Certification Processes

The certification process

The certification company provides an audit management system (UPR.02 certification procedure) to third parties. In order to fulfill the needs and expectations of the client, clear, efficient and professional certification processes are implemented, which are defined in the following information.

Basic information about the application

During the first contact with one of our worldwide certification companies, you will receive a detailed explanation and evaluation of the requirements within the certification process. We use a suitably prepared application form for your certification request and ask you to complete it as part of your certification as a company. Subsequently, your details will be checked by our employees and a proposal for your individual certification process and the corresponding measures and implementation steps will be sent. Besides the cost of this proposal, there are no additional costs for you.
In the case of acceptance of the proposal, which you have received from the certification company, the certification process can be started subsequently.

Expiration of a certification procedure

Pre-Audit

A pre-audit is the possible and advance planning by the customer of an initial pre-sounding of all certification-relevant information of the corresponding management system of the company to be certified. The main objective is to agree to fully understand all subsequent processes of the certification process. However, pre-audits or pre-audits do not constitute advice for the certification.

Level 1 – Audit

By means of an on-the-spot check, the certification company controls all documentary requirements and compliance during a company visit and diligently evaluates them by our employees. In doing so, we aim in particular at the following aspects and contents:

• Get acquainted with and check the local conditions as well as the local processes, exceptions, scopes and man-day calculation
• Determination of compliance with the documents through the company’s management system according to the audit standard and the scope of the audit.
• Preparation of a detailed implementation plan for the stage 2 audit
• Optional creation of a professional, detailed report and protocol

In this case, the company to be certified for the effective implementation and finalization of the stage 1 audit must make available all legal and regulated conditions, standards-defined and measurement-relevant documents (measurement of the effectiveness of the system).

Level 2 – Audit

After a positive and successful implementation of the field – based Level 1 audit by the audit team of the certification company, phase 2 can now be planned and implemented.
The stage 2 audit in accordance with the audit plan includes the implementation of an appropriate joint meeting to conduct the audit, as well as an evaluation meeting of the audit team and the subsequent final discussion. The aim of this phase is to review the efficient implementation of the management system and to recommend subsequent certification in accordance with auditing standards.

Surveillance Audits

The so-called surveillance audits are additional audits of the certified company taking into account the date of issue of the acquired quality certificate. This is done at least once a year.
If the certificate has a useful life of 3 years, at least two surveillance audits must be carried out.

The period and the sequence of surveillance audits are determined and defined at the end of the certification audit. The number of surveillance audits can be individually increased by the certification company in the event of possible deviations in the reviews or in the case of corresponding statements by the audit team.

Follow-up-Audits

A follow-up audit, or post-audit, is carried out when several or larger deviations are detected, the corrections of which take a longer period of time.

Recertification

Recertification is carried out after three years on the basus of the certificate validity of 3 years on the part of the certification company.

In this case, the company receives a written notification 3 months before expiry of the certificate validity. The company is obliged to contact the certification authority in good time before expiry of the validity in writing. In the absence of a response, this can lead to a forfeiture of the certificate validity and the certificate becomes ineffective. However, by means of a written application from the company, a corresponding re-certification audit can be carried out as soon as possible so as not to interrupt the period of validity and to guarantee it for a further 3 years.

Transfer-Applications

In general, a transfer of certificates from other certification companies is possible, but this requires a review by the certification company. These transfer applications are executed and implemented in the same procedure as the stage 1 audit.