The following section outlines the different stages during the certification process. The stages apply irrespective of which management system requires certification.
Obsequentia prepare proposals based on client requirements. Proposals outline the certification process and costs associated with each stage of the certification process. Our proposals are straight forward and contain no hidden costs. Clients receive a fixed total contract fee for the entire certification cycle.
A gap analysis cannot be commenced until the client has accepted the Obsequentia proposal. The purpose of the gap analysis is to identify the gaps in the client’s management system. The gap analysis involves completing an assessment against the level of compliance against a particular standard.
The Stage 2 audit reviews:
- The client’s management system documentation
- The client’s location and site specific conditions and determines the client’s preparedness for the Stage 3 certification audit
- Review the client’s status and understanding regarding requirements of the standard(s), in particular respect of the identification of key performance or significant aspects, processes, objectives, operation of the management system
- Review the allocation of resources for Stage 3 certification audit and agree with the client on the details of the Stage 3 certification audit.
At the completion of the gap analysis the client is presented with an audit report that identifies areas for improvement and any identified nonconformities.
The purpose of the Stage 3 audit is to evaluate the implementation, including effectiveness of the client’s management system. The Stage 3 audit is to take place at the site(s) of the client and to also assess whether issues identified in the gap analysis audit have been identified.
The Stage 3 audit is to include the following:
- Information and evidence about conformity to all requirements of the applicable management system standard or other normative document
- Performance monitoring, measuring, reporting and reviewing against key performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document)
- The client’s management system and performance as regards to legal compliance
- Operational control of the client’s processes
- Internal auditing and management review
- Management responsibility for the client’s policies
- Links between normative requirements, performance objectives and targets (consistent with the expectations in the applicable management system standard or other normative document), any applicable legal requirements, responsibilities, competence of personnel, operations, procedures, performance data and internal audit findings and conclusions.
At the end of the Stage 3 audit the audit team analyses all information and audit evidence gathered during the certification process and agree on audit conclusions.
At the successful conclusion of the certification process Obsequentia provide clients with a certificate that endorses the client’s management system compliance against a standard.
Surveillance audits are to be conducted at least once a year. The date of the first surveillance audit following initial certification is to be at least 12 months from the last day of the Stage 3 audit. The surveillance audit is to be planned together with other surveillance activities so that Obsequentia can maintain confidence that the certified management system continues to fulfill requirements between recertification audits.
The surveillance audit program is to include at least:
- Internal audits and management review
- Review of actions taken on nonconformities identified during the previous audit
- Treatment of complaints
- A review of actions taken on nonconformities identified during the previous audit
- Effectiveness of the management system with regard to achieving the certified client’s objectives
- Progress of planned activities aimed at continual improvement
- Continuing operational control
- Review of any changes
- Use of marks and/or other reference to certification.
The recertification audit is to occur every three years from the original certification of the client’s management system. The recertification audit is to include an onsite audit that includes the following:
- The effectiveness of the management system in its entirety in the light of internal and external changes and its continues relevance and applicability to the scope of certification
- Demonstrated commitment to maintain the effectiveness and improvement of the management system in order to enhance the overall performance
- Determine whether the operation of the certified management system contributes to the achievement of the organization’s policy and objectives.
During a recertification audit, instances of nonconformity or lack of evidence of conformity are identified by the audit team. The audit team is to define the time limits for correction and corrective actions to be implemented. Failure by the client to address the corrective actions in the nominated time frame could result in the certification expiring.