ISO9001:2015 ISO14001:2015 TRANSITION AUDIT 1 SCOPE MAIN REFERENCES TO OTHER DOCUMENTS TRANSITION PERIOD...2

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1 Page 1/5 CONTENTS 1 SCOPE MAIN REFERENCES TO OTHER DOCUMENTS TRANSITION PERIOD PRE-TRANSITION DOCUMENTAL REVIEW (OPTIONAL) PLANNING EXECUTION RESULT POST-AUDIT ACTIVITIES...5

2 Page 2/5 1 SCOPE This instruction describes the modalities to plan and carry out transition audits of ISO9001 and/or ISO14001 certified Organizations, following the audit team assignment phase up to transition audit completion. For what is not expressly specified in this document, instruction IS-CRT-SYS-03 applies. The sentences enclosed in a blue frame refer to specific integrations relating to the ISO9001 scheme The sentences enclosed in a green frame refer to specific integrations relating to the ISO14001 scheme 2 MAIN REFERENCES TO OTHER DOCUMENTS - ISO9001: ISO14001: IAF ID9 - IAF ID10 - ANAB AR 20 - ANAB AR 21 - ANAB HEADS-UP ACCREDIA- Circular no. 13/2015 of 9/7/2015 about transition (document code: DC2015SPM110) 3 TRANSITION PERIOD To allow for the gradual transition to 2015 editions of the ISO9001 and ISO14001 standards, IAF established a 3- year period starting from the publication date of the standard: ISO9001:2015 Publication date: 15/09/2015 ISO14001:2015 Publication date: 15/09/2015 All certificates issued in accordance with the old editions will no longer be valid after 3 years from publication of the new standard. The expiry date of certifications issued in accordance with the old editions of the standards during the transition period will be the date of the end of the transition period: ISO9001:20008 Latest expiry date of certificates: 15/09/2018 ISO14001:2004 Latest expiry date of certificates: 15/09/2018 Within the end of the transition period, if the transition activity has no positive outcome, the Organization can maintain its certification in accordance with the old edition of the standard (obviously if compliant).

3 Page 3/5 During the transition period certified Organizations can choose to perform transition to the new standard: 1. during a surveillance audit 2. during a recertification audit 3. between two scheduled audits It is not possible to issue any certificates in conformity with the new editions of the standard with accreditation, before accreditation to the new editions of the standard is obtained. 4 PRE-TRANSITION DOCUMENTAL REVIEW (OPTIONAL) PR informs TL (or a member of the audit team) of the need to perform an off-site transition documental review, only if defined during the application review phase. In this case the audit team: - performs an off-site evaluation of document SELF ASSESSMENT QUESTIONNAIRE FOR TRANSITION and relevant annexes. - write the result on a specific form associated with ASCESI step TRANSITION REVIEW Any findings/clarifications relating to the contents of document SELF ASSESSMENT QUESTIONNAIRE FOR TRANSITION and relating annexes, unless solved/clarified before the completion of the transition audit, must be written, after a suitable classification, on the audit report and associated with the relevant paragraphs of the standard. 5 PLANNING TL is responsible for drawing up a transition audit plan based on the data entered in the SELF ASSESSMENT QUESTIONNAIRE FOR TRANSITION. The audit plan must contain at least: ISO9001:2015 The processes already foreseen by the PVP ISO14001:2015 The processes and environmental aspects already foreseen by the PVP The following processes/principles correlated with the new elements of the standard: - Comprehension, definition and confirmation of the organization s context - Planning of the Management System and actions to face risks and opportunities - Leadership, policy and organizational structure - Organization s management system 6 EXECUTION As a general rule, a transition audit must be carried out and the relevant audit report must be filled in observing the same modalities foreseen for the other types of processes. The last page of the audit report contains a specific field relating to the management system judgement in conformity with the old edition of the standard ; this field must be filled in only in the transition process has a negative result according to p. 7 below.

4 Page 4/5 If the documental review has been performed off-site, the audit team must verify any findings/clarifications relating to the contents of the SELF ASSESSMENT QUESTIONNAIRE FOR TRANSITION and relevant annexes; if they are not solved/clarified before the end of the transition audit, they must be written, after being appropriately classified, on the audit report and associated with the relevant paragraphs of the standard. The transition audit must be carried out using the following checklists: ISO9001: FORM-SYS03-QUA-05 ISO14001:2015 FORM-SYS03-EMS-01 In these checklists the change elements introduced by the new editions of the standards are highlighted in grey; for these fields it is MANDATORY to record the associated evidences in the field corresponding to the paragraph of the reference standard. Any observations relating to the other requirements of the standard can be written in the checklist in the field corresponding to the paragraph of the reference standard or in the annexed observation sheets. 7 RESULT The following situations can be present after completion of the transition audit: - Positive result of transition audit - Negative result of transition audit - Transition audit stop Positive result of transition audit (only minor NCs and/or recommendations) The result of the transition audit is positive in the presence of minor non conformities and/or recommendations. In this case the audit team can propose the Organization for transition and does not need to fill in the section of the audit report relating to the previous version of the standard. Negative result of transition audit (presence of major NCs) The result of the transition audit is negative in the presence of at least a major non conformity. If the transition audit has a negative result, the audit team can perform a supplementary audit within 3 months in order to verify the closure of the major NCs raised. In this case the audit team, by filling in a specific field of the audit report, must also provide an evidence that it successfully checked conformity of the management system with the requirements of the previous edition of the standard, in order to ensure, in case the supplementary audit has a negative result, the validity of the management system certificate in accordance with the old edition of the standard. Following the positive result of the supplementary audit, the audit team can propose the Organization for transition. Following the negative result of the supplementary audit, the audit team will proceed in accordance with the requirements of the instructions of IS-CRT-SYS- series, in order to maintain validity of the management system certificate in compliance with the old edition of the standard. Transition audit stop

5 Page 5/5 A TL can stop the transition audit if the found deficiencies are so serious to prevent all the change elements from being assessed. In this case TL must contact PR to decide whether to proceed with the audit of the MS in conformity with the old edition of the standard, according to the requirements of the instructions of IS-CRT-SYS series or to postpone the audit to another future date. 8 POST-AUDIT ACTIVITIES The audit team must make the following documents available to PR: SELF-ASSESSMENT QUESTIONNAIRE FOR TRANSITION TRANSITION REVIEW (if any) AUDIT PLAN AUDIT REPORT signed by the Client Any supplementary AUDIT REPORT (in the presence of major NCs) Mandatory AUDIT CHECKLIST and any additional observation sheets