolve areas of concern identified during the stage 1 audit. The certification body may also need to revise its arrangements for stage 2. The normal period should not be longer than ninety days. Once a stage 1 audit is performed, no pre-audits are allowed for the client, as this might result in a conflict of interest. Stage 1 audits are not normally required for recertification, certificate transfers, and for existing clients. But may have a stage 1 audit in situations where there have been significant changes to the management system, the client, or the context in which the management system is operating (e.g. changes to legislation).

Stage 2- site audit

The stage 2 audit will verify:

1. Information and evidence about conformity to all requirements of the applicable management system standard
2. Performance monitoring, measuring, reporting and reviewing against key performance objectives and targets
3. The client's management system and performance as regards legal compliance
4. Operational control of the client's processes;
5. Internal auditing and management review;
6. Management responsibility for the client's policies;
7. Links between the normative requirements, policy, performance objectives and targets, any applicable legal requirements, responsibilities, competence of personnel, operations, procedures, performance data and internal audit findings and conclusions.

The Lead Auditor is responsible for conducting all phases of the audit, including preparation of the audit plan, submittal of the audit report, supervision of the other audit team member(s) and making recommendations regarding the client’s quality management system certification. The Lead Auditor represents the audit team with the client’s management.

The audit team members are responsible for co-operating with and supporting the Lead Auditor during the ongoing audit activities, including input for recommendation in regard to the client’s quality management system certification. The client shall provide access to its facilities, resources, and cooperate with the WSA Certifications audit team in the achievement of the audit objectives.

Opening Meeting

The opening meeting is normally convened at the beginning of the first audit day. The Lead Auditor conducts the meeting attended by the audit team members, the client representatives as appropriate and the management representative. Information to be included in the opening meeting, as well as attendance, is recorded on the Opening and Closing form.

Audit performance

The Audit Team verifies, through interviews, examination of documents, and observation of activities and conditions in the audited areas. The processes audited are documented by the audit team in the auditor WSA Stage 2 Certification Checklist.

A nonconformity is defined as the absence of, or the failure to implement and maintain, one or more quality management system requirements, or a situation that would, on the basis of available objective evidence, raise significant doubt as to the quality of what the organization is supplying.

Closing Meeting

The Lead Auditor conducts the meeting attended by the audit team members, the client representatives as appropriate and the management representative. Attendance is recorded on the Opening and Closing form,

Audit Report

The client submits evidence of closure of audit findings to the Lead Auditor. The Lead Auditor informs the client of acceptance status of any actions taken. Final verification of the corrective action may include a review of client documentation, records or by an on-site verification within a time period agreed to by the client and the Lead Auditor.

The audit team will provide to WSA Certifications the audit documentation, comments on the nonconformities and, where applicable, the correction and corrective actions taken by the client. The audit team will also confirm the information on Application form is correct, and provide their recommendation whether or not to grant certification, together with any conditions or observations.

Document Submission

The Lead auditor will submit all audit documentation to the WSA Certifications office no later than two weeks of the audit completion. Should any findings be noted on audit report, the entire audit documentation package with the exception of the final audit report shall be submitted, with the final report sent upon acceptance of the client’s implementation of appropriate actions by the lead auditor.

It is the responsibility of the Lead Auditor to track client closure of non conformances within the specified time period, and to assure timely submission of audit documentation to the WSA office.

Document Submission Review

The Certification Panel

is responsible for review of the Auditor team recommendation for certification and has the final decision on client certification. The final decision is made from information found on and recorded on the Auditor Technical Review.

Certificates of Registration are not issued until all non conformances have been reviewed and accepted by the Lead Auditor. The effective date on the certificate shall not be before the date of the certification decision.

The Lead Auditor is responsible to follow up on any items identified by the certification panel in a timely manner, including submission of revised documentation and all client contacts.

Issuing the Certificate

Upon approval, the Certification Panel issues a certificate with a validity (subject to Annual Surveillance) Certificate of three years. This certificate is issued by WSA under its Own Certification Scheme or Accreditation of respective body as applicable (e.g. ISO 9001 certificate may be issued under accreditation of Relevant Accreditation Body/ies as nominated by the organization)

1. Notify the client that certification has been granted
2. Provide the client with the certificate
3. Provide the client with artwork for the WSA logo and accreditation body mark (if applicable) and the rules for their use
4. Provide the relevant Assessment Reports shall be submitted to the applicant organization
5. Include the client in the WSA Certifications list of certified organizations

Maintenance of Certification

The WSA certificate is valid for three years (subject to timely completion of Annual Surveillance provided the client system is maintained and successful surveillance audits are performed. The certified client shall maintain all certification requirements throughout the validation period; Recertification audits are performed at the end of the three-year period in order to renew the validity of the certificate for another three-year period.

