1. Certification application & application review

The organization contacts GIC Vietnam and provides information on its legal entity, proposed certification scope, products and services, processes, sites, organizational structure, personnel numbers, shifts, outsourced activities, statutory and regulatory requirements, and QMS status. GIC Vietnam reviews the application to determine its ability to perform the certification activities, the applicable technical sector, audit-team competence, audit duration and other relevant conditions. On this basis, the parties agree on the standard edition, scope, timing, fees and certification contract. For transition from ISO 9001:2015, the organization also provides its current certificate, surveillance status and QMS update plan.

2. Audit planning & preparation

GIC Vietnam establishes the certification programme for the certification cycle, appoints an audit team competent in the relevant industry and prepares a detailed audit plan. The plan defines the objectives, scope, criteria, sites, processes, timing and sampling methods. The organization prepares its process map, documented information, quality objectives and indicators, operational records, internal audit and management review results, customer complaints and nonconformities. For transition, it also prepares the results of its comparison against ISO 9001:2026 and evidence of updates relating to awareness, quality culture, risks and opportunities, planning of changes and consideration of the relevance of climate change.

3. Audit process

The initial certification audit is conducted in two stages:

• Stage 1: Review of the scope, organizational context, interested parties, processes, documented information, sites and readiness; verification of internal audits, management review, objectives and indicators, and the determination of whether climate change is relevant before proceeding to Stage 2.
• Stage 2: Evaluation of the QMS's implementation, conformity and effectiveness against ISO 9001:2026 using the process approach. The audit covers customer and statutory requirements, leadership, quality culture, risks and opportunities, planning of changes, operational control, design, suppliers, competence, monitoring and measurement, customer satisfaction, nonconforming outputs, corrective action and improvement. The principal sequence is: Opening meeting → On-site process audit → Consolidation of findings → Closing meeting.

For transition audits: The audit content and duration are determined by the extent of changes to the system and the applicable guidance. Whether the transition audit is combined with surveillance or recertification, or conducted separately, is agreed as part of the audit programme. Repeating the entire initial certification process is not automatically required.

4. Audit report & nonconformity handling

The audit team prepares a report setting out its conclusions and any nonconformities supported by objective evidence. The organization implements correction where necessary, analyzes the root cause, evaluates the extent and impact, and plans and implements corrective action within the specified timeframe to prevent recurrence. GIC Vietnam reviews the submitted evidence and verifies the effectiveness of the response. Depending on the nature of the findings, additional documentation or an on-site follow-up audit may be required before the file proceeds to certification review.

5. Certification review & certificate issuance

A person independent of the audit team conducts the certification review and makes the certification decision, considering the scope, application records, audit report, conclusions and evidence of corrective action. When certification requirements and applicable accreditation conditions are met, GIC Vietnam decides to issue or update the ISO 9001:2026 certificate with a clearly defined scope. The certification cycle is normally three years, provided that the organization maintains its QMS and completes the required surveillance audits. A transition audit does not automatically start a new three-year cycle; certificate validity is determined by the certification programme and applicable transition requirements.

6. Periodic surveillance and recertification

During the certification cycle, GIC Vietnam conducts periodic surveillance audits to confirm that the QMS remains conforming, maintained and effective. The first surveillance audit is conducted no later than 12 months after the initial certification decision. Surveillance focuses on process performance, objectives, customer feedback, internal audits, management review, changes and improvement. Before the certificate expires, the organization undergoes a recertification audit to determine eligibility for the next certification cycle in accordance with the applicable standard and requirements. For ISO 9001:2015 certificates undergoing transition, surveillance, recertification and transition schedules need to be coordinated to maintain continuity of certification.