The binding rules under which EdelCert International grants, maintains, renews, extends, reduces, suspends and withdraws certification. Published as issued.
| Field | Value |
|---|---|
| Document code | REG-CER-RULES-01 |
| Title | Certification Rules |
| Version | 1.0 |
| Issued by | Quality Manager, EdelCert International (Pty) Ltd |
| Legal entity | EdelCert International (Pty) Ltd, registration 2026/554829/07 |
| Approved by | Managing Director, EdelCert International (Pty) Ltd |
| Effective date | On approval |
| Review cycle | Annual, or on change to the standards, accreditation requirements or CB procedures referenced |
| Status | Draft, pending approval |
Status of this document. These Rules are a public document. They are published on the CB's website, provided to every applicant with the quotation, and incorporated by reference into the Certification Agreement (MOD-CTR-01 §2.1). Where these Rules and the Certification Agreement conflict, the Certification Agreement prevails between the CB and that client; these Rules prevail over any other CB statement of general application.
Accreditation status. At the date of issue EdelCert International (Pty) Ltd is an applicant for accreditation by the International Accreditation Service (IAS) and holds no accreditation. Rules that depend on accreditation are marked and take effect on the date accreditation is granted. Until then the CB does not describe itself, its audits or its certificates as accredited (POL-MAR-01 §5.5).
1.1 These Rules set out the conditions under which EdelCert International (Pty) Ltd ("the CB") grants, maintains, renews, extends, reduces, suspends and withdraws certification of management systems, and the obligations of organisations that hold or apply for that certification ("clients").
1.2 They give effect to the public-information requirement of ISO/IEC 17021-1:2015 §8.1, which requires the CB to make publicly accessible, without request, information about the certification process and about granting, maintaining, extending, renewing, reducing, suspending and withdrawing certification.
1.3 They apply to every applicant and every certified client, from the date of application until the later of the expiry of certification and the end of the retention period at §12.
1.4 They apply irrespective of whether the audit is performed by CB personnel or by a subcontracted body under §5.
2.1 The CB certifies management systems against the standards listed in its published scope. Certification is a statement that the organisation's management system conforms to the standard within the scope stated on the certificate, at the time of audit and on the basis of sampled evidence.
2.2 Certification is not:
2.3 Audits are based on sampling. The absence of a recorded nonconformity does not mean that none exists.
2.4 The CB does not provide, and will not provide, management system consultancy, internal auditing services or advice on how to design or implement a management system, to any client or applicant. The CB does not certify an organisation to which it, or a body that controls it or that it controls, has provided such consultancy within the preceding two years (ISO/IEC 17021-1 §5.2.5, §5.2.7). This applies equally to any body performing audits on the CB's behalf.
3.1 An application is made on FOR-DEM-01 and must give the information required by ISO/IEC 17021-1 §9.1.1, including the standards sought, the legal identity and addresses of the organisation, the activities and sites to be covered, the number of personnel at each site, any outsourced process bearing on conformity, and any consultancy received in the preceding two years.
3.2 The CB reviews the application under PRO-DEM-01 and confirms that it has the competence and capacity to perform the certification, that the scope is one it is authorised to certify, and that no impartiality threat prevents it from proceeding. The CB may decline an application; it gives the reason in writing.
3.3 Audit time is determined under PRO-AUD-01 in accordance with IAF MD 5 and, for integrated audits, IAF MD 11. Audit time is a function of effective personnel numbers, scope complexity and risk. Audit time is not negotiable and is not adjusted to meet a price. Reductions from the MD 5 base time may not exceed 30 per cent in total and require recorded justification.
3.4 The client must sign the Certification Agreement (MOD-CTR-01) before the first audit is performed.
4.1 Initial certification is a two-stage audit under ISO/IEC 17021-1 §9.3.
Stage 1 establishes whether the client is ready for Stage 2: it reviews documented information, evaluates the site and site-specific conditions, reviews status and understanding of the standard's requirements, collects information on scope, processes, statutory and regulatory aspects, allocates resources for Stage 2 and agrees its planning. Stage 1 is normally performed at the client's premises.
