DUV Process


ISO Certification procedure of DUV :


DUV’s Certification procedure consists of the following basic sections:

  1. Application Review & Contract Assessment.
  2. Initial Certification Audit: Stage-1 & Stage 2 Audit)
  3. Certification Decision
  4. Continual evaluation (surveillance audit)
  5. Resumption Audit
  6. Extending, suspending, removing or minimizing the scope of certification.


Application Review & Contract Review :


Application Receipt :


ISO Enquiry is welcomed in various forms like telephone, letter, e-mail or facsimile.  Sometimes, DUV on its own may also approach prospective clients.


Applicant Information :


All the application organizations are requested to confer following information in DUV-F-001 to enable DUV to establish the following:

  • The desired possibility of the certification;
  • The general information of the applicant organization, including its name and the address (es) of its physical location(s), significant aspects of its process and operations, and any relevant legal obligations;
  • general information, suitable for the field of certification applied for, concerning the applicant organization, such as its activities, human and technical resources, functions and relationship in a larger corporation, if any;
  • Information concerning all outsourced processes used by the organization that will affect compliance with standards;
  • The standards or any other requisite for which applicant organization is pursuing certification;
  • Information concerning the use of consultancy relating to the management system


Application Review :


All the details received on questionnaire are analysed by the AM against NACE / ANZSIC Codes and the accredited codes of IAF check DUV’s capability for processing the certification. The assessment shall be regulated in accordance with “Procedure for Review of Application and contract review”. If the application is found to be within DUV’s scope of accreditation, AM dispatches the application to QM for Contract Review and Quotation issuance process.


Contract Review :

  • QM shall prepare a quotation after the contract review based on requirements of Mandays, multi site activities and other considerations. Evaluation of man days shall be as per DUV'S procedure “Contract Review”. And after obtaining approval from CEO, shall submit the same to the client. The matter shall be followed with the client for securing business.
  • If client accept the quotation of DUV, he delivers the registration fee and receipt of all these requires verification by AM of relevant details of the client’s application, fee quotation reconfirm Contract. He may consult CEO or any other officer of DUV to conduct an authoritative review including assignment of the scope sector of the client’s activities under the applied scope of registration with the original Questionnaire to check that there is no deviation. Any discrepancy shall be taken up with the client and differences resolved prior to acceptance of work.
  • QM/AM with the consultation of the CEO finalize the audit team. The auditors team shall be chosen consisting of auditors (and technical experts as necessary) who holds the full authority identified by DUV in reviewing the application for certification of the applicant organization. The selection of the team will be performed with reference to the proficiency of auditors and technical experts and may involve the use of both internal as well as external human resource. The selection of the team comprising of Auditors/ Auditor Team including Technical Expert are selected as per DUV Procedure.
  • The individual(s) who will be governing the certification decision shall be appointed ensuring appropriate proficiency.


Initial Certification Audit :


 Stage 1 Audit :

DUV proceeds with the initial Certification Audit or Stage 1 Audit once contract review have completed successfully along with acceptance of DUV’s certification agreements have occurred. Stage 1 audit which is conducted before the Certification audit at client’s option to provide a macro level assessment of the status of implementation and identification of any major deficiencies in the compliance of the documented quality system with the requirements of the certification standards, for corrective actions to be taken in advance of the certification audit. It provides valuable information to give confidence to the client and saves time for taking any remedial action later. Stage 1 audit is done in all cases and it is also ensured that the auditor signs the conflict of interest before every visit.

 Purpose of Stage 1 Audit :

  • Ensure that the clients management system documentation meets the requirements of the applicable standard/specification.
  • To collect information as a planning for Stage II audit as well as determine the preparedness of the client for Stage II audit including interval between stage I and Stage II audits.
  • Usually the Stage 1 audit is conducted at the client’s site only and if only few exceptional cases it is carried off site. But any such decision is needed to be justified in the report which may be based on the client’s size, location, risk consideration, previous knowledge, etc. In such situation the client’s management shall be informed that the planning of stage II audit might not be accurate.

The stage 1 audit shall be performed on site as per the man-days defined in the Contract Review. The Audit shall be marked started with a opening meeting and closed by a closing meeting . During this the client is informed whether the client is fully prepared for the Stage II audit or not.