All surveillance audit reports are subject to independent review by competent WSA personnel to assure the process is effective. Any audit findings that may initiate certification suspension or withdrawal are subject to this review as well.

WSA will reduce the client's scope of certification to exclude the parts not meeting the requirements, when the client has persistently or seriously failed to meet the certification requirements for those parts of the scope of certification.

Surveillance Audit

Surveillance audits shall be conducted at least once a year. The date of the first surveillance audit following initial certification shall not be more than 12 months to the month from the last day of the stage 2 audit. The surveillance audit is scheduled with the client with a tolerance of minus three, plus zero months of the certification date. One Auditor normally performs the surveillance audit.

Surveillance activities shall include on-site audits assessing the certified client's management system’s fulfillment of specified requirements with respect to the standard to which the certification is granted.

Audit planning is done to assure that that the certification body can maintain confidence that the certified management system continues to fulfill requirements between recertification audits. The audit planning shall take into account the previous audit activities, including areas of nonconformance and identified opportunities for improvement.

The surveillance audit report describing the results of the audit shall be submitted to the WSA office no later than two weeks after the audit is completed. Should any findings be noted on the audit report, the entire audit documentation package with the exception of the final audit report shall be submitted, with the final report sent upon acceptance of the client’s implementation of appropriate actions by the lead auditor.

It is the responsibility of the Lead Auditor to track client closure of nonconformance within the specified time period, and to assure timely submission of audit documentation to the WSA office.

Re-Certification Audit

A recertification audit is conducted at the end of the previous certification cycle to evaluate the continued fulfillment of all of the requirements of the relevant management system standards. The purpose of the recertification audit is to confirm the continued conformity and effectiveness of the management system as a whole, and its continued relevance and applicability for the scope of certification.

Consideration is given to the performance of the client’s management system over the period of certification, and includes the review of previous surveillance audit reports.

The recertification audit normally will not include a stage 1, but may have a stage 1 audit in situations where there have been significant changes to the management system, the client, or the context in which the management system is operating (e.g. changes to legislation).

In the case of multiple sites or certification to multiple management system standards, the planning for the audit shall ensure adequate on-site audit coverage to provide confidence in the certification

The Certification Panel will make its decision for renewing certification and on the results of the recertification audit, as well as the results of the review of the system over the period of certification and if any complaints received from users of certification.

Special Audits

In the event special audits are deemed necessary for Extensions to scope or Short-notice audits, the WSA Certifications will handle these situations on a case by case basis. Documentation of these will be maintained in the client’s file.

Receipt of a valid complaint from an interested third party is an example of when a short notice audit may be performed. A documented complaint by a third party relative to the client’s certified management system will be reviewed by the certification manager. If the complaint is determined to be valid, WSA Certifications may elect to perform an audit specifically addressing the complaint. Any nonconformance raised during this audit will be subject to the same process as a nonconformance issued in a scheduled audit.

This includes major changes to the quality system or quality documentation, changes in location, ownership, product scope and key personnel. When received, the impacts of the changes are reviewed by the WSA Certifications against the certified system, and potential impact is determined. If additional information is required, the client or other interested parties may be contacted.

Transfer Audits

APPLICANTS CURRENTLY REGISTERED BY A CERTIFICATION BODY

The applicant will provide proof of its current system certification a quote for the transfer of registration will be sent to the applicant. The duration of the quoted on-site audit will reflect current surveillance or re-certification guidelines for the size and complexity of the applicant relative to its position in the life of its current registration.

Pre-Transfer Review

The WSA Certifications will carry out a review of the current certification status of the prospective client. This review will be conducted by means of the application review and, direct contact with the prospective client by telephone if necessary.

The transfer review covers the following aspects:

1. Confirmation that the client’s scope is within WSA scope
2. The reasons for seeking a transfer?
3. A valid in terms of authenticity, duration, scope of activities covered by the quality management system and scope held in respect of the site or sites wishing to transfer.
4. A review of the last audit report and nonconformance, if any customer complaints
5. Expiration date of current certificate
6. If practical, the validity of the applicant's current certification and the status of outstanding nonconformities will be verified with the current registrar.
7. If doubt continues to exist after the pre-transfer review as to the adequacy of a current or previously held certification, WSA Certifications will, depending upon the extent of doubt, either:
8. Treat the applicant as a new client or Conduct an assessment concentrating on identified problem areas
9. The decision as to the action required will depend upon the nature and extent of any problems found an will be explained to the applicant.

Conducting the transfer Audit

If the tranfer audit is performed, the auditor will obtain evidence as to the current health of the applicant’s quality system. This will involve review of past audit reports and non conformances issued, as well as auditing a representative sample of the client’s certified management system. The certification panel will review the audit information and make a final determination concerning the audit team recommendation. If the application for transfer or assumption of registration is accepted by WSA Certifications, a WSA certificate will be issued.