- 01Define activities and locations Name the legal entity, sites, activities, product groups and any modules. State exclusions openly.
- 02Prepare records and controls Assign responsibilities, keep intake, batch and dispatch records and check them against the document set.
- 03Audit and address findings An independent audit collects evidence; findings are handled and documented before any decision.
- 04Independent decision and register A decision separate from the audit; scope and status are published in the register and kept under surveillance.
Proposed route described in draft documents; the programme is not yet issuing certificates.
Define the scope
Identify the legal entity, sites, activities, product categories and any additional modules. Make exclusions explicit so that buyers can understand what an eventual decision would and would not cover.
Prepare and review
Assign responsibilities, maintain records and check implementation against the relevant document set. RTX-901 supports preparation but does not replace requirements or an independent audit.
Audit, corrective action and decision
The proposed process separates assessment evidence from the certification decision. Findings require documented handling; submitting a request or completing training does not guarantee a certificate.
Surveillance and certificate status
The proposed framework includes surveillance, suspension and withdrawal. Buyers should consult the public register for scope and status, not infer validity from a PDF, a logo or an expiry date alone.
Documents worth reading first
RTX-201 explains the basic structure: scope, participant types, certificate structure and the process. RTX-901 offers an order of work, typical mistakes and a readiness self-assessment. RTX-302 shows how auditors are expected to examine evidence and sample records.
- RTX-201 – system fundamentals
- RTX-901 – implementation guide
- RTX-302 – audit checklist
- RTX-304 – certificate and report templates
Typical gaps found during preparation
Organisations preparing for evidence-based assessment often discover that records exist but are not connected. Common gaps include batch identifiers that change between processes without explanation, missing records of safety exclusions, and claims prepared before the scope has been defined.