The Audit shall be conducted :

  • to audit the client's management system documentation;
  • to assess the client's location and site-specific conditions and the carry out a discussion with the client's personnel to ascertain the readiness of the applicant for Stage II audit along the verification of the Quotation Information;
  • To analyze the status of client and understanding the 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 gather essential information about scope of 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 evaluate the allotment of resources for stage 2 audit and agree with the client on the details of the stage 2 audit;
  • To plan for Stage II audit by gathering adequate information client's management system and site operations in the context of possible significant aspects;
  • to assess if the internal audits and management review are being planned and performed, and that the level of implementation of the management system validations that the client is ready for the stage 2 audit.
  • The OHSAS management system includes adequate processes to identify the organizations OHS hazards and determine their significances as well.
  • The OHS management system provides a suitable description of the organization and its on-site processes.
  • A synopsis of the applicable regulations, agreement with approving authorities has been included in the OHSAS management system, also if there is any OHS license requirement in application the relevant activities of the organization are in place.
  • The OHSAS management system is designed to achieve the organization’s OHS policy.
  • To verify that at least one cycle of Internal Audit & Management Review has been performed and the OHSAS management system programme is executed properly and the readiness for the conduction of Stage 2 audit. To collect necessary information for on-site audit of temporary sites considering the sites as per the complexity category.
  • To verify that all the information obtained from Contract Review is complete and relevant with all the terms for the OHS management system and verify the multisite sampling plan if applicable.
  • To collect all the crucial information and recognize the issues that need special attention in Stage 2 Audit.
  • The organization has identified PRPs appropriate to the business (e.g. regulatory and statutory requirements).
  • The FSMS comprise of all the adequate processes and methods for the identification and assessment of the organization’s food safety hazards, and subsequent selection and categorization of control measures (combinations).
  • Food safety legislation is in place for the relevant sector(s) of the organization
  • FSMS implementation programme validate the proceeding to the Stage 2 audit.
  • To authenticate, verify and improve programmes compliance to the requirements of the FSMS standard
  • The FSMS documents and arrangements are in place to communicate internally and with relevant suppliers, customers and interested parties
  • Additional documentation needs to be reviewed and/or what knowledge needs to be obtained in advance.
  • Where an organization has executed an externally developed combination of control measures, the stage 1 audit shall review the documentation included in the FSMS to determine if the combination of control measures is suitable for the organization, was developed in compliance with the requirements of ISO 22000, and is kept up to date. The availability of relevant authorizations should be checked when collecting the information regarding the compliance to regulatory aspects.
  • For combined audits the information gathered during Stage 1 must include the following points (in addition to the above objectives)
  • The level of combination of organization’s management system (s)
  • The ability of the organizations personnel (at the time of the audit) to respond to questions relating to each management system standard covered by the combined audit

 At the conclusion of the audit, team leader shall prepare an audit report declaring:

  • Client’s status regarding preparedness for stage 2 audit
  • Identified areas that are preventing the client to be considered as ready
  • Areas of concern that are identified not to be in compliance with standards
  • In case it is concluded that the client is not ready for stage II audit then stage I audit shall be performed again.
  • Team leader then formulates a audit plan for stage II audit based on defined processes of the client.
  • Stage 1 audit decisions are documented and communicated to the client by the Team Leader

 For majority of management systems most part of the stage 1 audit is recommended to be conducted at the client's premises in order to achieve the objectives stated above.

 Stage 1 audit findings shall be documented and communicated to the client, including identification of any areas of concern that could be classified as nonconformity during the stage 2 audit.

 In deciding  the interval between stage 1 and stage 2 audits,needs of the client to resolve areas of concern identified during the stage 1 audit should be considered. DUV may also need to revise its arrangements for stage 2.

 A detailed copy of the report shall be handed over to the client by the Team Leader . Moreover the report shall be evaluated by AM and plan for the subsequent audits of the organization is discussed with the client.

 It is expected that the generally the management system has been in place for at least about three months before the Pre-Audit is considered. However, the time can be decided by CEO.

 Any part of management system audited at stage I audit and determined to be fully implemented, effective, and in conformity with requirements of FSMS can be left during the Stage 2 audit.

 In case OHS Stage 1 & Stage 2 audit is carried out by different auditor, the auditor need to take a copy of the report from DUV, QM is responsible for confirming from the auditor.


 Stage II Audit :

 Purpose of Stage II Audit :

Ensure that the clients management system is in compliance with the requirements of the applicable standard/specification including its effectiveness.

To provide guidelines for associated follow up audits/ surveillance audit and recertification audit.

The main Aim of Stage II audit is to determine the execution of the client’s management system including its effectiveness. The stage 2 audit plan is verified to ensure that the majority of the audit time is given to verify the effective implementation of the management system in the locations where the organization’s activities takes place including on-site audits of temporary sites for OHSAS (In Management System Audit 80% of the audit time shall be given onsite).

