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Refusing Certification

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Purpose

To outline the procedure for refusing certification and the circumstances under which a certification body may decline to grant certification, ensuring compliance with ISO/IEC 17021-1:2015.

Scope

This article applies to all certification decisions made by Assurco, including initial certification, recertification, and scope extensions.

Relevant Standard

  • ISO/IEC 17021-1:2015
    • Clause 5.1.3 – Responsibility for certification decisions
    • Clause 7.5.2 – Decisions shall not be outsourced
    • Clause 8.5.1 – Information on processes for granting or refusing certification
    • Clause 9.1.2.2 – Declining an application
    • Clause 9.5 – Certification decision requirements

Process for Refusing Certification

1. Application Review

  • After reviewing the application and supplementary information, the certification body may decline an application if:
    • Information is insufficient to develop an audit programme.
    • Assurco lacks competence for the requested scope.
    • There are unresolved differences in understanding between the applicant and the certification body.
  • Requirement: Reasons for declining will be documented and communicated clearly to the client.

2. Audit and Nonconformity Review

  • During or after the audit, refusal may occur if:
    • Major nonconformities remain unresolved and corrective actions cannot be verified within the defined timeframe (typically six months after Stage 2 audit).
    • The audit objectives have not been achieved, or evidence of conformity is insufficient.

3. Certification Decision

  • Decisions to grant or refuse certification must be made by competent technical team members, different from those who conducted the audit.
  • The decision process includes:
    • Reviewing audit reports and nonconformity status.
    • Ensuring impartiality and independence.
    • Recording the decision and rationale in client records.

4. Communication

  • The client must be informed promptly of:
    • The refusal decision.
    • Detailed reasons for refusal.
    • Available options, including corrective actions or reapplication.
  • Information on the appeals process must be provided.

Potential Reasons for Refusal

  • Unresolved Major Nonconformities: Failure to implement and verify corrective actions within the required timeframe.
  • Insufficient Audit Evidence: Audit objectives not met or evidence of conformity lacking.
  • Impartiality Risks: Conflicts of interest or threats to impartiality identified during the process.
  • Competence Limitations: Certification body lacks technical competence for the requested scope.
  • Failure to Provide Access: Client does not allow audits or fails to provide necessary documentation.
  • Legal or Contractual Issues: Non-compliance with certification agreement or regulatory requirements.

Appeals

Clients have the right to appeal a refusal decision.

Key Compliance Points

  • Decisions cannot be outsourced.
  • Impartiality must be maintained throughout the process.
  • All decisions and supporting evidence must be recorded and retained for the required period.
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