Certification Process
Application and Application Review
An organisation wishing to obtain certification submits an application containing the information required to determine the scope of certification, organisational characteristics, applicable management system standard(s), sites, processes and other relevant information.
APEX reviews the application to confirm that sufficient information has been provided, that the requested certification falls within its certification activities, that appropriate competence and resources are available, and that there are no unacceptable threats to impartiality.
Audit Programme
An audit programme is established for the certification cycle. The programme takes into account the organisation’s scope, size, complexity, sites, processes, risks, previous audit results and management system performance.
The certification cycle normally consists of:
- Stage 1 audit
- Stage 2 audit
- Surveillance audits during the certification cycle
- Recertification audit before expiry of the certification cycle
This reflects the certification-cycle structure expressly documented in MAN.1.0.
Stage 1 Audit
The Stage 1 audit evaluates the organisation’s preparedness for the Stage 2 audit. This includes reviewing relevant management system information and determining whether the organisation is sufficiently prepared to proceed to Stage 2.
Stage 2 Audit
The Stage 2 audit evaluates the implementation and effectiveness of the organisation’s management system against the applicable certification requirements.
Audit evidence is obtained and evaluated, findings are recorded, and any identified nonconformities must be appropriately addressed by the client.
Certification Decision
Following completion of the applicable audit and technical review processes, an independent certification decision is made based on the audit results and other relevant certification information.
Certification is granted only where the applicable certification requirements have been satisfactorily fulfilled.
Surveillance
Following initial certification, surveillance activities are conducted to monitor continued conformity with certification requirements. Surveillance audits are conducted at least once per calendar year, except in recertification years. The first surveillance audit is conducted within 12 months from the initial certification decision date.
Recertification
A recertification audit is conducted before the end of the certification cycle to evaluate the continued fulfilment of the applicable management system requirements and the continuing effectiveness and suitability of the management system.
A new certification cycle commences following the recertification decision.
Certification Status and Decisions
APEX ISO Certification maintains processes for:
- Granting, refusing, maintaining and renewing certification;
- Suspending, restoring and withdrawing certification; and
- Expanding or reducing the scope of certification.
Certification decisions are based on sufficient objective evidence and are made independently of the audit process.
Where certification requirements are not fulfilled, appropriate action may include refusal, suspension, reduction of scope or withdrawal of certification, depending on the circumstances.
Management System Certification Services
APEX ISO Certification provides management system certification services for the management system standards and certification schemes within its approved certification activities. These include:
- ISO 9001 — Quality
- ISO 14001 — Environmental
- ISO 45001 — Occupational Health and Safety
Certification services are provided subject to APEX ISO Certification’s approved scope, competence and available resources.
Use of the APEX Certification Mark and Logo
Certified clients may refer to their certification and use the APEX ISO Certification mark only in accordance with the applicable conditions and rules established by APEX ISO Certification.
The certification mark or reference to certification shall not be used in a manner that:
- Is misleading;
- Implies certification of a product, service or process where only the management system is certified;
- Applies to activities or locations outside the certified scope;
- Brings APEX ISO Certification or the certification system into disrepute; or
- Misrepresents the status or scope of certification.
Detailed requirements are contained in MAN.22.0 – Use of Mark or Logo – Terms of Reference, specifically referenced by MAN.1.0 under the public-information controls.
Requests for Information, Complaints and Appeals
APEX ISO Certification maintains documented processes for handling requests for information, complaints and appeals.
Requests for Information
Requests relating to certification activities may be submitted to APEX ISO Certification. Information is provided subject to applicable confidentiality requirements.
Complaints
Complaints relating to APEX ISO Certification’s certification activities or certified clients are received, evaluated and processed in accordance with the established complaints process.
Appeals
Applicants or certified clients may appeal certification decisions made by APEX ISO Certification. Appeals are handled through a controlled process designed to ensure appropriate review and impartial consideration.
The submission, investigation and decision on complaints or appeals shall not result in discriminatory action against the person or organisation submitting them.
The detailed process is controlled through PRO.11.0 Complaints and Appeals Procedure, which MAN.1.0 expressly references for clause 8.1.
Impartiality
APEX ISO Certification recognises the importance of impartiality in carrying out management system certification activities.
APEX ISO Certification manages conflicts of interest and ensures objectivity in its certification activities. Decisions relating to certification are based on objective evidence of conformity and are not improperly influenced by commercial, financial or other interests.
The formal Public Statement of Impartiality is maintained as controlled public information.