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How Certification Decisions Are Made

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This article explains how Assurco makes certification decisions, including who is involved, what information is reviewed, and how impartiality and competence are ensured.

1. Overview of the Certification Decision Process

Certification decisions are a formal, independent step in the certification process.
They are made after the audit activities have been completed and all relevant information has been reviewed.

Assurco’s certification decision process covers decisions to:

  • Grant or refuse certification
  • Expand or reduce the scope of certification
  • Renew (recertify) certification
  • Suspend, restore or withdraw certification

These controls are defined within Assurco’s documented certification processes and are designed to ensure fairness, consistency and compliance with international accreditation requirements.

2. Independence and Impartiality of Decisions

Separation from auditing

To protect impartiality:

  • Certification decisions are made by individuals or committees who did not carry out the audit
  • Auditors are not involved in decisions relating to the certification outcome

This separation ensures that certification decisions are based on objective review rather than direct involvement in the audit activities.

Competence of decision‑makers

All individuals involved in certification decisions:

  • Are competent for the decisions they make
  • Have appropriate knowledge of certification requirements and standards
  • Meet Assurco’s documented competence requirements

Records of competence are maintained as part of Assurco’s Certification Management System.

3. Who Makes Certification Decisions

Certification decisions are made by Assurco’s directly employed Technical Manager, supported by a Certification Committee who are:

  • Employed by Assurco, or
  • Working under a legally enforceable arrangement with Assurco, or
  • Part of an organisation under Assurco’s organisational control

Organisational control may include:

  • Whole or majority ownership by Assurco
  • Majority representation on a board of directors
  • Documented authority within a controlled network of legal entities

All such individuals are required to meet the same ISO/IEC 17021‑1 requirements as Assurco personnel.

4. Recording Certification Decisions

Every certification decision is formally recorded.
This includes:

  • The decision outcome
  • Any additional information or clarification requested from the audit team or other sources
  • Confirmation of the basis for the decision

This ensures transparency, traceability and accountability.

5. Review Activities Before a Decision Is Made

Before making any certification decision, Assurco conducts an effective and documented review.

This review confirms that:

  • The audit information is sufficient and appropriate for the scope of certification
  • All certification requirements have been addressed
  • For major nonconformities:
    • Corrections and corrective actions have been reviewed, accepted and verified
  • For minor nonconformities:
    • The client’s plan for correction and corrective action has been reviewed and accepted

No certification decision is made until these conditions are satisfied.

6. Information Used for Granting Initial Certification

For an initial certification decision, the information reviewed includes, as a minimum:

  • The audit report
  • Details of nonconformities and, where applicable, evidence of corrections and corrective actions
  • Confirmation of the information reviewed during the application review
  • Confirmation that the audit objectives have been achieved
  • A clear recommendation from the audit team on whether certification should be granted, including any conditions or observations

Major nonconformities

If corrections and corrective actions for a major nonconformity cannot be verified within six months of the last day of the Stage 2 audit, an additional Stage 2 audit will be required before certification can be recommended.

7. Transfer of Certification from Another Certification Body

When a client wishes to transfer certification from another accredited certification body, Assurco applies a documented transfer process to obtain sufficient information to make a valid certification decision.

This process is based on:

  • IAF MD 2 – Transfer of Accredited Certification

Please note: Specific certification schemes may include additional rules that apply to transfers.

Further guidance is available in our Knowledge Base:
https://www.assurco.com/knowledge-base/transferring-a-certificate-to-assurco/

8. Decisions on Recertification

Decisions to renew certification (recertification) are based on:

  • The results of the recertification audit
  • Performance of the management system over the full certification cycle
  • Any relevant complaints received from users of certification

This ensures that certification is only renewed where there is ongoing confidence in the effectiveness of the management system.

See also: Making a Complaint.