CSR Performance Ladder

Certification

Certification means that an external, independent party (certifying body) determines whether the organization's quality management system meets all standard requirements. To determine this, a certification body (CI) conducts an audit. This first (certification audit) consists of two phases.

The first phase serves;

• to review the documentation
  evaluate the site and site-specific conditions and conduct interviews with employees to determine whether the organization is prepared for phase two
• to assess the extent to which the organization meets the requirements of the standard and understands the requirements of the standard, in particular concerning the identification of key performance indicators and aspects, processes and operation of the management system
• gather necessary information regarding the scope of the management system, processes and locations, and relevant statutory and legal aspects
• to see what resources are available for the second phase and to reach an agreement with the organization on the elaboration of the second phase audit
• to obtain a good understanding of the organization's management system, its activities and significant aspects that are relevant to it

The purpose of the phase two audit is to assess the implementation and effectiveness of the management system. The phase two audit occurs at the organization's site(s). The phase two audit shall include at least the following:

• information and evidence regarding conformity to all requirements of the standard
• performance evaluation, measurement, reporting and assessments done to determine the extent to which goals and objectives have been achieved
• The organization's management system and how the organization meets legal requirements
• The control of the organization's processes
• Internal audits and management review
• Management involvement in the quality policy
• The connection and coherence between the requirements of the standards, the organization's policy, goals and objectives, legal requirements, responsibilities, employee competence, implementation, procedures, performance information, and findings from internal audits.

Subsequently, in the two years after that, organizations are tested (semi-) annually to assess whether they continue to meet the standard's requirements. Recertification again consists of 2 phases and occurs in the third year of the first certification. This cycle is maintained.

Deviations

If any nonconformities are noted during an audit, they are recorded in the audit report. The name may vary from one certifying body to another but boils down to the following:

1. Major non-conformity (Categorie 1 afwijking):

- The lack of effective implementation concerning one or more system requirements of the standard, or a situation where it is not or not sufficiently ensured that the product or service will meet requirements;

- Multiple Category 2 nonconformities to a standard requirement that has been identified as lacking in effective implementation within the management system

- A category two nonconformity where the required corrective action has not resulted in effective implementation will be upgraded to a category one finding

The correction, cause analysis and corrective action plan, together with sufficient evidence of their implementation, must be submitted within 90 days of the last day of the audit. Assessment of nonconformities is done through desk research. However, depending on the seriousness of the findings, the auditor may conduct a follow-up visit to confirm that the measures have been taken, evaluate their effectiveness, and determine whether nomination for certification or continuation of the certificate can occur.

2. Minor nonconformity (Category 2 deviation):

A lack of discipline or control in implementing a system or procedural requirements does not affect the functioning of the system and the meeting of the product/service requirements.

The lead auditor and verification must approve the correction, root cause analysis, and corrective action plan of the implementation and assessment of the effectiveness of the corrective action must take place at the next visit.

Observation

An observation is not in itself a deficiency, but it may indicate a possible future deficiency if the situation is given too little attention; an observation may also refer to a situation where no appropriate evidence is found to support the determination of a deficiency.

Recommendations for improvement

Recommendations for improvement relate to areas or processes where - minimum-standard requirements may be met, but improvement is possible.

Reference

http://www.mvoprestatieladder.nl/

https://www.mvoprestatieladder.nl/en/what-is-csr-performance-ladder/