Quantum's Audit and Certification Process

Sharon Steele in discussion with two clients to review the audit process

The certification process commences with Quantum Certification Services gaining an understanding of your business operations and specific certification requirements so we can assess your application and provide you with an obligation-free quote.

Quantum reserves the right to decline any application made for its certification services.  If an application is declined, Quantum will communicate the reason to the applicant.

Once an application is accepted, we provide you with an Audit and Certification Agreement which describes our terms and conditions.  The Audit and Certification Agreement forms part of a legally binding agreement between Quantum and your organisation.


Certification Process

Stage 1 Audit

The Stage 1 audit is performed to:

  • Audit management system documentation.
  • Evaluate the organisation’s location, site-specific conditions and to determine its level of preparedness for the Stage 2 audit. The audit team communicates and documents their findings, including any areas of concern that could be classified as a non-conformance.

At the conclusion of the Stage 1 audit, we provide you with a report. We also discuss with you the timing of the Stage 2 Certification Audit.

Stage 2 Certification Audit

The purpose of the Stage 2 Audit is to evaluate the implementation and effectiveness of your system in meeting the requirements of the relevant standard. The Stage 2 Audit is carried out on-site.

During the Stage 2 Audit, we look for objective evidence (records, documents) to verify that the activities of the organisation and system meet the requirements of the relevant standard.

A final certification decision is made on the basis of an independent evaluation of audit findings and conclusions and any other relevant information i.e. non-conformities.

Surveillance and Mid-Cycle Audit

Surveillance and mid-cycle audits are conducted to assess and determine that the certified management system continues to fulfil requirements between recertification audits.

The frequency of surveillance audits depends on the Standard being audited.

Surveillance audits must be conducted at least once a year and not more than 12 months from the last day of the initial Stage 2 Audit.

Mid-cycle audits are conducted mid-way through the certification cycle, usually around 18 months.

Recertification audit

Recertification audits are conducted every three years to verify that the client’s system continues to satisfy requirements for the renewal of certification to the relevant standard.

This includes assessing the continuing effectiveness of the quality management system, ability to enhance overall performance and whether the management system helps the organisation achieve its stated objectives.