Certification Process

Initial certification

  • Client submits application for initial certification
  • Exchange of information between client and certification body
  • Review of application for Certification
  • Identification of areas of concern and request for additional information (if applicable)
  • Development of audit programme
  • Proposal for certification and confirmation of audit programme
  • Client and certification body engage in formal arrangements for certification
  • Initial certification
  • Select and appoint competent stage 1 audit team
  • Plan for stage 1 Audit
  • Perform stage 1 Audit
  • Resolve stage 1 audit areas of concern (if applicable)
  • Confirm/appoint competent stage 2 audit team
  • Plan for stage 2 audit(s)
  • Perform stage 2 audit(s)
  • Resolve stage 2 audit areas of concern (if applicable)
  • Initial certification audit conclusions
  • Initial certification decision
  • Granting of initial certification and issuance of certification documents

Surveillance audits

(First surveillance audit to take place within 12 months of stage 2 audit, then at least annually)

  • Exchange of information between client and certification body (e.g. change of scope);
  • Determine if changes to audit programme required
  • Confirm audit programme and communicate to client
  • Confirm/appoint competent audit team
  • Plan for surveillance audit
  • Perform surveillance audit
  • Resolve surveillance audit areas of concern (if applicable)
  • Surveillance audit conclusions
  • Independent review of certification (if required)
  • Issuance of certification documents (if applicable)
  • Recertification

(Recertification activities to be  completed before expiry of certification)

  • Exchange of information between client and certification body (e.g. change of scope);
  • Determine if changes to audit programme required
  • Recertification audit planning
  • Confirm audit programme and communicate to client
  • Confirm/appoint competent audit team
  • Plan for recertification audit
  • Perform recertification audit
  • Resolve recertification audit areas of concern (if applicable)
  • Recertification audit conclusions
  • Recertification decision
  • Granting of recertification and issuance of certification documents

Extension to scope

  • Client submits application; exchange of information between client and certification body
  • Review of application for Extension
  • Identification of areas of concern and request for additional information (if applicable)
  • Determination of necessary audit activities
  • Audit performed similar to stage 2 audit
  • Resolve audit areas of concern (if applicable)
  • Extension audit conclusions
  • Decision on extension of certification scope
  • Granting of extension to certification and issuance of certification documents

Reducing the scope

  • Surveillance/recertification/special audit performed
  • Client fails to meet certification requirements for some parts of the scope of certification
  • Review and decision on scope of certification reduction
  • Scope reduction and issuance of certification documents
  • Suspending the certification
  • Surveillance/special audit performed
  • Client fails to meet certification/contractual requirements by solving areas of concern
  • Decision on suspending certification (maximum 6 months)
  • Notice on certification suspension

Withdrawing the certification

  • Client fails to meet certification/contractual requirements within the suspension period
  • Decision on withdrawing certification
  • Notice on certification withdraw
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