 DUV ensures that the Stage II audit meets following requirements:

  • Audit shall be conducted on client’s site.
  • Stage 2 Audit shall be conducted within maximum 90 days of completion of stage 1 audit
  • Team leader shall prepare an audit plan communicate to the client after completion of stage 1 audit
  • Stage 2 Audit shall involve following :
  • Information as well as proof that applicable management system are in compliance with all requirements of standards and 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 to legal and other requirements
  • Operational control procedures of the client’s processes
  • Internal auditing and management review
  • Management commitment and responsibility for the client’s policies
  • Association between the regulating requirements, policy, performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document), any applicable legal and other requirements, responsibilities, competence of personnel, operations procedures, performance data and internal audit findings and conclusions.
  • Various compulsory recording ensuring that the management system is practical

Confirmation of the monitoring of customer satisfaction

  • The organisation follow its own OHSAS policies, objectives and procedures.
  • The OHS management system conforms to all the requirements of the OHS standard and is achieving the organization’s policy objectives for providing a safe and healthy working environment.
  • Verify effective implementation of OHS including temporary sites

2.2.2 Audit shall commence with a opening meeting followed by a site visit. If the audit is for more than one calendar day duration, a meeting shall be conducted to notify the client on findings of the day including any non- conformities, progress of audit, any problem faced and modification to the audit plan, if required.

Before a closing meeting, Team leader shall have a meeting with its team members wherein the discussion and exchange of the findings and review of the audit progress and system implementation status is done.

Each member shall make sure that Auditor’s notes are understandable, containing name of main auditee, date and area/ process audited, what and where was seen, reference of documents/ records reviewed, any nonconformity identified with objective evidence, category of non- conformity, observations etc.

As far as possible at least one member in the team shall possess the relevant code, who shall be assigned to audit core processes of the management system. In case team members doesn’t have expertise, in such case a specialist with appropriate code shall be arranged.

It is Team leader’s responsibility to make sure that the audit is completed for areas/ processes by the team and all requirements are covered and that the team members have provided essential details to him for completing the report.

If audit is to be conducted in a language not known by any team member including team leader, a suitable interpreter should be arranged, ensuring impartiality.

If any non-conformity is found, team leader shall explain it to the auditee for his satisfaction. In case of a Major non- conformity, the team leader shall be informed who will inform the management about the same and give them option either to terminate further audit or to continue.

While noting nonconformity, adequate objective evidence, standard/ specification clause number, client documents. Reference number (if any) in addition to area where it was found shall be recorded in clear terms so that the auditee or any other person reading it can easily understand.

Additionally, any observation for improvement, positive issues should also be   recorded, in the report.

While deciding on recommendation, the issues like number and category of non- conformities, any concentration of non- conformities against any clause (s), view of team members shall be considered.

At the end of the evaluation, a written report, duly signed by the team leader and client representative shall be prepared and handed over to the client which shall include non conformities identified if any, recommendation for certification or otherwise.

It is strongly recommended to the clients to have a close look at the “Certification detail” in the report for any possible error in name, address, scope, spelling mistake etc.

When recommendation is made for certification the audit reports, confirmation of the information provided to the DUV used in the application review, a recommendation whether or not to grant certification, together with any conditions or observations, the need for taking corrective action and need of verification of the corrective action taken (i.e. when there is nil or few minor non- conformities), by site visit or otherwise must be take into account & explained.  The client should complete the remedial action within maximum 90 days from the date closing meeting.

A copy of the report should be given to the client and one copy with attendance record and auditors notes to be sent to Head office of DUV.

Lead Auditor need to submit a copy of report to the client and accepted report to DUV Head Office Lucknow, Uttar Pradesh.

Lead Auditor shall clearly determine the recommendations conditions with Non Conformity or without Non Conformity, the observations shall be well communicated in the report.

Non conformities shall be classified as. Major or Minor according to their possible effects on the management system. The consequences of these shall be termed as follows:

Type of   Non-conformity

Pre- Audit

Certification Audit


or recertification audit


- No certification

- Completion

- time scale open

-Full certification audit


-No certification until completion within 60 days or new full audit verification based on objective evidence (on documents or on site)

- Next surveillance audit within 6/9 months


- Completion within 15 days

- Verification based on objective evidence (on documents or on site)

-Certification suspended: Information to the customers.

 - New verification based on objective evidence

- Next surveillance audit within 6/9 months



No certification

-Certification completion effective or effectively planned within 30 days

- Verification based on objective evidence (on documents or on site)

Completion effective or effectively planned within 30 days

- Verification based on objective evidence (on documents or in site)

-Certification suspended: information to customers





 Information For Granting Initial Certification :

  • The information provided by the audit team to DUV for the certification decision shall be as per DUV’s “Procedure for issue, change and cancellation of certification. and shall include, as a minimum,
  • The Audit reports,comments on the nonconformities where applicable, the correction and remedial actions taken by the client,
  • Confirmation of the information provided to DUV used in the application review.
  • Advice whether or not grant certification, together with any conditions or observations.DUV shall make the certification decision on the basis of an evaluation of the audit findings and conclusions and any other relevant information (e.g. public information, comments on the audit report from the client).

DUV Certification Committee shall analyze all information and audit verifications gathered during the stage 1 and stage 2 audits to review the audit findings and agree on the audit conclusions.