Certification Rules

These rules govern the lifecycle of a CAS certificate from initial grant through to renewal, change or removal. They apply to every certified client and form part of the conditions of certification you accept when you certify with CAS. They reflect ISO/IEC 17021-1 and the rules of the applicable certification scheme and accreditation body.

Initial certification follows a defined sequence:

• Application & review. You submit a request; CAS reviews it to confirm the scope, the applicable scheme, and that CAS has the competence and capability to certify. We then issue a costed scheme of work.
• Stage 1 audit. Evaluates your readiness — documented system, scope, statutory and regulatory aspects, internal audits and management review — and confirms readiness for Stage 2.
• Stage 2 audit. Evaluates the implementation and effectiveness of your management system on site.
• Review & decision. A competent person or panel who did not carry out the audit reviews the audit information and makes the certification decision.
• Certificate issued. On a positive decision, CAS issues the certificate (and, where applicable, the EOS letter and certification mark), valid for a three-year cycle.

Certification is not granted until any major non-conformity identified at Stage 2 has been corrected and the correction verified.

Certification is maintained on the basis of demonstrated continued conformity. CAS conducts surveillance audits at least once each calendar year (the first within 12 months of the Stage 2 decision), to confirm your system remains effective and continues to meet the standard. Surveillance covers, among other things, internal audits and management review, actions on prior non-conformities, complaints handling, effectiveness toward objectives, and correct use of marks and references to certification.

Maintaining certification depends on you continuing to satisfy the conditions of certification throughout the cycle.

Before your certificate expires, CAS conducts a recertification audit to confirm the continued conformity and effectiveness of your management system as a whole, and its continued relevance and applicability to your scope. Recertification activity is planned and conducted in time to allow the certificate to be renewed before its expiry date. Where recertification is completed after expiry, certification can be restored only within the rules of the scheme, and the certificate’s effective dates are set accordingly.

• Extension of scope. To add a standard, site, or activity, CAS reviews the request and carries out the audit activity needed to decide whether the extension can be granted. An extension may be combined with a surveillance audit.
• Reduction of scope. CAS reduces the scope of certification to exclude the parts that no longer meet the requirements — for example where a client persistently or seriously fails to meet certification requirements for those parts.

CAS may suspend certification, for example when the certified client:

• has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system;
• does not allow surveillance or recertification audits to be conducted at the required frequency; or
• has voluntarily requested a suspension.

During suspension, the management-system certification is temporarily invalid. CAS makes the suspended status publicly accessible, and the client must not continue to promote its certification. We confirm to the client the conditions under which suspension will be lifted; failure to resolve the issues in the time CAS sets results in withdrawal or reduction of scope.

CAS withdraws certification where suspended issues are not resolved within the time set, or where the client’s certification can no longer be supported (for example loss of scope coverage, or termination of the agreement). On withdrawal, the client must cease all use of the certificate, certification mark and any reference to the certification, and return certificates if requested. The withdrawn status is reflected in our public records.

Where a client holds a valid accredited certificate from another certification body and wishes to transfer to CAS, CAS conducts a transfer review in line with the applicable accreditation rules (IAF mandatory documents) before accepting the certification. The review considers the reason for transfer, the validity and scope of the existing certification, and any outstanding non-conformities or complaints, so that the certification cycle continues appropriately. Choose “Transferring from another certification body” when you request certification.

Every certification decision — grant, maintenance, renewal, change, suspension or withdrawal — is made by competent personnel and recorded. If a decision affects you and you disagree with it, you may appeal; the appeal is reviewed by people not involved in the original decision.