Transfer Process for Changing Certifying Bodies

Jul. 22, 2015   (Updated 6/9/21)

Sometimes an R2 facility will decide to change Certifying Bodies (CBs).  The rules for transferring certification from one CB to another are laid out in the IAF Mandatory Document MD2:2007.  Transfer of certification is defined as the “recognition of an existing and valid management system certification, granted by one accredited certification body, (hereinafter referred to as current CB), by another accredited certification body, (hereinafter referred to as the “accepting CB”) for the purpose of issuing its own certification.”

To ensure the smooth transfer of your R2 Certificate and continued listing on the R2 Certified Directory, it is important that the following steps are followed. 

1. The recycler should inform their current (CB) of the intended transfer as soon as the contract is finalized with the new or “accepting” CB.
2. The new accepting CB will do a transfer review, to ensure that the recycler’s current certificate is in good standing and can be transferred successfully.  In most cases, an offsite audit will be conducted to verify the implementation of corrective actions, scope etc.  An onsite audit is done when more significant issues need to be investigated such as changes in company ownership, incomplete closure of non-conformances, or changes in scope etc.
3. The accepting CB will review the following: 
   • Scope of certified activities
   • Reasons for transfer
   • Certification/recertification audit reports, subsequent surveillance reports and any outstanding non-conformities that may arise from them
   • Any other available, relevant documentation regarding the certification process i.e. handwritten notes, checklists
   • Any complaints and/or actions taken
   • Any outstanding legal compliance issues with regulatory bodies. 
4. The accepting CB shall process the transfer in accordance with IAF MD2 in addition to the following:
   • Document the reason(s) for the transfer and its legitimacy.
   • Verify and close any open minor/major NCs.   Review and address any complaints.
   • The CB cannot accept the transfer if the R2 Facility is suspended by the current issuing CB.
   • Determine whether an onsite or remote audit is required to complete the transfer.
   • Notify SERI within five days from the R2 Facility’s request to transfer.
5. A facility CANNOT transfer to a new CB if it is currently suspended or if there are any open nonconformities or complaints.
6. If the transfer review is completed SUCCESSFULLY, with no outstanding issues, the new accepting CB will issue an R2 Certificate.  The expiration date of the certificate will be identical to the one on the original certificate issued by the previous CB (unless the new CB has conducted a full recertification audit.)
7. The new CB will forward a copy of the certificate to SERI.
8. SERI will update its database and website on the basis of the new certificate.
9. The recycler’s ongoing surveillance schedule will continue based on their previous certification schedule – unless the new CB has conducted a full certification audit (also referred to as a registration audit).