Management System Certification Process


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Management System Certification Process

The process of certification of management systems includes an organizational stage, a two-stage primary certification audit, supervisory audits (inspection control) during the validity period of the certificate and, after a three-year certification cycle, recertification before the expiration of the certificate.

CM certification includes the following steps:

  • submission of an application for certification by the Applicant through the information system (a set of documents is attached to the application
  • consideration of the application by the conformity assessment body and making a decision on the possibility of certification of CM
  • conclusion of a contract for certification of SM
  • analysis of submitted documents and audit planning (formation of an audit team, preparation of an audit program, audit plan, etc.)
  • On-site audit
  • submission of audit results for consideration and decision on the possibility of issuing a certificate
  • registration and issuance of a certificate for CM

Any disagreement on the findings and conclusions of the audit between the audit team and the audited entity should be discussed and, if possible, resolved before the final meeting.

If no agreement is reached, both views shall be recorded. At the same time, the inspected organization has the right to apply to the Appeal Commission of the OPS SM SAPA INTERSYSTEM LLP or to the Authorized Body for Technical Regulation and Metrology.

The criterion for making a decision on issuing a certificate of conformity of the quality management system is the absence of inconsistencies or the performance of corrective actions by the inspected enterprise within the agreed time frame and the recognition of their effectiveness by the OPS SM.

The SM OPS requires the customer to conduct a timely analysis of the cause, a description of the corrections and corrective actions taken, or planned actions to eliminate the identified inconsistencies. The head of the audit team notifies the audited entity that additional audits or the provision of documented evidence may be required to verify corrective actions.

After the corrective actions are taken, the customer organization submits information to the team leader confirming the implementation of corrective actions. The CM OPS analyses the information provided on corrective actions for acceptability.

If corrective actions are not presented in the CPI CM, the certification process is terminated and can be resumed only if it is re-applied for.

 In case of a positive decision, a certificate of conformity of the quality management system of the established sample is issued in electronic form in the information system of technical regulation using EDS.

In case of a negative decision, the CAB SM notifies the organization of the refusal to issue a certificate, indicating the reasons for the refusal and informs about the possibility of conducting a re-certification audit on a contractual basis.

Inspection control of a certified management system:

  • A month before the Inspection Control, the SM OPS informs the customer about the upcoming inspection control, the terms and conditions of the work are stipulated:
  • CAB SM submits to the Customer an Invoice for payment in accordance with the terms of the previously concluded Certification Agreement;
  • Prior to the on-site inspection, the customer is obliged to fulfill its financial obligations under the Agreement.
  • Carrying out scheduled inspection control “on site”;
  • Preparation of the Act based on the results of inspection control;
  • Making a decision on confirmation (or suspension/cancellation) of the certificate of conformity of the management system.


If the Customer refuses to conduct an on-site inspection audit or obstructs the inspection audit (including the lack of payment established in the Agreement on time, according to the invoices issued), or if it is not possible to determine the location, or establish contact with the Applicant, OPS SM SAPA INTERSYSTEM LLP has the right to cancel previously issued certificates of conformity, followed by mandatory informing of the Authorized Representatives State bodies in accordance with the established procedure, as well as posting information on the official website of the company.
Recertification Process
The procedure for recertification is similar to the procedure for certification.


  • Two months before the expiration of the certificate of conformity, the Customer sends an application for recertification of the CM to the CAB SM
  • when identifying cases of non-compliance or lack of evidence of conformity during the recertification audit, the CM CAB sets the deadlines for the implementation of corrections and corrective actions that are performed by the customer before the validity period (s) of the previously issued certificate (s) of conformity.
  • if the Customer performs the necessary corrective actions within the time limits agreed with the CAB SM or in the absence of inconsistencies (positive result) during the recertification audit, the CAB SM makes a decision on the possibility of issuing a new certificate of conformity, in accordance with the established procedure, while maintaining the number of the previous certificate.
  • if the Customer fails to take corrective actions to eliminate the identified inconsistencies during the on-site recertification audit within the time limits established by the SM CAB, the previously issued certificates of conformity cease to be valid and are not subject to renewal.


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