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ISO 45001 Accreditation

Gap Analysis

A Gap Analysis is a strategic planning tool to help you understand where you are, where you want to be and how you’re going to get there.

One of the first steps in your Management System transition or implementation project is to compare your current Management System to the requirements of the standard.

This is most commonly called a Gap Analysis; it is sometimes referred to as a Pre-Audit.

A gap analysis is mainly done at the beginning of the certification journey to assess what is currently in place against the set of requirements for which every standard is to be implemented. The standard has specific requirements that have to be met; these are detailed in various clauses.

If your current system does not meet the requirements then there is a gap that must be addressed before an you can achieve successful certification.

Application

You will need to fill in an application form in order for the Certification Body to understand your company, the complexity and requirements.

The Certification Body will use this information to accurately define the scope of assessment and provide you with a costed proposal for certification.

Assessment

Once you’ve agreed with your proposal, your assessments will be booked with an Assessor.

This assessment consists of two mandatory visits that form the Initial Certification Audit.

Please note that you must be able to demonstrate your management system has been fully operational for a minimum of three months and has been subject to a management review and full cycle of internal audits.

Initial Certification Audit — Stage 1

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

This assessment will take place at your management system centre (normally head office) and will be a documentation review assessment.

During the Stage 1 assessment, your assessor will:

  • confirm the accuracy of the information that you submitted during the application process
  • confirm that the management system conforms to the requirements of the standard
  • confirm the implementation status of your management system(s)
  • confirm the scope of certification
  • verify the evaluation of legal compliance

The output of the Stage 1 assessment will be:

  • a report that identifies any Areas of Concern (AOCs) which, if not addressed, could be raised as non-conformances at the stage 2 assessment
  • the scheduling of the stage 2 assessment visit
  • an assessment plan for the stage 2 assessment

Initial Certification Audit — Stage 2

The purpose of this assessment is to confirm that the management system fully conforms to the requirements of the chosen standard in practice.

If you undertake site work, or have more than one location that you want within the scope of your certification then your assessor will also need to audit these activities / locations.

During the Stage 2 assessment, your assessor will:

  • document how the system complies with the standard by using objective evidence
  • undertake sample audits of the processes and activities defined in the scope of certification
  • visit any remote locations, additional sites or remote activities to evaluate the effectiveness of the management system off site
  • report any non-conformities or opportunities for improvement
  • produce a surveillance plan and agree a date for the first annual surveillance visit

If the assessor identifies any major non-conformances, certification cannot be issued until corrective action is taken and verified.

Accreditation requirements stipulate that if this is not completed within 6 months, then certification cannot be recommended without a further stage 2 assessment.

Certification

Following a successful two stage audit, it’s determined whether your operations and processes meet the required scope of certification within  the applicable standard or standards.

Consequently, a certification decision is made and if positive, certification to the required standard is issued by the Certification Body.

You will receive a hard and soft copy of the certification. That copy will enable you to share your certification with third parties to demonstrate the high standards your organisation adheres to.

Certification is valid for three years and is maintained through a program of annual surveillance audits and a three yearly recertification audit.

How Long Is Certification Valid?

Once certification is obtained a certificate will be issued that will be valid for 3 years.

This is maintained through annual surveillance audits (partial audits) and a 3 yearly recertification audit (full system audit).

Surveillance audits are undertaken annually to ensure that compliance to the chosen Standard(s) is maintained throughout the three year certification cycle.
The frequency and duration of surveillance is dependent on factors including:

  • size and structure of organisation
  • complexity and risk of activities
  • number of management systems standards included in the scope of certification
  • number of sites listed within the scope of certification

During the surveillance audit you must demonstrate continual improvement. This is a fundamental requirement of all ISO standards.