Certification & Audit Process Flow
- 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
- Select and appoint competent stage 1 team
- Planning for stage 1
- Conduct stage 1
- Resolve stage 1 areas of concern (if applicable)
- Confirm / appoint competent stage 2 team
- Plan for stage 2
- Conduct stage 2
- Resolve stage 2 areas of concern (if applicable)
- Initial certification audit conclusions
- Granting of initial certification and issuance of certification documents
- Confirm or adjust audit programme and appropriate audit follow-up and surveillance activities including frequency and duration. Special audits must also be taken into consideration.
Surveillance audits shall be conducted at least once a calendar year. The date of the first surveillance audit following initial certification shall not be more than 12 months from the certification decision date
- 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
- Conduct surveillance audit
- Resolve surveillance audit areas of concern (if applicable)
- Surveillance audit conclusions
- Independent review of certification (if required)
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
- Conduct recertification audit(s)
- Resolve recertification audit areas of concern (if applicable)
- Recertification audit conclusions
- Recertification decision
- Granting of recertification and issuance of certification documents
- Confirm or adjust audit programme and appropriate audit follow-up and surveillance activities including frequency and duration. Special audits must also be taken into consideration.