AR
EN
Pre-Certification
Application, review, audit programme planning & formal agreement
Initial Audit
Two-stage audit (Stage 1 + Stage 2) with independent review
Certification Decision
Impartial decision by personnel not involved in the audit
Ongoing Maintenance
Annual surveillance + 3-year recertification cycle
Phase One
Pre-Certification Activities
Application Submission
The client submits a completed application form according to the applicable standard — by email, online portal, or in person.
Information Exchange
TUV United exchanges information with the client on the certification process, applicable standards, accreditation requirements, and scope limitations.
Application Review
A competent reviewer ensures completeness and compliance. The application is either accepted or declined, with documented reasons for any declined application.
Audit Programme Development
TUV United develops a full certification-cycle audit programme covering: a two-stage initial audit, surveillance audits in years 1 and 2, and a recertification audit in year 3.
Formal Proposal
A formal proposal (scope, applicable standards, process, financial terms) is issued and, upon acceptance, a Certification Agreement is signed.
Audit Time Determination
Required audit time is calculated per PR-05 and documented before any audit is planned.
Phase Two
Stage 1 Audit — Documentation Review
A competent audit team is selected and appointed based on the client's industry, management system, and audit scope.
The Stage 1 audit plan is prepared and communicated to the client at least 48 hours in advance.
The audit evaluates the client's management system documentation and readiness for Stage 2.
Findings are recorded in the Stage 1 Audit Report and shared with the client, including any concerns that could become nonconformities in Stage 2.
If areas of concern are identified, the client must address them before Stage 2 begins. If significant changes occur, Stage 1 may need to be partially or fully repeated.
Phase Three
Stage 2 Audit — On-Site Assessment
An independent, competent audit team is appointed for Stage 2 (may differ from Stage 1 team).
The on-site audit plan is sent to the client at least 48 hours before the audit.
The Stage 2 audit evaluates the implementation and effectiveness of the client's management system on-site.
Nonconformities and areas for improvement are documented and communicated to the client.
Audit conclusions are one of: Recommended (with any minor NC plans accepted), Not Recommended until major NCs are resolved, or Not Recommended — Re-audit Required.
If a major nonconformity cannot be verified within 6 months of Stage 2, a new Stage 2 audit is required before certification is granted.
Phase Four
Certification Decision
Before granting certification, TUV United compiles:
A complete audit report with detailed assessment findings
Summary of all identified nonconformities and evidence of corrective actions
Confirmation that audit objectives have been met
A clear recommendation from the audit team
Separation of Roles
The certification decision is made by personnel who were not involved in conducting the audit. No auditor participates in the final decision for the same client, ensuring full impartiality.
Surveillance Audits
Conducted at least once per calendar year. The first surveillance audit following initial certification must be conducted within 12 months of the certification decision date.
Confirm audit programme & notify client
Appoint competent, impartial audit team
On-site audit to assess ongoing compliance
Review corrective actions if needed
Independent review if major NCs arise
Recertification (Year 3)
A full on-site recertification audit is conducted before the certificate expires. When completed successfully prior to the expiry date, the new expiry date is based on the existing one.
Confirm scope and communicate to client
Appoint qualified, impartial audit team
Full on-site recertification audit
Resolve any findings before expiry
Impartial recertification decision & updated certificate
3-Year Certification Cycle
The first cycle begins with the certification decision. Subsequent cycles begin with the recertification decision.
Special Audit Types
🔭 Scope Expansion Audits
Conducted when a certified client applies to extend the scope of their existing certification. Minor extensions may be handled during a scheduled surveillance audit.
⚡ Short-Notice Audits
May be conducted to investigate complaints, follow up on suspended clients, or respond to significant changes affecting the management system.