What to expect during the process and how BSI will help you

1 Guide to Certification What to expect during the process and how BSI will help you Your guide to certification Welcome We're here to help you through the certification process and make the whole journey easier for you. You may already have everything you need in place, but it's always worth checking Before you start your journey toward certification, you can use the following checklist and project planning template to help keep you on track and stay in control. Certification checklist 4 A clear needs analysis Define the organization needs 4 Project plan This should detail all activities, and identify any potential weaknesses and areas for responsible parties and key timelines for improvement in your current system implementation of your management system 4 Objectives, scope and resources Write down what 4 Customer and supplier feedback This is a great way to your organization hopes to gain from certification, as get input to shape your thinking and create an action well as proposed timelines and available resources plan for necessary improvements 4 Systems, policies.

2 Procedures and processes 4 Employee motivation Keep staff involved and Consider how your current system compares to the informed at all times with regular communication standard and develop supporting documentation and updates 4 Teamwork You may want to assemble a team 4 Staff training If your own employees carry out internal with key staff across all departments, and then audits, you'll gain early insight into any potential ensure team members know how to work together, problems or ways to improve; alternatively, you may as well as their responsibilities prefer to hire a consultant for these internal audits Our assessment process Stage 2 Audit Certificat Stage 1 Audit Recommenidoen Certification ion d rtificat Decision Certificate Pre-ce Awarded ssment asseare a number of steps your organization will need to go through in order to gain certification.

3 First, you should There purchase a copy of the standard, which can be done by calling 1-800-862-4977. Next, consider training, which can solidify your team's understanding of the standard. Then, an optional gap analysis, or pre-certification assessment, can help you avoid pitfalls during the final audit stage. BSI will then conduct a formal assessment in two phases: the Stage 1 and Stage 2 audits. Once you have been recommended for certification by your Client Manager, our compliance team will review their recommendation; if successful, you will be awarded your formal certificate, which is valid for three years. 2 Being prepared for Stage 1. is important A pre-certification assessment will help give you a head start We can carry out a gap analysis, known as a pre-certification assessment. This practice audit provides a closer look at the existing processes and procedures that you have in place and compares them with the requirements of the standard.

4 This pre-assessment reveals any potential oversights or weaknesses so that you can take action. It's also a good introduction to the audit process and gives your team the opportunity to understand what the formal audit will entail. BSI offers other tools that can set things in motion BSI Training Academy Your people are crucial to the success of your business. Our training provides a step-by-step learning pathway to embed excellence in your organization. We have a full range of training opportunities and our fully qualified instructors provide the knowledge and expertise to successfully implement, audit and improve your management system. When you train with BSI, you get the full benefit of our expert knowledge. We know the thinking behind the standard. Our trainers use that expertise to drive and inspire your people.

5 We know the auditing process and can train your people to better understand the requirements. Our expert trainers empower you to transform your organization by teaching all those who can affect change that's how we turn our experience into your expertise. Entropy Software If your document handling could be better or if there are shortcomings in your understanding and measurement of KPIs, then Entropy could be the perfect solution. Used at over 14,000 sites worldwide, organizations are using Entropy . to improve their business performance. Entropy delivers greater control, visibility, assurance and accountability while reducing risks, incidents, costs, and time spent managing standards. Collate. Correct. Complete. Take charge with Action Manager. BSI Action Manager (powered by Entropy) will help you manage any identified actions.

6 Using Action Manager, you can record findings, including: nonconformities, improvements, recommendations, positive actions and best practices found during an assessment, or as you discover them. This will also ensure that issues are resolved effectively. Explore how BSI Action Manager can help you at or speak with your Client Manager. For more information call 1-800-862-4977 3. Your guide to certification Stage 1 Your first assessment By now, you've implemented your new management system. during your audit, your client manager will confirm whether you have met the requirements of your proposed scope and the objectives you set for yourself. This will be done in a constructive and positive way to ensure you get the most from your management system. We may leave you with some additional work to do, but don't worry; the aim is to prepare you for Stage 2, and we'll work through these challenges with you.

7 Your first assessment will need to be completed within 90 days of your application, although many organizations choose to do this sooner. When Stage 1 is complete, we'll summarize our findings in a report and make a plan for the Stage 2 audit. Your BSI Client Manager will support you by: 4 Making sure that you understand the standard, 4 Checking all your documents what it requires, and the overall operation of your 4 Talking to your employees and inspecting your site . management system 4 Verifying internal audit and management review processes . 4 Reviewing your proposed scope and ensuring it includes statutory and regulatory aspects, as well as . 4 Evaluating the performance of your management system highlighting any associated risks and site operations to ensure you are ready for Stage 2. At the end of the audit, your client manager will discuss and summarize any findings in a report, so you have a better understanding of what is and isn't working.

8 This may mean that there are some elements of your system which need some additional work. Collectively, we call these nonconformities. They are a normal part of the process and should not worry you; however, they will need to be addressed before Stage 2 begins. We recommend at least 30 days between the Stage 1 and Stage 2 audits, but no greater than 90 days; however, this can vary with certain standards. You can discuss this with your client manager or our planning team. Stage 1 assessment reminder Stage 1 Audit Report An Audit Report will outline general observations, as well as any areas that don't comply with the standard. We group nonconformities into two categories: minor and major. Minor nonconformities Major nonconformities These are not seen as serious. You must These are more serious and you'll need to produce simply develop, follow, and complete your a CAP for BSI with all actions completed before Minor Major own internal Corrective Action Plan (CAP) Stage 2.

9 You will need to submit your CAP to us before Stage 2. You are not required to send before scheduling Stage 2 and we will pay us your CAP for minor nonconformities at particular attention to it at our next visit. Stage 1. Send your CAP to your auditor and include your Examples of minor nonconformities include: BSI report number in the subject line. A two-month lapse in the audit program Examples of major nonconformities may include: A training record not available Document changes routinely made without authorization No future planned internal audits 4 Stage 2 Gaining approval This is the second part of your initial audit and takes place after you've successfully completed Stage 1 and corrected any nonconformities. Stage 2 confirms your management system is fully aligned to the standard and is fully operational within your organization.

10 We'll evaluate the implementation and its effectiveness, and make a recommendation for your formal certification. Your BSI Client Manager will: . 4 Gather evidence of your alignment to the . 4 Evaluate the operational control of requirements of the standard your processes . 4 Check that your management system complies . 4 Ensure that internal audits and sufficient with appropriate legal requirements management reviews have been undertaken . 4 Evaluate the overall effectiveness and relevance of . 4 Evaluate how your management system is your management system performing compared to your objectives . 4 Ask you to demonstrate clear monitoring, . 4 Make a recommendation for certification measuring, reporting, and reviewing of your for review by BSI's compliance team system against key performance objectives When your Stage 2 assessment is complete, there may be the need for some final improvements.