An audit visit does not constitute the formal certification decision. The report must be completed, reviewed independently and submitted to the certification body's decision process. For RP and RC, all non-conformities against applicable requirements must be closed before a positive decision and certificate issue.
Can an auditor announce “certification has been granted” at the closing meeting?
The outcome of the audit visit is not the formal certification decision. Assessment is followed by report finalisation, independent technical review and the certification body's decision. For Recycling Process (RP) and Recycled Plastics Traceability (RC), all non-conformities against applicable requirements must be closed before a positive decision and certificate issue.
1. The audit is the evaluation stage, not the entire certification process
During the audit, evidence of conformity is collected. The assessment may be positive, or non-conformities and areas requiring further information may be identified.
Certification involves more than the audit itself. The end of the visit therefore does not automatically conclude the process.
2. An auditor's recommendation is different from a formal decision
The auditor may present an assessment, findings and a recommendation based on the evidence. The formal decision to grant, maintain, extend, reduce, suspend, withdraw or refuse certification belongs to the authorised function within the certification body, in accordance with the scheme and its procedures.
Separating these roles reduces the risk of one person reviewing and approving their own work.
3. The report must be complete before the decision
The report should clearly establish the scope, evidence, results, non-conformities and their closure. An incomplete file should not lead to a decision based on assumptions.
Missing information may be returned for completion before the process can conclude.
4. RP and RC require closure of all applicable non-conformities
A non-conformity can be resolved during the process, but in RP and RC all non-conformities against applicable requirements must be closed before a positive decision and certificate issue. This includes Level 2 requirements where that scope has been selected; partial Level 2 conformity cannot be reported as achieving that level.
The nature of the non-conformity, the corrections and corrective actions submitted, and the requirements of the particular scheme all matter.
5. Technical review provides another check before the decision
The reviewer checks whether the evidence and report support the outcome. In some RecyClass schemes, a recognised auditor from the body who did not participate in the audit reviews the file and, following a positive review, decides to grant certification.
Functions may be organised differently in other processes, but must still meet the applicable programme and certification body requirements.
6. The decision concerns a specific scope, not the company in general
The certificate covers defined processes, locations, products, materials, modules and conditions. The decision-maker must be satisfied that its scope matches what was actually assessed.
A product cannot be added simply because the client considers it similar if it falls outside the approved scope.
7. The decision-maker must be competent and impartial
Certification must be based on evidence and requirements, not commercial relationships, deadline pressure or the client's size.
The certification body's system should therefore define the competence and independence required for review and decision-making.
8. A positive decision does not end every obligation
After certificate issue, the body remains responsible for managing its status throughout the validity period under the applicable programme. Monitoring, scope changes, complaints, suspension, withdrawal and renewal may all be relevant.
The client must also follow the rules for certification marks and claims.
9. Refusal of certification should have a formal basis
If requirements are not met, a negative decision should follow from evidence and procedure rather than an arbitrary opinion.
The client should have access to the appropriate appeal mechanism under the certification body's procedures.
10. A deadline cannot replace a certification decision
A client may need a certificate for a tender or delivery, but a commercial date cannot change the required sequence or lower the requirements.
Report completion, review, decision and document issue must follow the prescribed procedure.
11. The certificate results from the whole process
Clear communication distinguishes the stages: the audit is complete and findings have been presented, while certification continues until the formal decision and document issue.
This protects both client and certification body from premature claims.
FAQ
Can an auditor ever make certification decisions?
An auditor can hold other roles within a certification body, but the decision-maker in a particular case must be independent of that audit's evaluation activities. The decision and certificate signature remain within the relevant certification body's process; a freelance auditor does not issue the certificate in their own name.
Does a positive closing meeting mean a certificate has been issued?
No. It summarises the audit stage rather than formally issuing certification.
Can a certificate be issued before non-conformities are closed?
For RP and RC, no: all non-conformities against applicable requirements must be closed before a positive decision and certificate issue. An observation is a different type of finding and relates to a requirement that is met.
Who signs the certificate?
This depends on the programme and the certification body's procedure. RecyClass sets out the document-issue roles in its Quality Management & Procedures.
Can a certification decision be appealed?
Yes. Certification bodies should maintain appeal procedures consistent with the applicable requirements.