Document Reference: FICPL/MSCP/0725
Issue Date: 8th of July 2025
Revision: 01
In the public interest and to provide comprehensive information to certified clients, interested parties, and potential clients seeking certified management systems, First Wave International Certifications (FICPL) has developed this comprehensive certification process guide. Our management system certification involves independent and transparent assessment procedures for certification issuance and ongoing maintenance of organizational management system standards.
The primary objective of FICPL's certification scheme is to recognize organizations that have established, documented, and effectively implemented appropriate management systems. Our certification program operates as an independent third-party assessment system focused on long-term organizational effectiveness.
Independent Assessment Services
Application Processing
Documentation and Review
Specialized Assessments
Proposal Request
Applicant organizations must complete the Company Profile Questionnaire (Form FICPL-F-02), providing comprehensive information about their organization, operations, and management system requirements.
Application Review and Acceptance
Following proposal submission, applications undergo review and confirmation processes. Upon acceptance, the FICPL Marketing Team communicates detailed fee structures and proposals covering the complete three-year certification period. The certification process commences upon receipt of signed acceptance forms from clients, with audit schedules established according to mutually agreed predetermined dates.
Pre-Audit Coordination
At least one week prior to certification process initiation, FICPL authorities develop and communicate the Stage-1 Audit schedule and comprehensive audit plan to clients. Both audit team and client acceptance are essential requirements for final process initiation. Stage-1 Audit planning proceeds only after receiving formal acceptance from the client organization.
Documentation Verification
Stage-1 Audit involves comprehensive verification of management system documentation through onsite review at the client organization. This process verifies document authenticity and compliance with applicable management standards. In accordance with FICPL confirmation policy, client organizations must implement the stipulated management system within three months prior to the onsite registration assessment.
Audit Findings and Reporting
During the audit, implementation confirmation is thoroughly verified. Audit reports are issued identifying any areas of non-conformity and specifying required corrective actions. The audit team conducts verification processes to identify deviations, non-compliance issues, or improvement opportunities. At the closing meeting, the auditee organization receives comprehensive communication regarding audit findings from the audit team and formally accepts the audit results.
Advanced Planning Requirements
At least one week prior to audit process initiation, FICPL authorities establish the Stage-2 Audit schedule and communicate the comprehensive audit plan to clients. Acceptance of audit dates from both the audit team and client organization is required for Stage-2 Audit initiation. Planning commences only after receiving formal client acceptance.
Comprehensive System Evaluation
The primary objective of Stage-2 Audit is to verify conformity to audit criteria concerning the client organization's management system. This audit determines the management system's capability to fulfill contractual, regulatory, and applicable statutory requirements. Stage-2 Audit plans (Forms FICPL-F-11 and FICPL-F-12) clearly identify specific audit objectives based on the assessment purpose.
Full System Assessment
The audit team conducts comprehensive verification processes to identify deviations, non-compliance issues, or improvement areas. At the closing meeting, the auditee organization receives detailed communication regarding audit findings and formally accepts the results. FICPL conducts this audit in alignment with Stage-1 findings to verify compliance with applicable standards and requirements. Certification audits occur at sampled sites or all sites as determined by assessment needs, classified as Full System Audits.
Minor Non-Conformity Response
Audit client organizations must submit corrective action plans addressing audit non-conformities identified by the audit team. For minor non-conformities, corrective action plans must be submitted within 30 days from the non-compliance report issue date, accompanied by necessary supporting evidence.
Major Non-Conformity Response
When legal or regulatory requirement implementation lapses occur or repeated minor non-conformities are identified, major non-conformity classification applies. Clients must submit necessary evidence and corrective action plans within 90 days from the report date. Upon audit team leader satisfaction with submitted corrective action requests (CARs), certification decisions are made following audit report review and certification process recommendation.
Supplementary Audit Requirements
If the audit team leader determines CAR submissions are unsatisfactory, clients receive advance notification and supplementary audit plans are developed to verify implementation. Upon audit team leader satisfaction with supplementary audit results, certification decisions proceed following audit report review and certification process recommendation.
Audit Team Recommendations
Based on comprehensive audit reviews of client-submitted CARs and audit findings, the audit team lead, serving as the sole recommending authority for certification actions, presents recommendations addressing:
Competent team members verify all recommendations impartially through audit report reviews, leading to final certification decisions.
Certification Decision Process
Upon submission of audit reports by audit team lead auditors, competent technical reviewers or auditors conduct impartial report reviews. Following reviewer satisfaction, directors receive recommendations for certification decisions incorporating:
Evidence Requirements
No certificate will be granted unless sufficient audit evidence proves that the client organization's management system complies with all audit standards and criteria requirements.
