NABCB plan for verifyingCB’s transition to

certification as per ISO9001-2015

ISO 17021 Requirements 8.6.2 Notice of changes by a CB The CB shall give its certified clients due notice

of any changes to its requirements forcertification. The CB shall verify that eachcertified client complies with the newrequirements.

NOTE: Contractual arrangements with certifiedclients could be necessary to ensureimplementation of these requirements. A model ofa license agreement for the use of certification,including aspects related to a notice of changes, isfound in Annex E of ISO/IEC Guide 28:2004.

IAF ID 9: 2015 issued in 12January 2015 – “TransitionPlanning Guidance for ISO9001:2015”NABCB Guidance for transition

to ISO 9001 referred IAF ID: 9.NABCB plan for verifying CB’s

transition to certification as perISO 9001-2015 issued inDecember 2015.

IAF decisions regarding Transition Transition Period The IAF and CASCO have agreed to a three

year transition period from the publication dateof ISO 9001:2015.

Validity of certifications to ISO 9001:2008 ISO 9001:2008 certifications will not be valid

after three years from publication of ISO9001:2015.

The expiry date of certifications to ISO9001:2008 issued during the transition periodneeds to correspond to the end of the threeyear transition period.

NABCB plan for

verifying CB’s transition tocertification as per ISO 9001-2015

NABCB Plan

CBs required submit details ofchanges made in the wake ofpublication of ISO 9001: 2015,including the transition plandeveloped by 15 January 2016.

NABCB Plan Plan to cover broadly following topics: a. Revision in the CB's competence criteria

for auditors & other staff involvedin certification activity. How competence hasbeen achieved & demonstrated.In case through training, then clear identification ofknowledge imparted and evaluated.

b. The changes made in CB's certificationprocess & documented system for assessingorganizations successful change over to ISO9001: 2015. The changes in CB's auditingand decision making processes.

NABCB Planc. The CB’s arrangements for communicating its

transition plan to its clients. The CB's transition plan (timings) to provide

confidence that it will be able to handle itstransition work load to ensure that all its existingclients switch over within the transition planannounced by IAF (3 years from Sept 2015).

The transition plan to detail how the CB intendsto handle new clients, the cut off date afterwhich it will cease to accept applications againstISO 9001: 2008, & how it plans to handleclients which are audited & granted certificationagainst the older version till the cut off date.

NABCB Plan d. The CB’s arrangements for auditing

conformance to the new standard. For example,will it be a single visit or a staged approach. Incase it is decided to combine the audits for ISO9001:2015 and ISO 14001:2015, therequirements for such audits should bedescribed. Extra time needed will need to bedescribed. Time lines need to be specified, etc.

e. How the CB will ensure clients’ ongoingconformance to ISO 9001:2008 through thetransition process.

NABCB Plan f. Action to be taken in respect of clients that

have failed to complete the transition by the 3-year deadline for transition. For example, thelevel of audit necessary for certification to bereinstated.

NABCB Plan – What will NABCB do

2. NABCB to carry out an offsite deskreview of the documents submitted andgaps, if any observed, to be informed andfollowed up during the onsite assessment.Onsite assessment to be generally

timed with the next assessment due,either a surveillance assessment orrenewal assessment. Additionalmandays (2 for offsite DR + OA) to becharged to the CB.

NABCB Plan Since IAF has declared a 3 year transition

policy from Sept 2015 (date of publication ofISO 9001: 2015), the above arrangement oftiming the transition assessment with thenormal assessment to continue till Mar2018.

Thereafter, CBs who have not followed upon informing the changes and getting thechanges assessed during normal onsiteassessment, would be subject to a specialassessment organized for the transitionassessment.

NABCB Plan

3. NABCB ATs would raiseobservations from Sept 2016 and NCsfrom Sept 2017 which would need to beclosed as per timelines prescribed butin any case, before the deadline.

NABCB Plan 4. Witness assessment: NABCB

will simultaneously carry out witnessassessments as per followingrequirements.One witness assessment for stage 1

audit for an organization havingmanpower less than 25.Second witness of a stage 2 audit

where stage 1 has been done as per2015 version.

