EN ISO/IEC 17021-1 – 9.6.3.2 Recertification audit
9.6.3.2.4 If the certification body has not completed the recertification audit or the certification body is unable to verify the implementation of corrections and corrective actions for any major nonconformity (see 9.5.2.1) prior to the expiry date of the certification, then recertification shall not be recommended and the validity of the certification shall not be extended. The client shall be informed and the consequences shall be explained.
9.6.3.2.5 Following expiration of certification, the certification body can restore certification within 6 months provided that the outstanding recertification activities are completed, otherwise at least a stage 2 shall be conducted. The effective date on the certificate shall be on or after the recertification decision and the expiry date shall be based on prior certification cycle.
CBs in the field of management systems issue certificates with an expiration date. If the CB conducts a certification audit (on site audit) after the certificate’s expiration date, in which cases must the CB treat the client as a new one and carry out phase 1 and phase 2 of the certification audit?
September 2024
This subject has been already dealt with in the past
- at IAF TC (mid-term meetings https://iaf.nu/general_information/iaf-technical-committee-tc-searchable-decision-log/ ) (see question n° 17/04/05) and
- in a CASCO clarification https://www.iso.org/committee/54998.html?t=hGFcELW4C8Wxz7it3Zf6Dh9AFOE3eGsMXP70FEmDKx6cD8_lqKsp-1V_3iEv1vu1&view=documents#section-isodocuments-top ), clarification request on ISO/IEC 17021-1 clause 9.6.3.2.4 and 9.6.3.2.5 – March 2016.
[It is considered by the RP that CASCO answer on scenario 4 is confusing as it is not in line with ISO/IEC 171021-1, which states that, after the 6 months period allowed after the end of validity of the previous certification, an initial audit shall be performed (with at least a stage 2).]
Answer, based on ISO/IEC 17021-1:
The CB must treat the client as a new one if, 6 months after the expiry date, not all recertification activities (including the recertification decision) have been completed. In this case, the standard does not request a stage 1 (“at least a stage 2 shall be conducted”).