ISO 14001 (Environmental
Management System – EMS)
Management Systems Certification
is UKAS accredited to certificate to the ISO 14001 and ISO
9001 standards for the respective scopes that it has been
granted. Details about our scopes of accreditation are available
on request or on the UKAS website. amtri
veritas may also on request carry out non-accredited
certification to ISO 9001, ISO 14001, OHSAS 18001, ISO 22000
and ISO 17100.
The Audit and Certification Process
If your management system is being certificated for the
first time, amtri veritas
we will carry out an initial audit which comprises of a two
part audit, a so-called Stage 1 and Stage 2 audit. The initial
audit will confirm if your management system complies with
the requirements of the relevant standard and that it has
been implemented correctly.
Following a successful initial audit, certification is granted
for an initial 3 years period. During this 3 year period,
surveillance visits are carried out to confirm ongoing implementation
and compliance with the management system standard. Towards
the end of the 3 year period a recertification audit will
take place and a new 3 year cycle will commence. This process
then repeats with ongoing 3 year cycles. A more detailed explanation
is described below.
The Application Process
Should you wish amtri
veritas to carry out your management system
certification, you will need to submit an application for
registration. amtri veritas
will decide to accept or decline your application. If the
application is declined you will be informed in writing. If
accepted amtri veritas
will develop an audit programme for your full audit cycle.
will send you a quotation, and upon acceptance of this, amtri
veritas will contact you to arrange the initial
two-stage audit. The three year certification cycle begins
with the certification decision. In determining the audit
time we will consider, among other things: the size, number
of sites, scope and complexity of your company and management
system; your products, processes, activities, aspects and
their associated risks; outsourcing; as well as the demonstrated
level of system effectiveness.
The Auditing Process
Stage 1 audit
The aim of the Stage 1 audit is to ascertain that your management
system is ready for Stage 2 auditing by auditing your management
system documented information, evaluating your location and
site-specific conditions and level of implementation in order
to confirm preparedness for the Stage 2 audit.
The lead auditor will visit your premises and carry out a
Stage 1 audit of your management system and will provide you
with a written report detailing any findings relative to the
management system standard.
As part of Stage 1 the lead auditor will confirm the scope
of the audit, check that any site specific issues have been
included in the management system and the planning for Stage
2, confirm that appropriate regulatory aspects have been covered,
check that internal audits and management reviews have taken
place satisfactorily, review your understanding regarding
the requirements of the standard and that key performance
indicators, required processes and objectives have been identified
and that the management system is fully operational.
If Stage 1 identifies areas of concern, the lead auditor will
determine whether Stage 2 can carry on as planned or if time
is needed for you to resolve any findings raised before continuing
with Stage 2. The lead auditor will also confirm if Stage
2 can go ahead as originally planned or if resource requirements
or timings need to be changed. Once the details for Stage
2 have been confirmed the lead auditor will draw up a detailed
visit plan for Stage 2.
Stage 2 audit
Before the Stage 2 visit, you will be provided with information
detailing the audit team members that will carry out your
audit and a detailed audit plan. The audit team may consist
of one or more auditors and possibly a technical expert, under
supervision of a lead auditor.
The purpose of stage 2 is to evaluate the implementation and
effectiveness of the management system.
The audit will comprise of:
• An opening meeting to introduce the audit participants,
explain the audit process, make certain that all required
resources are available, and ascertain that the audit can
proceed as planned;
• Audit of relevant business areas and business aspects
with the aim of evaluating the management system, including
effectiveness of the system. This will cover conformity of
all requirements of the standards concerned;
• Review of performance monitoring, measurement and
reporting against key objectives and targets (consistent with
expectation of the management system standard);
• Review the ability of the management system and performance
in meeting key compliance obligations;
• Review operational control of your processes;
• Review of performance of internal auditing and management
• Review of management responsibility for your policies;
• Clearance of any findings found at Stage 1 and 2 if
• Writing up of findings by the audit team;
• A closing meeting to cover the findings of the audit
and communication of the lead auditor’s recommendation
At the end of the audit, the lead auditor will compile a
report, documenting the findings of the audit and the recommendation
Once the audit has been completed and you have addressed
all findings that have been issued, the audit report is submitted
to head office for independent review and evaluation.
The lead auditor’s recommendation is considered by
the amtri veritas
certification decision maker responsible for taking certification
decisions, and if deemed appropriate, the decision maker will
confirm the recommendation of the lead auditor. Certification
will be granted once resolution of all findings issued has
been accepted and all findings have been suitably cleared.
Where certification is granted, a certificate will be issued
to you covering your scope, the standard, locations included
in the certification and showing the expiry date of the certificate.
This certificate is usually valid for 3 years, and certification
is subject to your company continuing to meet the requirements
of the standard(s) and contractual requirements. Ongoing compliance
is reviewed by means of surveillance visits and monitoring
of other appropriate information.
Following certification, surveillance visits are undertaken
at planned intervals, as detailed in your audit programme.
will contact you to confirm the surveillance visit dates and
provide you with a visit plan outlining the details of the
surveillance visit. Your first surveillance visit must take
place within 12 months from the initial certification date.