Stage 2 evaluates the implementation and effectiveness of the management system, including conformity with all requirements of the standard. Stage 2 is performed at the client's premises.
4.2 Where the interval between Stage 1 and Stage 2 exceeds six months, Stage 1 is repeated.
4.3 Certification, once granted, is valid for three years from the date of the certification decision, subject to §4.4 and §4.5.
4.4 Surveillance. The CB performs surveillance audits at least once every calendar year, except in a recertification year. The first surveillance audit following initial certification is performed within 12 months of the certification decision date (§9.1.3.3). Missing that date is grounds for suspension under §9.
4.5 Recertification. A recertification audit is performed before the certificate expires, and is planned so that the certification decision can be taken before the expiry date. Recertification reviews the performance of the management system over the whole cycle, including records of internal audits, management reviews, complaints, corrective actions and the effectiveness of the system in meeting the client's objectives.
4.6 If the certification decision is not taken before the expiry date, the certificate expires. The CB may restore certification within six months of expiry without a full initial certification, provided the outstanding recertification activities are completed; beyond six months a Stage 2 audit is required. The original certification date is not carried forward onto a certificate issued after a lapse of more than six months.
4.7 Surveillance and recertification audit time are derived from the initial certification audit time (Stage 1 plus Stage 2) under IAF MD 5, being approximately one third for surveillance and approximately two thirds for recertification.
5.1 The CB may have audits performed on its behalf by a subcontracted certification body or by individual contracted auditors, under a written agreement that meets ISO/IEC 17021-1 §7.5 and IAF MD 23.
5.2 The client is told, before the Certification Agreement is signed, that delivery may be subcontracted, and is told the identity of the body or auditors proposed for its audit. The client may object to a proposed auditor or audit team member, with reasons, under §6.4.
5.3 Whoever performs the audit:
5.4 The CB remains responsible to the client for all subcontracted work.
6.1 The CB gives the client an audit plan (MOD-AUD-01) in advance, identifying the objectives, scope, criteria, dates, sites, team members and their roles, and the timetable. The client may comment on the plan.
6.2 The client shall provide access to sites, documents, records, personnel, areas and equipment within the scope, and to any location where activities within the scope are performed, including where performed by an outsourced provider.
6.3 The client shall make arrangements for the presence of observers where the CB is required to accept them, including assessors of the accreditation body conducting a witness audit under IAF MD 17, and technical experts or auditors-in-training accompanying the team. The CB gives advance notice and the reason. The client may refuse an observer only on grounds the CB accepts as reasonable, such as a specific safety or confidentiality constraint that cannot be managed.
6.4 The client may object to the appointment of a particular auditor or technical expert. The objection must be made in writing before the audit, with reasons. Where the CB accepts the objection it appoints an alternative; where it does not, it explains why in writing and the client may treat the matter as a complaint under §11.
6.5 Where remote auditing techniques are used, they are used in accordance with IAF MD 4 and the extent and justification are recorded in the audit plan and report. Remote techniques do not replace the on-site audit where physical verification is required.
6.6 The audit team holds an opening meeting and a closing meeting. At the closing meeting the client is presented with the findings and given the opportunity to ask questions, including about findings it disagrees with.
7.1 Findings are classified as:
| Class | Meaning |
|---|---|
| Major nonconformity | A nonconformity that affects the capability of the management system to achieve the intended results; a total absence of, or total breakdown in, a required part of the system; a number of minor nonconformities against one requirement that together show a systemic failure; or a situation raising significant doubt that the client's output conforms to requirements |
| Minor nonconformity | A nonconformity that does not affect the capability of the management system to achieve the intended results |
| Opportunity for improvement | A finding that is not a nonconformity but that the audit team considers worth recording: something the organisation does that could be done better, an isolated lapse, an early indication of a weakness, or a situation that could become a nonconformity if not attended to. Cited to a clause where a clause applies. No corrective action plan is required and none is verified; the CB reviews the matter at the following audit. Identifying what could be better is never a prescription of how to do it: the CB does not provide consultancy (§2.4) |
7.2 The client shall analyse the cause of each nonconformity and describe the correction and corrective action taken or planned, within the period stated in the audit report.
