ISO 21001:2018 – Educational organizations — Management systems for educational organizations (EOMS)

STEP 1: Application & Contract (Phase 1)

 Purpose:

The organization formally begins the certification process by applying to a certification body (CB).

Activities:

• Submission of the application form with organization details.
• Discussion of the scope of certification (i.e., what part of the business or what standard is being applied for).
• Review of the organization's readiness.
• The certification body issues a quotation or proposal.
• Signing of a contract that outlines terms, conditions, audit plan, and costs.

Outcome:

• A legally binding agreement between the organization and certification body.
• Audit process planning starts.

STEP 2: Pre-Audit (Optional) (Phase 2)

Purpose:

To evaluate the organization’s current system and readiness before the formal certification audit.

Activities:

• A Pre Audit is performed to identify missing elements in the management system
• Evaluation of documentation, processes, and compliance with the chosen standard (e.g., ISO 9001).
• Feedback is provided but no certificate is issued at this stage.

Outcome:

• Organization receives a preliminary assessment report.
• Identifies areas for improvement before the actual certification audit.
• Optional, but recommended for first-time applicants.

STEP 3: Certification Audit (Phase 3)

Purpose:

To conduct a formal, in-depth audit to verify compliance with the applicable standard.

Activities:

• Conducted in two stages:
  • Stage 1 Audit: Review of documentation, processes, and readiness.
  • Stage 2 Audit: On-site audit of actual implementation.
• Auditors assess:
  • Policy and objectives
  • Risk assessments
  • Employee competence
  • Records and evidence of compliance
• If non-conformities are found, Corrective Actions (CA) must be taken.

 Outcome:

• Audit report with findings.
• If all requirements are met (or after CAs are addressed), the process proceeds to certification.

STEP 4: Certificate Issue (Phase 4)

Purpose:

To grant official certification once the organization has passed the audit.

Activities:

• Review of audit report by the certification body.
• Verification of implemented corrective actions (if any).
• Issuance of the Certificate of Conformance, valid for typically 3 years.

Outcome:

• The organization becomes certified to the chosen standard.
• Public recognition, enhanced credibility, and business opportunities.

STEP 5: Surveillance Audit (Phase 5)

Purpose:

To ensure ongoing compliance with the standard during the certificate’s validity period.

Activities:

• Surveillance audits are conducted at least once a year.
• Partial audit of processes and systems.
• Review of continual improvement, internal audits, management reviews, and corrective actions.

Outcome:

• If compliant, the certificate remains valid.
• If issues are found, Corrective Actions (CA) must be taken.

STEP 6: Re-Certification Audit (Phase 6)

Purpose:

To renew the certification before its expiration (usually every 3 years).

Activities:

• A full system audit is performed, similar to the initial certification audit.
• Review of system performance over the previous cycle.
• Evaluation of effectiveness and continual improvement.

Outcome:

• A new certificate is issued for the next cycle if the audit is successful.
• If major non-conformities are found, certification may be suspended or withdrawn.

Corrective Action (CA) – Throughout the Process

• Applicable in Steps 3, 4, 5, and 6.
• If non-conformities are identified during any audit, the organization must:
  • Investigate the root cause.
  • Implement corrective actions.
  • Provide evidence of resolution.
• Certification body verifies effectiveness of corrective actions before moving to the next step.