NABCB Plan 5. In order to facilitate early issue of

certificates for 2015 ver, NABCB can witnessone stage 2 audit (4. b. above) where stage1 has been performed as per 2015 ver andits report is available. In case, a stage 2initial audit is not available, NABCB canwitness a recertification/surveillance auditsubject to the first stage 1 report as per 2015ver being submitted for its review later. Inthis case, the first stage 1 audit as per item4. a. above would be witnessed later.

NABCB Plan

6. The CB will be allowed to issue ISO9001 certificates as per 2015 versionafter submission of transition plan andchanged documents and successfulwitnessing of an audit as per item 5above. The document review can takeplace separately.

NABCB Plan 7. The witnessed audits will need to be full

system audits, specially planned to cover theorganizations transition to ISO 9001: 2015. Inother words the audits selected for witnessingmust be of a client that has implemented ISO9001: 2015. They will need to be sufficient todemonstrate the certification body’scompetence and process to audit in terms ofthe new standard, covering items such as theapproach to risk management andorganizational context, as well as thenecessary audit planning and reportingactivities.

NABCB Plan

Should the witnessed assessment notbe deemed suitable to demonstrate theabove, then NABCB may require furtherwitnessing to take place; such additionalassessment is likely to incur additionalcost.

NABCB Plan

8. The CB shall spend audit durationequal to recertification audit duration plus0.5 man-day in case of transition duringsurveillance audit and 0.5 additional man-day in case of recertification audit. Thisadditional 0.5 man-day is applicable toeach scheme (ISO 9001 and ISO 14001in case of an integrated audit.

NABCB Plan – What NABCB AT’sshall assess during assessment

Following items will be considered byNABCB AT’s while assessing transition,through offsite documentation review,onsite assessment and witnessassessments as applicable:Adequacy of the transition plan drawn out

by the CB to ensure smooth transition of itsclients to the standard ISO 9001: 2015 andits implementation.

NABCB Plan

Adequacy of changes made by CB in itsdocumentation system (includingprocedures, format, etc) reflecting thechanged requirements, to ensureeffective transition & the implementationof the documented system.

NABCB Plan Expected Changes: Certification process,Manday estimationsWay of conducting DR and Stage 1 Audit reporting – format, etc. Changes in competence requirements,

Evaluation, etc.

NABCB Plan Demonstration of appropriate skills and

knowledge, as identified by the CB,based on the requirements of ISO9001:2015, including evaluation ofachieved competence. Identification ofcompetence criteria (Skills andknowledge) shall include all functions ofthe CB involved in certification activitieswith special emphasis on the following:

NABCB Plan Ability to audit the application of risk

based thinking by the certified client.Understanding of risk analysis techniques(SWOT, FMEA etc.) will be necessarywhere required by the industry.

Ability to verify the identified risks &opportunities, as well as actions tomitigate risks.

Ensuring consistent process basedapproach among its audit teams.

NABCB Plan Ability to analyse whether the

management system reflects the contextof the organization.

Ability to plan audits based on thecontext of the organization, with moreemphasis on stage 1 audit, during initialcertification audits and recertificationaudits (when applicable), which is usedto understand organisational context.

NABCB Plan Alignment of audit program to reflect the

requirements of new standard. Understanding by auditors of internal and

external factors, needs and expectations ofrelated interested parties.

Recognition of organisational boundaries Time interval between stage 1 and stage 2

audits during initial certification audits andrecertification audits (when applicable)

The style of reporting and the informationsubmitted to decision making

NABCB Plan While carrying out witness assessments,

the additional areas to be covered wouldbe: Evidence of process approach used. Instead of focus on documentation, focus

should be on good techniques for interviewingand understanding the method of auditing anorganization without a documented system orwith a limited documented system. Also forestablishing that the documentation of theorganization is adequate from the point of viewof the context of the organization

NABCB Plan

Planning and organising the audit tomeet the requirements of the revisedstandard. Adequacy of sampling.

Risks are identified throughout theprocesses and in the context of theorganization.

Selection of relevant interviewees tocover leadership.

NABCB Plan

Understanding the implications of thenew terminologies in the standard.

Evidence of Interaction between auditteam members which would be vital toeffectiveness of the transition audit bythe CB.