7.3 Major nonconformities must be closed, with the corrective action verified as effective, before certification is granted or continued. The CB verifies by a further audit, by review of documented evidence, or by a combination, depending on the nature of the finding.
The CB's own working deadline for the client to close a major nonconformity is 90 days from the last day of the audit. This is stricter than the standard and gives the CB room to verify closure before the absolute limit is reached.
The absolute limit is set by ISO/IEC 17021-1:2015 §9.5.3.2. Where the CB cannot verify implementation of the correction and corrective action for a major nonconformity within six months of the last day of Stage 2, the CB shall conduct another Stage 2 audit before recommending certification.
7.4 Minor nonconformities must have a corrective action plan accepted by the CB before certification is granted or continued, and are verified at the following audit at the latest.
7.5 Verification of closure is performed by the CB, not by the client and not by the body that performed the audit acting on its own account. Where the audit was subcontracted, closure is reviewed and accepted by the CB.
8.1 The certification decision is taken by one or more persons authorised by the CB who did not participate in the audit (ISO/IEC 17021-1 §9.5.1). The audit team recommends; it does not decide.
8.2 Before the decision, the audit file undergoes a technical review by a person competent in the standard and sector who was not a member of the audit team.
8.3 The decision is based on the audit report, the findings and their closure, any other relevant information, and the review of the client's comments. It is recorded with the reasons.
8.4 A client whose certification is refused is told in writing, with the reasons, and of its right of appeal under §11.
9.1 The CB suspends certification where, among other things:
9.2 Suspension is normally for a period not exceeding six months. During suspension the certification is invalid: the client shall stop all use of the certificate, the certification symbol and any reference to certification, and shall inform any party to whom it has represented itself as certified, if the CB requires it.
9.3 The CB withdraws certification where the cause of suspension is not resolved within the period set, or where the client ceases to operate, becomes insolvent in a way that ends the certified activity, requests withdrawal, or commits a breach that in the CB's judgement cannot be remedied.
9.4 The CB reduces the scope of certification to exclude any part that persistently or seriously fails to meet certification requirements.
9.5 Suspension, withdrawal and reduction of scope are decided under PRO-DEC-03 by a person authorised for the purpose, and the client is notified in writing with the reasons and with notice of the right of appeal.
9.6 On withdrawal or expiry the client shall stop all use of the certificate and the certification symbol, and shall return or destroy physical certificates within 30 days. Ownership of the certificate remains with the CB at all times.
9.7 The CB makes publicly accessible, on request, the suspended, withdrawn or reduced status of a certification, and maintains its public directory (§13) accordingly.
10.1 The client shall notify the CB without undue delay, and in any event within 30 days, of any change that may affect its capability to continue to fulfil certification requirements, including:
10.2 The CB determines whether the change requires additional audit activity, a scope amendment, a new certificate, or none of these, and tells the client.
10.3 Failure to notify a material change is a ground for suspension under §9.1.
11.1 A complaint is an expression of dissatisfaction with the CB, its personnel, a body auditing on its behalf, or a certified client, other than an appeal.
11.2 An appeal is a request to reconsider a decision the CB has taken about certification status, including refusal, suspension, withdrawal, scope reduction and the classification of a finding.
11.3 Complaints and appeals are received at the address published on the CB's website and are handled under PRO-PLA-01. The route does not require the complainant to be a client, and complaints may be made about a body performing audits on the CB's behalf and about the Managing Director.
