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Processes

Certification Process

The process for gaining ISO certification is straightforward and follows a consistent approach for all management systems standards, including ISO 9001, ISO 14001, ISO 45001, ISO20000-1, ISO22301, ISO 27001, ISO27701, ISO13485 and ISO20000-1.

Three steps to certification

Application

To start the process, the first step is completing the Application Form. This form provides all the information required about your business so we can determine the scope of certification and calculate the audit timing and coverage.

Assessment

The Assessment stage consists of two mandatory visits forming the Initial Certification Audit. The Stage 1 and Stage 2 audits are designed to cover both preparedness and implementation. At any stage, an observer, accreditation assessor or trainee auditor may attend (at no cost).

Certification

A Certificate is issued after successful completion of the Initial Audit. Certification is maintained through annual or six-monthly surveillance audits, and a three-yearly recertification audit.

The Assessment Process

Stage 1

The assessor will:

  • Confirm the management system meets the Standard
  • Confirm implementation status
  • Confirm the scope of certification
  • Check legislative compliance
  • Produce a report identifying non-compliance or improvement opportunities

Stage 2

The assessor will:

  • Audit processes and activities
  • Document compliance through objective evidence
  • Report non-compliance(s) or improvement opportunities
  • Produce a surveillance plan and schedule the first surveillance audit

Certification

Successful completion results in a three-year certificate, subject to annual surveillance. If major non-conformities are found, certification cannot be issued until resolved. If unresolved within six months, a full Stage 2 audit is required.

Surveillance

Surveillance audits are carried out periodically to ensure continued compliance. Frequency depends on size, structure, risk level, and number of standards included.

Recertification

Conducted before the end of the three-year cycle to confirm system effectiveness. A new certificate is issued aligned to the expiry date of the previous one.

Transfers

Certification can be transferred at any time. We require:

  • Current certificate of registration
  • Latest audit reports up to the last certificate decision

Upon successful transfer, we issue a Certificate of Registration with the same validity as the previous certificate.

Appeals

If a company disagrees with audit findings or decisions, they must appeal within 21 days by contacting 3core². Appeals are logged and acknowledged within 24 hours. An independent investigator will be assigned, and clients will be updated throughout the process. The final decision will be communicated in writing.

Appeals will not result in any discriminatory action. Contact: info@3core².co.uk

Complaints

Complaints are logged and acknowledged within 24 hours. They are assessed, investigated, and outcomes are communicated formally. Complaint analysis is reviewed regularly by the management team and shared with the Impartiality & Excellence Committee.

To make a complaint, contact: info@3core².co.uk

Suspension & Withdrawal of Certification

Suspension

Certification may be suspended if:

  • The management system persistently or seriously fails to meet requirements
  • Significant non-compliance to the certified standard occurs
  • Failure to address standard updates or new versions
  • Refusal to allow audits at required frequencies
  • Client voluntarily requests suspension
  • Failure to comply with financial obligations
  • Failure to implement corrective actions

Clients will be notified in writing, and certification will be temporarily invalid for a maximum of six months unless issues are resolved.

Withdrawal

Certification may be withdrawn if:

  • The client is no longer operating
  • The client voluntarily requests withdrawal
  • The client fails to resolve suspension issues within the required timescale
  • Persistent or serious failure to meet certification requirements is identified

Upon withdrawal, the client will be informed in writing. The notification will describe:

  • The grounds for the decision
  • Details of the appeal procedure
  • The requirement to refrain from promoting their certification status and to remove all references to certification and 3core² Certification Ltd. from any documentation, website, literature, etc.