FICPL issues certificates of registration to clients only after completing audit reviews and receiving client acceptance of audit findings and corrective actions. Certificate issuance is subject to clearance of all payments received by FICPL as per invoices issued to clients.
Validity Period
Certificates issued by FICPL have three-year validity periods from the certification decision date. Re-certification audits must occur within this timeframe. First surveillance audits are conducted 12 months from the certification decision date, with successive surveillance audits occurring periodically per calendar year.
Assessment Frequency
Surveillance audits occur on annual or six-month bases for every certified organization as per FICPL requirements. During contract reviews, FICPL provides detailed audit plans for three-year certification cycle audit programs. First surveillance assessments are conducted six or twelve months from Stage-2 audit completion dates.
Compliance Requirements
Client organizations must accept audit program plans issued by FICPL to complete re-certification and surveillance on schedule. If surveillance assessment delays exceed one month from stipulated dates, clients must provide necessary justifications. Invalid justifications lead to certification program reassessment. FICPL reserves rights to conduct such reassessment programs.
Schedule Adherence
If re-certificate audits are conducted one month after scheduled dates per agreed audit program schedules, FICPL reserves rights to declare fresh full assessments or suspend entire certification processes. This requirement must be presented in initial certification audit program clauses.
Certified client organizations can request expansion of certificate scope already granted. Upon receiving such requests, FICPL conducts reviews according to documented procedures and determines whether audits are needed to grant extensions. Audits are conducted alongside surveillance audits if FICPL grants scope expansion.
Triggering Conditions
Unannounced or short notice audits occur in the following circumstances:
Implementation Procedures
Short notice audit cases involve:
Registration or certification validity remains unaltered subject to:
Change Notification Requirements
When changes affect management system capability to meet certification standard criteria, clients must promptly communicate change notices to FICPL. Required change notifications include:
FICPL authorities will cancel or suspend issued certificates if certificate holders commit any of the following defaults:
In cases of withdrawal, clients must discontinue certificate usage for any references or advertisements. FICPL will reclaim certificates and all copies.
Interested parties or clients must visit the official FICPL website [website URL] to verify certification status. After clicking certification links, enter unique certificate numbers and click search. Certificate numbers can be requested from FICPL if unknown.
FICPL provides the following information upon request:
The following information is accessible without request from the FICPL website:
FICPL's certification scheme provides impartial and prompt services to clients. When certified companies bring complaints against activities compromising transparency and prejudicial to client interests, FICPL considers complaints following established procedures (PR-10). Appeal and handling procedures are publicly available on the website.
Access to Complaint Records
FICPL makes all complaints, records, and corrective actions easily accessible from the website for certified client organizations to access details based on normative documents and management system standards.
Certified FICPL companies can use logos on advertisements, publicity brochures, stationery, etc., except on actual products. Companies must follow rules and instructions stipulated on www.firstwavecert.com for logo usage.
Confidentiality
During certification processes, no FICPL office staff or other personnel, including auditors, shall disclose information to third parties without prior client notice or consent. FICPL staff must abide by confidentiality agreements and safeguard client interests and information. Only certification status, certificate numbers, names, and certified standards of clients are available on the website upon request.
Safety
Clients must have proper arrangements and protective equipment to safeguard audit team members during audits. Special safety training requirements must be communicated to FICPL before audit team arrival.
FICPL owns registered logos and issued certificates.
Legal Jurisdiction
Indian laws govern FICPL management system agreements, with non-exclusive jurisdiction remaining with New Delhi courts.
Liability Limits
For breaches of FICPL terms and conditions, the company is liable to charge only amounts payable within 12-month periods before pertaining events. FICPL is not responsible for other client claims.
Only expert and competent auditors, qualified lead auditors, or associates can undertake FICPL assessments. Lead auditor responsibilities include assigning auditing tasks to audit teams, scheduling audits, preparing audit plans, reporting findings to authorized personnel, and providing recommendations on certification granting, maintenance, renewal, suspension, withdrawal, scope expansion/reduction, or restoration.
Client organizations must appoint responsible coordinators to oversee assessments, provide required resources to audit teams, and provide access to critical files and documents for auditors. Clients wishing to postpone audits must notify FICPL at least 15 days in advance; otherwise, full assessment fees will be charged.
Approved by FICPL Director
Manesh P
This document supersedes all previous versions. All personnel must ensure they are working with the most current version.