This guide explains the steps we follow to audit your management system and, where applicable, support you through the certification process.

The 3-year certification cycle

Initial certification involves two audit stages. Once certified, you will receive annual surveillance visits in years 1 and 2, followed by a full recertification audit in year 3 — at which point the cycle begins again.

Phase 1 — Getting Started

Before any audit takes place, we need to understand your organisation and agree the scope of work.

1. Application

You complete an application providing key information about your organisation, including:

• the management system standard(s) you want to be certified against
• your sites, processes, and number of employees
• any outsourced processes that fall within your management system scope
• whether any consultancy has previously been provided on your management system

2. Application Review

We review your application to confirm:

• we have the competence and resources to carry out the audit
• the scope of certification is clearly defined
• there are no conflicts of interest that would compromise impartiality

We will contact you to resolve any queries before proceeding. If we are unable to accept your application, we will explain why in writing.

3. Audit Programme Planning

We plan your full 3-year audit programme, setting out:

• the two-stage initial audit (Stage 1 and Stage 2)
• surveillance audits in years 1 and 2
• your recertification audit in year 3

The time allocated for each audit is determined by the size and complexity of your organisation and management system.

Phase 2 — Initial Certification Audit

The initial certification audit is conducted in two stages.

4. Stage 1 Audit — Readiness Review

This is a desktop or partially on-site review to assess your readiness for Stage 2. We will:

• review your management system documentation and records
• confirm your understanding of the relevant standard requirements
• assess whether internal audits and management reviews are in place
• identify any gaps or areas of concern to address before Stage 2

You will receive written feedback on the Stage 1 findings, including any issues that could become nonconformities in Stage 2. We agree a suitable interval before Stage 2 to allow you to address these.

5. Stage 2 Audit — On-site Assessment

This is the main on-site audit, evaluating whether your management system is fully implemented and effective. It covers:

• conformity to all requirements of the relevant standard
• performance monitoring and how you measure progress against your objectives
• operational controls and how processes are managed day-to-day
• internal audit and management review activities
• compliance with applicable legal and regulatory requirements

The audit begins with an opening meeting to confirm the plan and ends with a closing meeting at which we present our findings.

What happens if we find nonconformities?

A nonconformity is where your management system does not meet a requirement of the standard. Minor nonconformities require a corrective action plan and evidence of improvement. Major nonconformities must be resolved before certification can be granted — we will agree a timescale with you and verify the actions taken.