11.4 Submitting an appeal costs nothing and does not result in any discriminatory action against the appellant.
11.5 The persons who handle a complaint or appeal shall not have been involved in the subject matter. The decision on an appeal is taken by, or reviewed and approved by, persons not previously involved.
11.6 The CB acknowledges receipt, gives the complainant or appellant progress reports and a formal notice of outcome, and records the decision. Target timeframes are published with the complaints route.
11.7 The CB decides, with the client, whether and to what extent the subject of a complaint and its resolution are made public.
11.8 An appeal must reach the CB within 30 calendar days of the date of the decision letter (PRO-PLA-01 §5.7). The CB acknowledges receipt within 5 working days and investigates within 30 working days of receipt. Complex cases may take up to 90 calendar days, with a written status update at least every 20 working days to the submitter.
12.1 All information obtained about a client is confidential, other than information the client makes public and information these Rules or the Certification Agreement state will be published. Confidentiality binds the CB, its personnel, its committee members, and every body and individual auditing on its behalf, under signed undertaking (MOD-CON-01).
12.2 Where the CB is required by law, or by its accreditation body, to release confidential information, it tells the client what has been released unless prohibited by law.
12.3 Where the CB intends to make information about a client available to a third party, it tells the client in advance.
12.4 Personal data is processed under POL-DAT-01, which applies POPIA (South Africa) as the primary regime, together with the GDPR for data subjects in the European Union and the Swiss FADP where processing occurs in Switzerland.
12.5 The CB retains certification records for ten years under POL-ENR-01, and for longer where a legal hold applies.
13.1 The CB publishes, and keeps current, without charge:
13.2 The CB maintains a directory of certified clients, publicly accessible and kept current. ISO/IEC 17021-1 §8.1.2 requires certification status to be given on request; the CB publishes the directory without request as its own commitment, as NOTE 2 to that clause contemplates. The directory gives for each valid certification the name of the client, the standard, the scope and the geographical location of the certified sites. A suspended certification remains listed and is marked Suspended, with the date of suspension. A withdrawn or expired certification is removed from the list of valid certifications, and its former status is confirmed on request.
13.3 On request from any party, the CB confirms whether a stated certification is valid.
14.1 A certified client may refer to its certification, and may use the EdelCert International certification symbol, only in accordance with POL-MAR-01 and the Certification Agreement.
14.2 A client shall not:
14.3 The CB reviews the client's use of marks and references at every surveillance and recertification audit. Misuse is raised as a nonconformity and, if not corrected, is a ground for suspension or withdrawal under §9, and for legal action and publication of the correction.
15.1 Before the Certification Agreement is signed, the client receives a single written quotation covering the whole certification cycle. The quotation states, for each element of the price, whether it is charged and invoiced by the CB directly or by the body performing the audit (§5) for that body's own audit-delivery services. Where delivery is subcontracted under ANX-EXT-01, the audit-delivery element of the price is a matter between the client and the performing body, and the quotation says so.
15.2 Audit time is determined by the CB under §3.3 and IAF MD 5, whoever invoices for it. Audit time is not negotiable and is not adjusted to meet a price, regardless of the delivery channel.
15.3 The CB charges its own certification fee, covering application review, audit time determination, mandate issue, technical review, the certification decision, certificate issue and directory maintenance, per its published fee schedule. Where an audit is subcontracted under ANX-EXT-01, the CB collects this fee from the performing body rather than from the client; this does not change the amount or basis of the fee.
15.4 No fee of the CB, and no part of any person's remuneration for audit or decision work, is contingent on the outcome of an audit or a certification decision. Where the CB's certification fee is collected via a performing body under §15.3, the certification process component of that fee (application review, audit time determination, mandate issue, technical review and the certification decision) is payable on the certification decision whatever its outcome, including refusal or deferral. Only the certificate issue component is contingent on a decision to issue.
15.5 Non-payment is a ground for suspension under §9.1. It is not, in itself, a ground for a favourable or unfavourable certification decision.
