Process
How agencies are certified against the HAP Standard 2007
The certification process is discussed in detail in the Guide to the HAP Standard 2007. Certification involves nine steps (more or less):
Step 1: Choosing HAP
Agencies may choose to become certified against the HAP Standard for a number of reasons. The process of deliberation is an important one and HAP encourages agencies to look carefully at its benefits, challenges and costs. It may be helpful to work through a few key questions that help you consider if certification is the way ahead. If your agency is interested in applying for certification, we encourage you to contact us.
Step 2: Lodging an application file
Once an agency has decided it is ready for certification, it submits an application file to the Certification Manager at the HAP Secretariat. The application file consists of a signed statement that the agency meets the Qualifying Norms, as well as supporting documentation. Lodging the application files officially starts the certification process.
Step 3: Reviewing the application
Once HAP receives an application file, it checks to see it is complete. If the application is complete and the agency satisfies the Qualifying Norms, HAP will ask whether the agency wants a Baseline Analysis or a Certification Audit. If the file is incomplete, HAP asks for more information.
Step 4: Baseline Analysis
A Baseline Analysis is an assessment on accountability and quality assurance at a fixed point in time (the time of the assessment). It helps agencies assess how close they are to achieving the Standard; it identifies good practices in accountability and points for improvement. Agencies can carry out their own Baseline Analysis, however, HAP encourages agencies to commission HAP staff or HAP registered auditors, at least for the initial Baseline.
Step 5: Planning the Audit
Once your organization has undergone a baseline analysis, HAP proposes an audit plan, timeline and a cost estimate for certification. Participants in the audit will include, at a minimum, people affected by disaster, senior staff, project staff and partners at headquarters and selected project sites. Though HAP makes the final decision regarding the number and choice of sites, it considers the agency's advice regarding timing, cost, security and accessibility. Officers at other sites will be asked to complete a short self-assessment questionnaire.
Step 6: Conducting the Certification Audit
After an agency has successfully completed a Baseline Analysis and filed an application, HAP's audit team conducts the certification audit. The audit includes steps at head office and field level and is conducted according to HAP's audit guidelines.
Step 7: Certification audit report
Based on the findings of the document review and the audits at head office and the project sites, HAP's auditors prepare an audit report. Aside from describing your agency and the audit process, the report lists recommendations, exonerations, observation, corrective action and conclusions, as well as any non-conformities:
- Minor non-conformities require corrective action within a specified timeframe but do not usually result in a delay of the recommendation for certification.
- Major non-conformities are accompanied by a recommendation that certification is deferred until corrective has been taken and improvements verified.
Step 8: Certification
If the agency is recommended for certification, it receives a certificate of recognition acknowledging that it complies with the HAP Standard and the CARB presents the certificate and HAP’s 'mark' to the agency. The agency is also added to the Register of Certified Agencies.
Mid-term audit and renewal
Eighteen months into certification HAP conducts a mid-term surveillance audit to check how the agency is progressing.
After 3 years, certification expires. Before then agencies need to reapply for certification.
Appeals mechanism
HAP is currently developing a mechanism to allow agencies to appeal decisions about certification.
