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Expanding the Scope of Certification

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 1. Purpose

To define the process for reviewing and approving applications to expand the scope of an existing certification, ensuring compliance with ISO/IEC 17021-1:2015 clause 9.6.4.1.

2. Scope

Applies to all certified clients requesting an extension of their current certification scope to include additional activities, products, services, or sites.

3. References

  • ISO/IEC 17021-1:2015, Clause 9.6.4.1
  • Assurco’s Certification Management System Manual
  • Client Certification Agreement

4. Responsibilities

  • Certification Manager: Oversees the process and ensures impartiality.
  • Audit Team Leader: Conducts any required audit activities.
  • Technical Team: Makes the final decision on scope expansion.

5. Procedure Steps

Step 1: Application Submission

  • The client submits a formal application detailing the requested scope extension, including:
    • Description of new activities, products, services, or sites.
    • Relevant legal and regulatory requirements.
    • Any significant changes to the management system.

Step 2: Application Review

  • The certification body reviews the application to:
    • Confirm completeness and clarity.
    • Assess whether the certification body has competence for the new scope.
    • Identify potential risks to impartiality.

Step 3: Determine Audit Activities

  • Based on the review, decide what audit activities are necessary:
    • Special Audit: Conducted specifically for scope expansion.
    • May be combined with a scheduled surveillance audit to optimise resources.
  • Define audit objectives, scope, and criteria in line with ISO 17021-1 requirements.

Step 4: Audit Planning and Execution

  • Prepare an audit plan covering:
    • Evaluation of the management system’s ability to support the expanded scope.
    • Compliance with applicable standards and legal requirements.
  • Conduct the audit on-site or remotely (as per approved remote audit procedure).

Step 5: Audit Reporting

  • Document findings in an audit report, including:
    • Evidence of conformity for the expanded scope.
    • Any nonconformities and corrective actions required.

Step 6: Certification Decision

  • The Technical Team reviews:
    • Audit report and supporting evidence.
    • Corrective actions for any nonconformities.
  • Decision options:
    • Approve scope expansion.
    • Reject application (with documented reasons).
    • Request additional audit activities.

Step 7: Issue Revised Certification Document

  • Update the certificate to reflect:
    • Expanded scope description.
    • Effective date of scope extension (not before decision date).
  • Ensure revised documents are distinguishable from prior versions.

Step 8: Records and Communication

  • Maintain records of:
    • Application, audit reports, decision, and updated certificate.
  • Inform the client of the decision and update public information as required.

6. Key Compliance Points

  • The review and decision process must be impartial and involve personnel different from those who conducted the audit.
  • Decisions cannot be outsourced.
  • Conditions for special audits must be communicated to clients in advance.
  • All actions must be documented and traceable.

Please note, procedures for reduction of scope.

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