ISO 9001:2015 and ISO 14001:2015 Transition Update

ISO 9001:2015 and ISO 14001:2015 Transition Update

ISO 9001:2015 and ISO 14001:2015 Transition Update

ISO 9001:2015 and ISO 14001:2015 are due to be published in September 2015.

The International Accreditation Forum (IAF) published Informative Documents (ID) IDs 9 and 10 to guide interested parties how IAF Accreditation Body members might deal with the transition.

The IAF IDs were developed when the two standards were at the Draft International Standards (DIS) on the understanding that content of might change.   The two standards are now at the Final Draft International Standard (FDIS) stage and less likely that the content will change.

JAS-ANZ will publish its formal transition arrangements at the publication dates for ISO 9001:2015 and ISO 14001:2015.

Interpretation

The following information describes the approach JAS-ANZ will take throughout the transition period.   In general this aligns with the approach described in Informative Documents 9 & 10.

Statements outlined below and in the formal transition arrangements (when released) supersede any comparable statements made in Informative Documents 9 & 10.

Transition

  • A three year Transition Period will apply respectively from publication date of ISO 9001:2015 and ISO 14001:2015.
  • The expiry date for any certifications issued during the transition period for ISO 9001:2008 or ISO 14001:2004 must be no later than the end of the three year transition period
  • Any certifications to ISO 9001:2008 or ISO 14001:2004 will be removed from the JAS-ANZ  register at the end of the Transition period

The end of the three year period is a terminal date for the transition.  Consequently all certification bodies must have finalised the transition at least six months prior to end of the transition period. This will ensure sufficient time to deal with findings and to formalize decision-making across the accreditation system.

The standards are now at the FDIS stage and not subject to technical changes. In view of this, evaluation activity by certification bodies could be undertaken and considered as part of the formal transition.

General

Outside the strict adoption of the three year transition period JAS-ANZ will not specify timing for achieving transition.   However, from the commencement of the transition period assessment activity will focus on:

  • The transition strategy of the CAB.
  • The Training Process
  • The Audit Process

Certification bodies may issue non-accredited certificates, however before these are converted to accredited certificates the processes and terms under which the non-accredited certificates were issued will be scrutinized by JAS-ANZ assessors

Transition process

Application
  1. JAS-ANZ will not require accredited bodies to apply for the transition. JAS-ANZ’s systems will automatically allocate an assessment number for the transition, which will be used to monitor the transition.
Transition through routine Assessments

JAS-ANZ will include sufficient time under scheduled office visits to ensure that certification bodies continue to comply with accredited policies and procedures and monitor how the certification body is transitioning to the new standard.

Additional Visits

JAS-ANZ will not plan additional visits to monitor the transition except where:

  1. requested by the certification body, after the International Standards are published, or
  2. if the certification body is not progressing at the rate which will ensure that the transition process will be complete within the three year period.

Note: All additional visits required will be at the cost of the certification body.

Expectations at assessment

JAS-ANZ assessments will cover the following:

  1. Transition strategy:
    1. The timeliness and terms under which transition arrangements have been presented to certified organisations;
    2. Arrangements for ensuring continued compliance with ISO 9001:2008 and/or ISO 14001:2004 during the transition period;
    3. Mode of transition audits (single or staged visits);
    4. Intended use of any audit results obtained under FDIS;
    5. Arrangements for dealing with clients that fail to meet the transition period.
  2. Training Process
    1. The training and validation of all staff involved in the audit and certification processes;
    2. Assessing the ability of the auditors to audit against the new requirements.
  3. Audit Process
    1. Processes for adjusting audit durations to allow for the additional audit load;
    2. Presentation of documented audit findings for client action;
    3. Correlation between audit, corrective actions and audit recommendations;
    4. Audit reporting and traceability of actions to be taken by clients to comply with new requirements;
    5. Audit reports demonstrate that the training provided by the CAB to the new standards has been effective;
    6. Adequacy and validity of certification decisions;
    7. Adequacy of certification documentation.
Witnessing

The coordination of witness activity remains the responsibility of the certification body and it is essential to ensure clients are not disadvantaged by avoidable delay in planning.  JAS-ANZ does not intend to schedule any additional witnessing activity. Scheduled witnessing activity over the transition period will be to the new standards.

Note: Additional witnessing may be arranged at the request of the certification body and will be at the cost of the certification body’s expense.