Audit durations for transitioning existing QMS and EMS certifications to 2015 versions

BACKGROUND

In 2015 both ISO 9001 and ISO14001 are being revised and are due to be issued in September 2015.

The revisions incorporate a change in structure, aligning them to the ISO/IEC Directives, Part 1, Consolidated ISO Supplement 2013 - Annex SL which brings significant changes to both the content and the expected method of auditing to achieve the expected results.

The International Accreditation Forum (IAF) has produced guidance for certification and accreditation bodies to manage the transitions from the existing versions of the standards to the 2015 versions. The following is an extract from these documents:

“Where transition audits are carried out in conjunction with scheduled surveillance or recertification (i.e. progressive or staged approach), additional time is likely to be required to ensure that all activities are covered for the existing and new standards.”

WHEN CAN A CLIENT TRANSITION?

An existing BVC client may transition to the new version of the standard when best suits them. It is likely this would be at the time of an existing visit, such as a recertification or surveillance.

DETERMINATION OF TRANSITION AUDIT TIME FOR ISO9001:2015 AND ISO14001:2015

It is important to understand that the figures below are a MINIMUM to be applied to transition calculations.

TRANSITION AT RECERTIFICATION 

While clients may request a transition assessment at any stage of the certification cycle it is anticipated that transitioning a client at recertification will be most popular. This will enable the transition to be done as a one off exercise.

Calculate the number of days needed to complete the recertification to the 2008 or 2004 versions of the standards after considering  applicable reductions or additions, then add

10% or 2 hours MINIMUM

Example:

Client with 4 day recertification to ISO9001:2008, transition audit to ISO9001:2015 will require 0.4 day added – round up to 0.5 therefore recertification with transition will be 4.5 days

Client with  12 hours (1.5 days)  recertification to ISO14001:2004, transition audit to ISO14001:2015 will require 1.2 hours (0.15 days) added – round up to 2 hours minimum therefore recertification with transition will be 14 hours or 1.75 days.

Countries may use their discretion to round up further to ensure optimum utilization of auditor time, depending on local market conditions (please refer to CER BL Business Guidelines below)

NO REDUCTIONS ON THE MINIMUM DURATION ARE PERMITTED

Following the recertification audit with transition and after a successful decision, the 2015 version certificate can be issued with a new 3 year cycle.

TRANSITION AT A SURVEILLANCE

A transition may be carried out at a surveillance visit - reconfirm the number of days to compete the surveillance to the 2008 or 2004 versions of the standards after considering applicable reductions or additions, then add

20% or 4 hours MINIMUM

Countries may use their discretion to round up further to ensure optimum utilization of auditor time, depending on local market conditions (please refer to CER BL Business Guidelines below)

NO REDUCTIONS ON THE MINIMUM DURATION ARE PERMITTED

If the transition is fully completed at the client’s normal surveillance visit any new certificate issued will retain the existing certification cycle dates. This could result in a client transitioning at their surveillance in 2016, but still needing a full recertification in 2017.

Why is any additional time needed?

Annex SL standards have a common structure and more focus on the organisation’s understanding of stakeholders, context of the organisation and risks and opportunities. Other requirements of the previous versions of the standards have been altered so collectively this will require a change in the way organisations are audited. This additional time will be used by BVC to plan the audit to ensure the changed clauses can be effectively audited – the audit plans must clearly show where this additional time is being spent.     

MULTI – SITE CLIENTS

For clients operating a multi-site management system additional time must be added as detailed above but it must be applied to the correct client location.

For example, a multi-site client with 20 sites and one operational HO has a recertification time of 3 days at HO and 1 day at 7 sites selected at random.  The recertification duration is 10 days in total, therefore 10% additional time is 1 day. This day may be applied at HO or divided up over the locations – here the structure and operation of the client must be taken into account at the audit planning stage and fully documented so BVC can justify the approach taken. 

For very large multi site clients where the recertification days is over 20 the recertification and transition quote must be reviewed in conjunction with the certification decision maker.

The maximum number of days to effect the transition is not stipulated - this will depend on the individual client. As an example, for a large multi-site client 3 transition days may be required, one to review the client’s understanding of the new requirements, one to verify the implemented over the sites then a final day in HO to consolidate and summarise.