Assessment Process

Step 1: Certification Registration

When seeking management system certification (e.g., ISO 9001, ISO 14001…), clients contact ARES Vietnam’s Sales Department to submit the certification application dossier, which includes the following information:

• Name of the applicant organisation and contact details
• Requested certification scope
• Organisation type, operational field and size
• List of sites covered by the certification (if applicable)
• Current status of management system implementation
• Commitment to complying with certification requirements
• Relevant legal documents and management system documents

The Sales Department is responsible for receiving and conducting a preliminary check of the application’s completeness before forwarding it to the Technical Department for the next processing step

Step 2: Preparation for assessment

After receiving the certification application, the Sales Department, in coordination with the Technical Department, conducts a review and preliminary assessment to ensure that the application is complete, valid, and meets the conditions for initiating the evaluation process. If the requirements are met, the application will be submitted for approval to proceed to the next step

The Technical Department conducts a competency and risk analysis, decides on the acceptance of the application, and establishes an appropriate audit team. At the same time, the assessment programme is designed as a three-year cycle, comprising the initial certification audit, surveillance audits, and recertification

Based on that, a detailed assessment plan will be developed and sent to the client. Prior to conducting the assessment, the applicant organization and the audit team must establish commitments regarding objectivity and confidentiality, and agree on the list of participants for the opening and closing meetings

Step 3: Stage 1 Audit

The Stage 1 assessment is conducted by the Lead Auditor with the primary objectives of:

• Understand the organisation’s overall plan for implementing the management system
• Determine the suitability, completeness and consistency of the management system documentation
• Clarify the scope of the certification applied for
• Assess the organisation’s size, technical resources, and actual conditions to support the assessment
• Determine the feasibility of conducting the Stage 2 assessment under specific conditions

Stage 1 assessments are typically conducted at the premises of the applicant organisation. However, in exceptional cases, the assessment may still be conducted off-site from the applicant organisation’s premises

If any nonconformities are identified, the client must implement corrective actions before proceeding to Stage 2

Step 4: Stage 2 Audit

Once the Lead Auditor confirms that all nonconformities identified during the Stage 1 Audit have been fully addressed by the organization and meet the requirements, the Stage 2 audit plan will be prepared and sent to the organization prior to the on-site audit

During the review of the audit plan, the organization has the right to provide feedback on relevant matters, including:

• Composition of the Audit Team
• Proposed Work Schedule
• Necessary On-site Support Conditions
• The audit team must arrive at the auditee’s premises on time and coordinate with the client’s representative to conduct the audit

At the conclusion of the audit, the organization will be informed of the audit results and is required to address any nonconformities identified within the specified timeframe

Step 5: Dossier verification

After the audit team completes the on-site audit and submits the audit documentation, the company will assign qualified personnel to conduct an objective and comprehensive review of the entire audit file

The review process focuses on assessing:

• The completeness and appropriateness of the documentation
• The addressing of any nonconformities (if applicable)
• Compliance with the requirements of the certification standard and internal regulations

For documentation that fully meets the requirements and is approved during the review, the company will proceed to submit it to top management for the final approval of the certification decision. At the same time, carry out reporting in line with internal regulations and the procedures for publicly disclosing certification information

Step 6: Certification Decision

After the assessment process is completed, the authorised personnel at ARES Vietnam will review and approve the entire certification dossier. This approval confirms that the organisation’s management system has fully met the requirements of the applicable standard

The draft certificate will be sent to the clients for confirmation of its contents. Upon receiving the feedback, ARES Vietnam will issue the Certificate within 20 working days. This is evidence that the organisation has implemented and operated its management system in compliance with the required standards

The certified organisation is responsible for complying with the regulations on the use of the certificate and certification mark, including presentation requirements, scope of use and limitations in promotion

In parallel, ARES Vietnam will send a survey form to collect customer feedback for the purpose of improving the quality of certification services

Step 7: Periodic Surveillance Audit

After the organisation has been granted the management system certificate, ARES Vietnam will conduct annual surveillance audits to ensure that the system continues to maintain conformity, effectiveness and the ability to improve in accordance with the applicable standard

The first surveillance audit must be conducted within 12 months from the date of certification, in accordance with the approved audit programme and in compliance with internal regulations

Before each audit, ARES Vietnam will send an official notification to the clients and prepare a detailed audit plan. The audit team conducts the on-site audit in accordance with the audit plan, records the results and identifies any non-conformities (if any), as well as observations or improvement opportunities

The organisation is responsible for carrying out corrective actions for the non-conformities identified. The dossier will then undergo an internal review to assess its completeness and suitability before the assessment results are officially approved. The results will be communicated to the clients in writing.

Step 8: Recertification Audit

Prior to the expiry of the certificate, the certified organisation is required to proactively submit a re-assessment request to ARES Vietnam for the recertification process. The re-assessment is conducted to ensure that the system continues to meet the requirements of the applicable standard and maintain the validity of the certificate

The recertification request must be submitted no less than one (01) month prior to the certificate’s expiry date. After receiving the request, ARES Vietnam will proceed with the necessary steps, including document review, quotation issuance, contract signing and implementation of the audit plan

The recertification process is essentially similar to the initial assessment process, including: receiving the documentation, conducting stage 1 and stage 2 audits (if required), addressing non-conformities, reviewing the documentation and issuing the new certificate. In the case of timely implementation, the expiry date of the new certificate will be inherited from the previous one