Part of the anxiety that people experience associated with the assessment and registration process is because they do not know what to expect.

What’s most important for you to remember as you prepare for registration is that Platinum auditors will approach the assessments from the standpoint of being your partner in registration.  It is our philosophy that we are working with you to confirm conformance – not the typical approach of an auditor where the method is to try to find nonconformance.

However, it eases stress to understand our processes and this document should provide you with the information that you need to know to understand them.

What to expect when applying for registration

Prior to assessment, you will complete, or provide the information needed to complete, an Application for Registration.  This is the information that we need to ensure that we have the capability, capacity and competency to perform the assessment activities required for your organization’s registration and to begin to schedule these activities.  If we identify any problems as part of our review process, we will contact you for resolution.

What you will need to provide the Auditors during on-site assessments

We ask that you provide the following to the audit team to facilitate the audit process:

• A room to work in.  This room would preferable provide privacy so that the auditors can discuss their findings without disruption.
• Lunch (and beverages) at the facility so that they can stay on schedule.
• Guides for each auditor to facilitate the audit process and to keep the auditee aware of Client policies (e.g., required personal protective equipment, etc.)

To ensure their independence, the audit team cannot accept gifts and other gratuities, please do not offer them.

Stage 1 Readiness Assessment

Once we receive your signed Application for Registration and your deposit, we will schedule a Stage 1 Assessment.  The purpose of a Stage 1 Assessment is simply to confirm your organization’s readiness to proceed with the initial audit (or the Stage 2 Assessment).

The audit method will include a review of your organization’s documentation, a review of records associated with your management system and interviews will some personnel to confirm the implementation of the system.  As the auditor identifies nonconformances and statements of fact, they will be discussed with your representatives to ensure understanding.  The results of this evaluation will be documented in a Stage 1 Assessment Report that we will provide so that you are made aware of, and can correct, any nonconformities.  Where the auditor feels it is necessary to ensure readiness for the Stage 2 Assessment, you will be requested to provide evidence of corrective action.

Stage 2 Initial Assessment

If your organization is ready, a Stage 2 assessment will be scheduled.  The purpose of the Stage 2 Assessment is to evaluate your entire management system against the requirements of Standards to ensure conformance for the purpose of initial registration.

We will provide you with an assessment schedule and will as you to review it for accuracy.  It is very important to ensure that you do not have any conflicts of interest with the auditors selected and that the schedule represents your business activities.  It is also important to ensure that the schedule is reasonable (e.g., considers organizational lunch times and breaks, allows for enough time and does not cause individuals to be audited by different auditors at the same time).

Stage 2 Assessments will cover the entire scope of the management system (all policies and procedures related to the requested scope of registration).  Audit methodology may include: watching activities as they are performed, interviewing personnel and reviews of the the management system documentation.  As nonconformities are identified, the auditors will discuss them with your representatives to assure understanding.

Surveillance Assessments

We will perform surveillance assessments to monitor the on-going implementation and maintenance of the system.  These scheduled audits will be performed as needed, but at least annually.  They will include about one-third of your management system and will be performed in the same manner as the Stage 2 Initial Assessment.

Reassessments

Three years after your initial registration, we will perform a re-assessment of your management system.  This will include a review of the management system documentation and an assessment of the implementation of the entire management system.  We also look back across the term of the registration and evaluate the organizational trends and performance history.

What to expect during all on-site assessments

During any assessment, the auditors will hold an opening meeting to review the scope and assessment plan and to inform you about the audit process.  All personnel are welcome to attend opening meetings, but Management’s presence is required.

Each evening of any assessment, the auditors will hold briefing meetings to discuss the day’s events and any nonconformances that were identified.  All employees are welcome, but the Management Representative is the only individual required to attend these meetings.

At the conclusion of the assessment, the audit team tell you the audit results and their recommendation (i.e., continue with the Stage 2 Assessment, recommend registration [upon the correction of identified nonconformities], deny registration until corrections have been made and re-verified by the auditors on site, maintain registration, suspend registration, withdraw registration).  The audit team will also briefly review the nonconformities identified during the entire audit.  All employees are welcome to attend this meeting, but Management’s presence is required.  The auditors will provide a complete written report of the audit shortly after the audit concludes.

Corrective Action

Nonconformances identified during Stage 2, surveillance and re-assessment audits must be addressed with formal corrective action (i.e., correction, root cause analysis, corrective action and verification) by the time agreed with the audit team.

The actions taken and the objective the associated objective evidence will be reviewed to ensure that they have effectively addressed the nonconformity observed.  These will also be verified at the next assessment for the same purpose.

Registration Decisions

Recommendation for Registration

Once the Stage 2 Assessment has been performed, the Lead Auditor will make a recommendation regarding registration. The Lead Auditor can only recommend you for registration if there is enough evidence to demonstrate that the Client’s processes conform to the requirements of the standard.