16.1 The CB maintains professional indemnity and public liability insurance appropriate to the risk of its activities and the extent of its liabilities, and provides evidence on request.
16.2 The limits of the CB's liability to a client are those stated in the Certification Agreement.
16.3 The client remains solely responsible for conformity of its management system, for compliance with law, and for the products and services it supplies.
17.1 The CB may amend these Rules. Certified clients are given notice of any amendment that affects them, and a reasonable period to adjust, before it takes effect.
17.2 A client that does not accept an amendment may terminate its Certification Agreement, in which case certification ends on the date of termination and §9.6 applies.
17.3 The version of these Rules current at the date of an audit governs that audit.
| Code | Title |
|---|---|
| MAN-EDC-001 | Management Manual |
| MOD-CTR-01 | Certification Agreement |
| POL-IMP-01 | Impartiality Policy |
| POL-MAR-01 | Mark Use Policy |
| POL-DAT-01 | Data Protection Policy |
| POL-ENR-01 | Records Retention Policy |
| PRO-DEM-01 | Application and Contract Review |
| PRO-AUD-01 | Audit Time Calculation |
| PRO-AUD-03 | Conduct of Audits |
| PRO-DEC-01 | Certification Decision |
| PRO-DEC-02 | Transfer of Certification |
| PRO-DEC-03 | Suspension, Withdrawal and Scope Reduction |
| PRO-PLA-01 | Complaints and Appeals |
| PRO-COM-01 | Communication and Publication |
| FOR-DEM-01 | Certification Application Form |
| When | What happens | Who does it | What you receive |
|---|---|---|---|
| Before we start | Application and application review, audit time determined, contract issued | Application Reviewer | A quotation and the Certification Agreement |
| Stage 1 | Readiness audit: documentation, scope, site conditions, planning for Stage 2 | Audit team | A Stage 1 report with any areas of concern |
| Stage 2 | Implementation and effectiveness audit, on site | Audit team | An audit report with any nonconformities |
| Corrective action | You correct nonconformities within the deadlines at §7 | You, verified by the CB | Written confirmation of closure |
| Decision | Technical review, then the certification decision | Technical Reviewer, then Decision-Maker (neither audited you) | The decision letter, and the certificate if granted |
| Year 1 | First surveillance audit, within 12 months of the decision date | Audit team | A surveillance report |
| Year 2 | Second surveillance audit | Audit team | A surveillance report |
| Year 3 | Recertification audit, completed before the certificate expires | Audit team, then Decision-Maker | A new certificate for a further three years |
The certificate is valid for three years from the date of the certification decision, subject to §4.4 and §4.5, and remains valid only while surveillance is maintained and the Rules are met.
Send this to the CB without delay when any change at §10 occurs. Email to the address at §11, or submit through the client dashboard.
| Field | Entry |
|---|---|
| Certified organisation | {____} |
| Certificate number | {____} |
| Standard(s) affected | {____} |
| Date the change took effect, or will take effect | {____} |
| Type of change | ☐ Legal, commercial or ownership status ☐ Organisation or management ☐ Contact address or sites ☐ Scope of operations ☐ Management system or processes ☐ Legal proceedings or regulatory action ☐ Other |
| Description of the change | {____} |
| Sites added, removed or changed | {____} |
| Effect on the certified scope, in the client's view | {____} |
| Name and position of person notifying | {____} |
| Date | {____} |
For CB use. Received on {} by {}. Assessed under §10 by {____}. Outcome: ☐ No effect on certification ☐ Special audit required ☐ Scope amendment required ☐ Suspension considered under §9. Recorded in the client file and, where the certificate changes, in REG-CLI-01.
| Role | Name | Signature | Date |
|---|---|---|---|
| Issued by: Quality Manager | |||
| Approved by: Managing Director |
| Version | Date | Author | Change |
|---|---|---|---|
| 1.0 | On approval | Quality Manager | Initial issue |