Transfers

The certification services of 3core2 are carried out systematically, in line with the documented policies, procedures and methodologies. We want to work with our clients to ensure ISO certification enhances their businesses and to help them achieve real commercial benefit from their management system investment.

Accredited certification can be transferred independently or as integrated management system certifications for single or multiple sites.

The transfer process does have a few formalities which maintain the integrity of the certification during transfer. We will need a copy of your current certificate of registration and latest audit report(s) going back to your organisation’s last certificate decision.

Transfers can be performed at any time; all 3Ccore2 need to ensure is continuity in compliance. With three simple options, the choice of which is based on your current certification cycle, there are many advantages in considering a move to 3core2.

After successful completion of the transfer process, we will issue a Certificate of Registration with the same validity as your previous certificate, ensuring that your registration continues uninterrupted.

Certification Process

The process for gaining ISO certification is straightforward and follows a consistent approach for all management systems standards, including ISO 9001, ISO 14001, ISO 45001, ISO2000-1, ISO22301, ISO 27001, ISO27701, ISO13485 and ISO50001.

Three steps to certification

Application

To start the process, the first step is completing the Application Form. This form provides all the information required about your business so we can determine the scope of certification and calculate the audit timing and coverage.

Assessment

The Assessment stage is a straightforward process which consists of two mandatory visits that form the Initial Certification Audit. The Stage 1 and Stage 2 audits that form this process are designed to cover both the preparedness and implementation of your management system. At any assessment stage, there may be a requirement for an observer, accreditation assessor or trainee auditor to attend, there will be no cost for this)

Certification

A Certificate is issued after the positive completion of the Initial Audit process. Certification is maintained through a programme of annual or six-monthly surveillance audits and then a three yearly recertification audit, as shown below.

The Assessment Process

Stage 1

The purpose of this audit is to confirm that your organisation is ready for assessment.

The assessor will:

confirms that the management system meets the requirement of the Standard
confirm its implementation status
confirm the scope of certification
check legislative compliance
produce a report that identifies any potential non-compliance or opportunities for
improvement and agree a corrective action plan if required.

Stage 2

The purpose of this audit is to ensure that the management system fully conforms to the requirements of the chosen Standard in practice.

The assessor will:

undertake simple audits of the processes and activities defined in the scope of certification
document how the system complies with the Standard by using objective evidence
report any non-compliance(s) or opportunities for improvement
produce a surveillance plan and agree a date for the first annual surveillance visit

Certification

Successful completion of the Initial Assessment process, with no findings or non-conformities, will result in the issuance of a Certificate, valid for three years, subject to annual surveillance.

Note:

If the assessor identifies any major non-conformances, certification cannot be issued until correction and corrective action is taken and verified. Accreditation requirements stipulate that if this is not completed within six months, then certification cannot be recommended without a further Stage 2 assessment.

Surveillance

Surveillance audits are undertaken periodically to ensure that compliance to the chosen Standard is maintained throughout the three-year certification cycle. At any assessment stage, there may be a requirement for an observer, accreditation assessor or trainee auditor to attend, there will be no cost for this)

The frequency and duration of surveillance is dependent on factors including:

size and structure of the organisation
complexity and risk of activities
number of management system standards included in the scope of certification

The 3-year surveillance cycles

Appeals

If a Company feels that the findings of the Audit Team are not correct or are not appropriate, then an informal Appeal should be made to the Audit Team Leader during the Closing Meeting, and the findings should be questioned. At this time the Audit Team Leader may consider the Company’s Appeal to be justified and, in this case, shall make an adjustment to the findings.

If the Audit Team Leader does not agree with the informal Appeal and the Company would like to submit a formal Appeal, the following procedure should be followed (submission, investigation and decision on Appeals shall not result in any discriminatory actions against the Company):

The Company shall contact the 3core2 Office within seven days of the Audit, and advise of the intent to Appeal against the findings of the Audit Team. Each appeal shall be logged and 3core2 Certification are committed to acknowledge the receipt of each appeal within 24 hours. If appeals are received verbally (e.g., by telephone) the client shall be asked to submit the appeal in writing, with supporting evidence within 21 days of the issue arising. A new file will be created in the Appeals folder where all documentation relating to that appeal will be stored for ease of reference. The details of the appeal shall be recorded on the Appeals Log by inputting the following information:

Unique reference number
Client number.
Date and time.
Customer and contact name.
Reason for appeal

The recipient of the appeal shall acknowledge the appeal in writing & assign an independent person to investigate the appeal and will not result in any discriminatory action against the appellant. S/He shall keep the client informed of progress throughout the duration of the investigation. The client shall be informed in writing of the outcome of the investigation, advising that the Appeals process has ended. Actions taken shall be updated on the Action Log, including date(s) and time(s) of response(s) to the client. Investigations and close out target is normally 30 days from the initial receipt.

3core2 Certification will check the effectiveness of the action taken and raise a change request to update procedure to prevent a reoccurrence, if an error by CB indicates that this is required.

Any correspondence relating to appeals and complaints shall be stored on the company computer system within the relevant file. The closed record shall be retained on the company computer system.

Analysis of data shall be prepared and presented periodically as appropriate for review and discussion by the management team and shared with the Impartiality & Excellence Committee.

Complaints

Each complaint shall be logged by the person receiving it. Complaints shall be logged and 3core2 Certification are committed to acknowledge the receipt of each complaint within 24 hours. Each complaint shall be assessed to determine which category it is and the required action.

Receipt of the complaint which should be received within 21 days of the issue arising, shall be acknowledged in writing by the person receiving it. This will then be recorded on the 3core2 certification’s system.

The recipient of the complaint shall acknowledge it in writing & assign an independent person to investigate the complaint. S/He shall keep the client informed of progress throughout the duration of the investigation. The complaint shall be investigated, with evidence to verify and validate the complaint. The client shall be formally advised in writing of the outcome of the investigation, advising that the complaint process has ended. 3core2 Certification shall determine with the client and/or complainant, to what extent the outcome of the complaint should be made public. Actions taken shall be updated on the internal system.