ISO 9001:2015 and ISO 14001:2015 transition

ISO confirms that the formal publication date for ISO 9001:2015 is 15 September 2015. In line with IAF ID 9: 2015 Transition Planning Guidance for ISO 9001:2015, this communiqué also confirms that the transition of certified organisations to ISO 9001:2015 must be complete by 15 September 2018. This now means that the transition of organisations to ISO 14001:2015 covered in IAF ID 10:2015 Transition Planning Guidance for ISO 14001:2015, will work to exactly the same transition dates as ISO 9001:2015.

Following the joint IAF-ISO Joint Communique that confirms the formal publication date of ISO 9001:2015 IAF and the JAS ANZ TRANSITION UPDATE ISO 9001:2015 and ISO 14001:2015, InterConformity Assessment and Certification adopts following policies:

  • The expiry date of certificates issued as per ISO 9001:2008 and/or ISO 14001:2004 will be no later than 15 September 2018. The 3 years certification cycle as per concluded certification agreement will still be valid but the certified customer will need to update its management system to the ISO 9001:2015 and/or ISO 14001:2015 standard.
  • All transition activities shall be completed by 15 September 2018.
  • New applications for certification to ISO 9001:2008 and/or ISO 14001:2004 will not be accepted after 15 September 2017, as these certifications would expire prior to the first maintenance audit.
  • Transition activities may be carried out through:
    • As part of the normal certification program, i.e. by regular Surveillance Audits, as per scheduled activities. In this case, 50 % additional time is required to ensure that all activities are covered for the existing and new standards;
    • Special Audits on request of the client and submitting of an application for transition. In this case, by the application review the audit duration is determined as for an initial certification (stage 1 is performed off site by document examination and stage 2 on site). Surveillance is carried out as per the normal certification program.
    • Initial Certification Audits following a new application. This will be considered a new project and shall be treated as a regular certification. A new certification program will be determined. In case of issuing of the certificate(s) for the ISO 9001:2015 and/or ISO 14001:2015, the old certificate(s) based on ISO 9001:2008 and/or ISO 14001:2004 sgall be cancelled and withdrawn.
  • No additional fees are applicable for the transition to ISO 9001:2015 and/or ISO 14001:2015 performed through regular surveillance audits.
  • InterConformity Assessment and Certification recommends that clients implements new requirements and initiate the transition procedure to the requirement of the standards ISO 9001:2015 and/or ISO 14001:2015 by the first surveillance/recertification audit following publishing of this policy to ensure sufficient time to resolve findings or other issues by the 15 September 2017 deadline.
  • Any certificates for ISO 9001:2008 and/ISO 14001:2004 will be removed from the Certification Register as of 15 September 2018.

The transition process steps:

  • The certified customer shall identify organizational gaps which need to be addressed to meet new requirements, develop new management system, provide appropriate training and awareness for all parties that have an impact on the effectiveness of the organization, update the existing quality and/or environmental management system to meet the revised requirements and provide verification of effectiveness.
  • The certified customer shall liaise with the InterConformity representative for transition arrangements by submitting a new Application requesting transition to new versions.
  • The Application Reviewer will determine increased audit time and assign the competent audit team.
  • The transition will be scheduled as part of normal certification program within a single stage during the regular surveillance audit, or as a special audit or initial certification audit, apart from the normal certification program.
  • Provision related to transition done through surveillance audits:
    • During the audit, both versions of the standards will be used as audit criteria. The audit team will perform the audit and document the results by using 2 sets of audit related files based on both versions of standards (i.e. Audit Plan, Audit Checklist, Audit Report). All issues that require client action for compliance with the new requirements will be clearly identified and raised as documented findings.
    • If the customer meets criteria of the new standard and the recommendation is to grant certification for the new standard.
    • If the customer does not meet criteria of the new standard but maintains the management system according to the old standard. In this case recommendation is to maintain existing certification and not to grant transition to the new standard. The evaluation of the client’s conformance to the new requirements during the transition phase does not interfere with the client’s on-going conformance to ISO 9001:2008 or ISO 14001:2004.
  • Provision related to transition done through special or initial certification audits:
    • The audit team will perform the audit and document the results by using new sets of audit related files (i.e. Audit Plan, Audit Checklist, Audit Report) based on the ISO 9001:2015 or ISO 14001:2015 versions. All issues that require client action for compliance with the new requirements will be clearly identified and raised as documented findings.
    • If the customer meets criteria of the new standard and the recommendation is to grant certification for the new standard.
    • If the customer does not meet criteria of the new standard, decision is not to grant transition to the new standard.

 

  • Following the review of clients corrections and corrective actions and performance of adequate follow-up actions, compliance to new requirements is reviewed and new recommendation shall be made. Only when all identified outstanding issues have been appropriately addressed and the effectiveness of the management system demonstrated, can auditors recommend certification to the new standard. Records should be available to demonstrate that all prior transition audit findings have been evaluated for corrective action and compliance before any recommendation for transition to ISO 9001:2015 or ISO 14001:2015.

 

  • For the closing of raised nonconformities, follow up activities need to be considered in due time, but not later than 01.09.2018 in order to allow reasonable time for the Certification Committee to review and make related decision.

 

  • Following the review of the Certification Committee, a decision is made with regard to transition of the certification to the new standard(s). In case of positive decision, a new certificate is issued keeping the initial certification cycle and the old certificate(s) are withdrawn.

 

 

 

 

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