1.0 Purpose and Scope
This document outlines the procedure for conducting a renewal and re-certification audit for clients of Guardian Assessment Pvt. Ltd. The purpose of the re-certification audit is to conduct a comprehensive reassessment of a client’s documented management system to ensure its continued conformity and effectiveness against the requirements of the relevant management system standard.
This process applies to all management system certificates issued by Guardian Assessment Pvt. Ltd. and is conducted prior to the expiration of the three-year certification cycle.
2.0 The Re-Certification Audit Process
The re-certification process involves a thorough audit to evaluate the continued fulfillment of all requirements of the applicable standard. It serves as a comprehensive review of the management system’s performance over the entire certification period.
The audit plan is meticulously verified to ensure that the majority of the audit time is dedicated to verifying the effective implementation of the management system at the organization’s operational locations. This includes on-site audits of temporary sites, where applicable. For management systems such as OHSAS/ISO 45001, a minimum of 80% of the audit time shall be conducted on-site.
3.0 Planning and Scheduling
3.1 Timing and Initiation: To ensure the continuity of certification, the re-certification audit shall be planned and conducted approximately three months prior to the certificate’s expiration date. This timeframe allows for the resolution of any potential non-conformities discovered during the audit.
3.2 Client Engagement: The process is initiated by the designated Guardian Assessment Account Manager, who sends an advance notice to the client. If the client confirms their intent to proceed with re-certification, the standard procedure for application review, quotation, and questionnaire issuance will be followed, as per procedure P06.
3.3 Integration with Surveillance Audits: For clients on a 6-month or 9-month surveillance audit frequency, the re-certification audit may be combined with the final surveillance audit of the cycle for efficiency.
4.0 Requirement for a Stage 1 Audit
A Stage 1 audit must be conducted as part of the re-certification process under the following circumstances:
- Significant Changes: When there have been significant changes to the management system, the client’s organization, or the operational context. This includes, but is not limited to:
- Addition of new processes, products, or services.
- Changes in key legislation or regulatory requirements.
- Change of operational location(s).
- Major changes in top management.
- Post-Expiry Application: If the client applies for re-certification after their certificate has already expired.
5.0 Auditor Preparation and Responsibilities
The re-certification audit will be led by a qualified Lead Auditor from Guardian Assessment Pvt. Ltd.
5.1 Pre-Audit Review: Before visiting the client’s site, the Lead Auditor shall conduct a thorough performance review of the client’s file. This includes examining all previous reports since the last major assessment, making note of:
- Summary of previous audit findings.
- Concentrations of non-conformities against specific clauses or areas.
- The status and effectiveness of corrective actions taken on non-conformities previously identified by Guardian Assessment Pvt. Ltd.
5.2 Team Management: The Lead Auditor is responsible for the overall conduct of the reassessment and the submission of the final report. The Lead Auditor must also ensure that any accompanying Technical Experts or Specialists do not function independently and are always supervised by a qualified auditor.
6.0 Key Areas of Assessment during Re-Certification
The re-assessment program is designed to be comprehensive and shall, at a minimum, verify the following:
- The effective interaction between all elements of the client’s management system.
- The overall effectiveness of the management system in light of any changes in operations.
- The organization’s demonstrated commitment to maintaining the effectiveness of the system and achieving its objectives.
- That all clauses, areas, and processes have been audited at least once during the three-year certification cycle.
- The progress of planned activities aimed at continual improvement.
- The contribution of the certified management system to the achievement of the organization’s overall policy and objectives.
- For clients with multiple sites or multiple certifications, the audit plan must ensure adequate on-site coverage to provide complete confidence in the certification.
- (For OHSAS/ISO 45001) Verification of specific OHS objectives, targets, and management programs.
- (For OHSAS/ISO 45001) The effectiveness of Hazard Identification, Risk Assessment, and determination of controls.
- (For OHSAS/ISO 45001) Compliance with all applicable legal and other requirements, including customer-specific requirements.
- (For OHSAS/ISO 45001) Verification of the OHS management system at any temporary sites.
- (For OHSAS/ISO 45001) Verification of the OHS management at all sites under a multi-site certification, based on the established audit program.
7.0 Handling of Non-Conformities (NCs)
If any non-conformities are identified during the re-certification audit, the Lead Auditor shall communicate these clearly to the client.It is critical that corrective actions and supporting evidence for all identified NCs are submitted by the client and approved by Guardian Assessment Pvt. Ltd. before the expiration date of the current certificate. As a general guideline, all NCs should be formally closed within 15 days of the re-certification audit to ensure a seamless transition to the new certificate. Failure to close NCs before the expiry date will jeopardize the continuity of certification.