The Certification & Registration Process


STEP 1

Complete the questionnaire form and return to AGR or request an information pack from your local office, which will include the questionnaire for the required service. Complete this questionnaire and return to AGR who will review the information provided and prepare and issue a Proposal of Cost (Quotation) for a three-year Cycle.

Please Note that all accredited audits are conducted in two stages and that in some cases both of these audit will need to be conducted at your premises.

STEP 2

On acceptance of the quotation, submit the signed and dated Application (which is the final page of the Proposal of Costs) to confirm your intent to utilize the services of AGR. A confirmation of receipt and invoice for the first year’s fees will be posted to you by return.

STEP 3

On receipt of a signed Application, a Lead Auditor will be allocated to conduct your audits. He/she will contact you to agree a provisional schedule for the visits, explain the registration process and answer any questions you may have.

STEP 4

Once your company’s Procedures and Manuals and other system documentation are complete, these will be reviewed against the requirements of the relevant standard. It may be necessary to carry out this review on-site supported by a limited audit to validate the effectiveness of the documentation prior to the registration audit. This is referred to as a Stage 1 Audit. Most potential problems can be identified during the Stage 1 Audit and these can be eliminated by you prior to the formal registration/compliance audit. You will be presented with a formal report of the findings from this audit.

STEP 5

On completion of the Stage 1 audit the Lead Auditor will discuss and mutually confirm the registration audit date. This will take account of any time needed to make any adjustments to the documented system resulting from any deficiencies identified during the document review.

STEP 6

The main registration audit will commence with an opening meeting. During this meeting the methodology and conduct of the audit will be explained. The itinerary will also be confirmed and an opportunity given for any questions you may have regarding the audit. Who attends the opening meeting is a matter for the client but it is recommended as a minimum the key management personnel responsible for the implementation of the system are in attendance.

STEP 7

The registration audit will consist of sampling of objective evidence (records) observation of working processes and discussion with personnel at all levels of your company’s organisation. For audits over several days a brief outline of the progress of the audit will be given at the close of each day.

STEP 8

Should the Lead Auditor decide at any time during the audit that there is a complete breakdown of the system against the requirements of the standard, a meeting will be called with senior management to advise you of the Team’s findings and agree with you a course of action. It is worth noting however that this is a rare occurrence.

STEP 9

On completion of the main registration audit (Stage 2), a closing meeting will be convened to provide an overview of the audit and detail the audit findings and recommendations. Any deficiencies identified which affect your compliance with the standard or can impair your ability to provide your customers with a quality product/service will be documented within a Corrective Action Request (CAR). Where these deficiencies are minor in nature, the CAR will be designated as a minor. Where major deficiencies are noted then the CARs will be designated as major. In both cases a written indication of the action to be taken to address the deficiency before the certificate can be issued must be provided to AGR. In the case of Major CARs you will be required to submit documented evidence that action has been taken to address the problem and in certain circumstances a return visit may be required to visually check that corrective measures have been implemented. In addition, at this meeting you will be advised of the surveillance routine operated by AGR.

STEP 10

It is general policy of AGR to produce a written report on site at the time of the main registration audit (where this not possible, a written report shall be prepared within 10 working days of the registration audit). This report will be submitted to AGR for review by the appropriate Certification Manager on behalf of the Independent Governing Council of AGR, whose role it is to ensure that AGR are impartial and fair in its dealings with its customers. The Governing Council reviews reports retrospectively.

CERTIFICATE ISSUE:

Once the report has been successfully reviewed a Registration Certificate and Registration Schedule will be issued, usually within 15 working days of completion of the audit.

SURVEILLANCE:

Quotations will be provided on the basis of a 12 monthly or 6 monthly surveillance visit routine following the main registration audit. The 12 monthly routine is preferred by most of AGR clients. However the option exists for 6 monthly surveillance routines (for those who prefer more frequent visit programmes) and a quotation can be provided accordingly upon request. Should clients fail to effectively maintain their management system on a 12 monthly visit programme or during the main registration audit it is evident that there were sufficient concerns to indicate that more regular visits would be more appropriate, then AGR would retain the right to impose 6 monthly surveillance visits until confidence is restored.

Obligations of AGR

  1. AGR will appoint competent qualified auditors to conduct audits and assessments of the Client’s System in accordance with the Accreditation Body’s rules and procedures and AGR’s management system requirements.
  2. AGR will ensure that audit and assessment services are delivered at a frequency determined by AGR in order for AGR to maintain confidence in the ongoing efficacy of the System.
  3. AGR will issue audit and non-conformance reports, if appropriate, after each audit activity.
  4. AGR will issue a Certificate on successful completion of the initial certification assessment to the satisfaction of AGR

Obligations of the Client

  1. The Client agrees to comply with any conditions set by AGR for the issue of a Certificate and recognises that AGR has clear and explicit rights to revise the requirements of certification within the period of validity of the certificate.
  2. The Client consents to AGR using outsourced resources in the delivery of its obligations appertaining to this Contract.
  3. The Client shall ensure that its System complies with the current versions of the rules, regulations and Standard(s) against which it is certified. Current versions of the rules, regulations and Standards can be obtained from the respective websites of the Accreditation Bodies, or from AGR or from the Standards issuing authority.
  4. The Client agrees to undergo regular surveillance and audit as determined by AGR and must provide AGR with reasonable cooperation and assistance and allow AGR access to all premises, documentation and information deemed necessary by AGR to verify the maintenance of the System.
  5. The Client agrees that:
  6. AGR has the right to undertake unannounced or short notice surveillance evaluations.
  7. AGR and its Accreditation Bodies have the right to implement higher surveillance frequencies based on a risk assessment of the Client’s Certificate scope, System and location.
  8. Additional surveillance visits, as deemed necessary by AGR, will be charged at AGR’s rates current at the time of supply of such services.
  9. The Client recognises that:
  10. Initial Certification will only be granted once all non-compliances are corrected.
  11. On-going certification is reliant on continued compliance with the Standards rules and regulations of the relevant Accreditation Body, which may change from time to time, including the requirement to address any non-conformances to the satisfaction of AGR in the specified time periods.
  12. The Client shall inform AGR promptly of any significant changes to its product(s), services, resources, management, System or any other circumstances, which may materially impact on the continued validity of its certification, for example but without limitation: change of site, additional sites, change of process, change of ownership, change of scope. In such circumstances the Client shall agree to the payment of any applicable additional fees and expenses deemed necessary for AGR to assess the impact and maintain confidence in the System.
  13. The Client shall allow the Accreditation Body, or its representative, access to any part of the audit or surveillance process for the purposes of witnessing AGR’s audit team performing the audit of the System to determine conformity with the requirements of the Standard. This will include the right of access to confidential information. The Client will not have the right within this Contract to refuse such a request either by the Accreditation Body, its representative or AGR
  14. The Client agrees that information relating to its certification and scope of certification can be made publicly available by AGR and the Accreditation Body.
  15. The Client shall declare to AGR any activity which may create a conflict of interest in relation to its Certified System.