The purpose of the surveillance visit is to confirm ongoing
compliance, effectiveness and the implementation status of
the management system. This will include a review of any changes
in your company and management systems, the effectiveness
of the management system and achievement of objectives and
intended results, internal audits and management review, complaints,
progress of planned continual improvement activities, ongoing
operational control, clearance of any previous findings and
use of certification marks, logos and references to certification.
All findings must be adequately cleared before ongoing certification
can be confirmed.
Towards the end of your 3 year certification cycle amtri
veritas will carry out a reassessment audit
of your management system. The reassessment audit will include
at least a Stage 2 audit, and may also include a Stage 1 audit
if there have been changes in your activities or management
system or poor performance during the previous 3 year period.
The recommendation regarding recertification will be processed
as per the Certification section above and maintenance of
certification will proceed as described above under Surveillance
On an ongoing basis, amtri
veritas will review any changes to your business
activities that may affect the certification and your audit
programme and will update your programme of audit activities
Special Audits - Extra
may need to perform extra visits in the case of scope extensions
or short-notice audits. You will be informed of these visits
in time and will be charged accordingly for audit costs and
expenses. Extra visits that are deemed necessary by amtri
veritas are a prerequisite to continued certification.
Notification of changes, extensions
to scope of certification and short-notice audits
Certified clients must inform amtri
veritas without delay of any matters that
may affect the capability of the client’s management
system to continue to fulfil the requirements of the standard
used for certification. These include, for example, changes
a) the legal, commercial, organizational status or ownership,
b) organization and management (e.g. key managerial, decision-making
or technical staff),
c) contact address and sites,
d) scope of operations under the certified management system,
e) major changes to the management system and processes.
If the changes to your business activities include an extension
of the company’s activities or sites that are to be
covered by your certification, you are required inform us
of the change and request an extension to your scope of certification.
We will review your request for extension to scope and plan
in any appropriate activities. Based on a review of the changes
your ongoing audit programme will be updated to incorporate
any required changes.
Should amtri veritas
receive any complaints about clients that have been certificated
by amtri veritas,
we are required to investigate these complaints. A short-notice
audit may be required as part of the investigation into any
Short-notice audits may also be required as part of the follow
up process for suspended clients, either to confirm suspension
conditions are being followed or as part of the reinstatement
Refusal, suspension, withdrawal
and restoration of certification
If your company does not comply with the requirements of
certification and/or the amtri
veritas Terms and Conditions, amtri
veritas reserves the right to refuse, suspend
or withdraw your certification.
Reasons for refusal, suspension or withdrawal of certification
include, but are not limited to, the following:
• if your management system has persistently or seriously
failed to meet the certification requirements, including requirements
for effectiveness of the management system;
• if audit findings have not been satisfactorily actioned,
within the designated time limit;
• if a case of misuse of a certificate is not corrected
by suitable retractions or other appropriate remedial measures;
• if there has been any other contravention of the amtri
veritas Terms and Conditions;
• if surveillance or reassessment visits do not take
place within the prescribed timeframe;
• you voluntarily request a suspension.
During suspension you as the client shall not claim certification
for any product, process or service covered by a suspended
You will be notified in writing of the suspension of a certificate.
will indicate under which conditions the suspension will be
At the end of the suspension period, an investigation will
be carried out to determine whether the indicated conditions
for restoring the certificate have been fulfilled. On fulfillment
of these conditions, the suspension shall be lifted and you
will be notified of the certificate restoration. If the conditions
are not fulfilled the certificate shall be withdrawn.
All costs incurred by amtri
veritas in suspending and restoring a certificate
will be charged to you as the client.
A certificate may be withdrawn if you take inadequate measures
in case of suspension; no longer offer the product, process
or service; or if you cease trading.
In any of these cases, amtri
veritas has the right to withdraw the certificate
by informing you in writing. amtri
veritas may publish at its discretion details
of all suspended, cancelled or withdrawn certificates without
prior notice as it sees fit.
In cases of withdrawal no reimbursement of audit fees shall
be given and cancellation of certificate shall be published
by amtri veritas.
Reducing or expanding the
Scope of Certification
In the instance of a reduction or expansion to your business
activities, you must inform amtri
veritas of the changes and we will adapt your
scope of certification to reflect these changes.
Where a client persistently or seriously fails to meet the
certification requirements for parts of the scope of certification
these parts will be excluded from the certification and the
scope of certification will be reduced. Any such reduction
shall be in line with the requirements of the standard used
Cancellation of Certification
If you wish to cancel your registration with amtri
veritas, you must advise amtri
veritas in writing that you do not wish to
renew the certificate or wish to cancel a current registration.
You must state the date by which you want to cancel your registration,
which must be a date in the future. All fees payable according
to the surveillance visit plan for a period of six months
after the cancellation date will remain payable to amtri
veritas. No reimbursement of audit fees shall
be given and cancellation of the certificate shall be published
by amtri veritas.
Upon cancellation of your registration, you as the client
shall not claim certification for any product, process or
service covered by the cancelled certificate.