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Maintaining Your Certification

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Once certification has been granted, Assurco maintains confidence in your certification through ongoing monitoring, surveillance audits and periodic recertification. This article explains what that means for you and how certification status is maintained over time.

1. How Certification Is Maintained

Assurco maintains certification based on continued evidence that your organisation meets the requirements of the applicable management system standard.

In most cases, certification can be maintained based on a positive conclusion from the audit team leader, without a further independent certification decision, provided that:

  • Any major nonconformity or situation that could lead to suspension or withdrawal is escalated for independent review by competent personnel who were not involved in the audit
  • Competent personnel monitor surveillance activities and audit reporting to ensure certification activities continue to operate effectively

This approach ensures ongoing confidence while maintaining strong controls where risks arise.

2. Surveillance Activities

Purpose of surveillance

Surveillance activities are designed to:

  • Monitor representative areas and functions within the certified scope
  • Confirm that your management system continues to meet requirements between recertification audits
  • Take account of changes to your organisation or management system

What surveillance includes

Surveillance activities always include on‑site auditing of the certified management system. They may also include:

  • Enquiries from Assurco regarding certification matters
  • Review of public statements about certification (e.g. websites or marketing materials)
  • Requests for documented information
  • Other methods of monitoring management system performance

This flexible approach allows us to maintain confidence in certification while remaining proportionate.

3. Surveillance Audits

Surveillance audits are on‑site audits, but they are not necessarily full system audits. They are planned as part of the wider surveillance programme to ensure continued conformity.

Each surveillance audit includes, as applicable:

  • Internal audits and management review
  • Review of actions taken on previous nonconformities
  • Complaints handling
  • Effectiveness of the management system in achieving objectives
  • Progress on continual improvement activities
  • Ongoing operational control
  • Review of changes affecting the management system
  • Correct use of certification marks and references to certification

Surveillance audit results are documented in an audit report.

4. Recertification

Purpose of recertification

The purpose of the recertification audit is to confirm that your management system:

  • Continues to conform to all applicable requirements
  • Remains effective and relevant
  • Is still appropriate for the certified scope

Recertification audits are planned and conducted in sufficient time before certificate expiry to allow for renewal.

Planning the recertification audit

Recertification planning includes:

  • Review of previous surveillance audit reports
  • Consideration of management system performance over the full certification cycle

Where there have been significant changes (e.g. to the organisation, management system or legal context), additional audit activities — including a Stage 1 audit — may be required. In some cases, a special audit may also be necessary.

Conducting the recertification audit

The recertification audit includes an on‑site audit that assesses:

  • The effectiveness of the management system as a whole
  • Leadership commitment to maintaining and improving the system
  • Continued achievement of objectives and intended results

For any major nonconformity, time limits for correction and corrective action are defined and must be met before certification expiry.

Certification expiry and renewal

  • If recertification is completed successfully before expiry, the new certificate expiry date is based on the existing cycle
  • If recertification cannot be completed, or major nonconformities cannot be verified before expiry, certification cannot be renewed and will not be extended
  • Following expiry, certification may be restored within six months, subject to completion of outstanding recertification activities; otherwise, at least a Stage 2 audit is required

Further guidance is available in our Knowledge Base:
https://www.assurco.com/knowledge-base/restoring-an-expired-certificate/

5. Special Audits

Expanding the scope of certification

If you apply to expand the scope of an existing certification, Assurco will:

  • Review the application
  • Determine whether additional audit activities are required
  • Decide whether the scope extension can be granted

Where appropriate, this may be conducted alongside a surveillance audit.

Further guidance is available here:
https://www.assurco.com/knowledge-base/expanding-the-scope-of-certification/

Short‑notice audits

In some situations, Assurco may conduct short‑notice or unannounced audits, for example to:

  • Investigate complaints
  • Respond to significant changes
  • Follow up on suspended certifications

In these cases:

  • The conditions for such audits are made known to clients in advance
  • Additional care is taken when assigning the audit team, due to limited opportunity for client objection

6. Suspension, Withdrawal or Reduction of Scope

When certification may be suspended

Certification may be suspended if, for example:

  • The management system persistently or seriously fails to meet requirements
  • Surveillance or recertification audits are not permitted at the required frequency
  • The client requests a voluntary suspension

While suspended, certification is temporarily invalid.

Restoration, withdrawal and scope reduction

  • Certification may be restored once the issues leading to suspension are resolved
  • Failure to resolve issues within the specified timeframe (normally no more than six months) will result in withdrawal or reduction of scope
  • Scope reduction may be applied where only part of the certified scope fails to meet requirements

All actions are carried out in line with Assurco’s documented policies and applicable certification standards.

More information:  https://www.assurco.com/knowledge-base/certificate-suspension-withdrawal-or-reduction-in-scope/