Presentation on theme: "2/9/2014 Presentation on the new standard ISO/IEC 17024: 2012 Conformity assessment – General requirements for bodies operating certification of persons."— Presentation transcript:
2/9/2014 Presentation on the new standard ISO/IEC 17024: 2012 Conformity assessment – General requirements for bodies operating certification of persons Slide 1
Introduction This presentation has been developed by the Convenor of ISO CASCO WG 30. The aim is to support all interested parties concerned by the implementation of this new standard, ISO/IEC Conformity assessment – General requirements for bodies operating certification of persons. This is an open presentation without any copyrights and can be used by anyone. ISO CASCO SecretaryISO CASCO Convenor WG 30 Sean MacCurtainDr. Cynthia D. Woodley 2/9/2014 Slide 2
Purpose of ISO/IEC Standard for Certification of Persons Official Title – General requirements for bodies operating certification of persons Introduction –... Has been developed with the objective of achieving and promoting a globally accepted benchmark for organizations operating certification of persons Introduction –...This international standard can serve as the basis for the recognition of the certification bodies for persons and the certification schemes under which persons are certified, in order to facilitate their acceptance at the national and international levels. 2/9/2014 Slide 3
WG30 – Revision of ISO/IEC ISO/IEC originally published in Due for systematic review in 2008 (usually every 5 years). ISO member bodies voted down ISO/IEC for systematic review. ANSI introduced a New Work Item proposal to completely revise ISO/IEC October 2008 member bodies voted in favour of the New Work Item proposal to revise ISO/IEC Based on New Work Item, a working group (WG30) was formed to revise ISO/IEC Slide 4 2/9/2014
Timeline of Revision ISO/IEC /9/2014 ActivityDate(s)OutputParticipantsResults ballot 1st WG30 meeting- terms of reference, scope and structure 9-10 February nd WG30 meeting22-24 July 2009WD117 3rd meeting (DG meeting) September 2009WD25 4th WG30 meeting22-24 February 2010WD222 5th WG30 meeting22-24 June 2010CD116 6th WG30 meeting18-20 January 2011DIS18 7th meeting (DG meeting) September th WG30 meeting5-6 December 2011FDIS19 FDIS out for ballot1 March % approval of ISO P-members and 97% of IEC P- members Standard Published1 July 2012Published Slide 5
Goals of the Revision Repair/rewrite areas of the standard that needed clarification or had been confusing. Incorporate all appropriate guidance from the IAF Guidance Document (GD24) into the standard. Add additional clauses in some areas. Make the standard look like the other ISO standards (use standard ISO/CASCO format). Slide 6 2/9/2014
Most Problematic Areas of as Reported on a Survey of ABs and CBs conducted by IAF*: ABs reported: Development and Maintenance of a Certification Scheme Surveillance Evaluation Organizational Structure CBs reported: Surveillance Organizational Structure Development and Maintenance of a Certification Scheme Other (write in) Evaluation *Reported as results from IAF survey of ABs conducted in /9/2014 Slide 7
Major Discussion Issues for WG30 What to do about schemes not owned by CB: Government owned Third party owned Surveillance Not really being followed Not always needed depending upon the recertification period Separation of Training/Certification Functions How far is that separation? Can a training organization be a CB for persons? Can trainers serve in any role in the certification program? Can a trainer be an evaluator? Can a CB require candidates to complete their training program? 2/9/2014 Slide 8
Major Issues for WG30 Impartiality How assured? Is an Impartiality Committee required? Or can impartiality be demonstrated some other way? Measurement rigor How much science of measurement should be added to the standard? How much documentation is needed in the development of the scheme? Level of detail What is the appropriate balance between being too prescriptive and providing enough information to help those who do not understand the science of measurement? Slide 9 2/9/2014
Major Issues for WG30 Scheme -What are the mandatory components of a scheme versus what are process requirements associated with the implementation of a scheme? Slide 10 2/9/2014
Major Sections in the New Revision 2/9/2014 Slide Scope2. Normative references3. Terms and definitions4. General requirements5. Structural requirements6. Resource requirements7. Records and information requirements 8. Certification schemes 9. Certification process requirements 10. Management systems requirements Annex A - Principles
Major Changes in the New Revision 2/9/2014 Slide 12 Change: Refer to the Certification of Persons instead of Personnel Certification and Certification Body for Persons (CBP) instead ofPersonnel Certification Body (PCB). Reason: Personnel is defined and translated as employee so Personnel Certification and Personnel Certification body were interpreted as certification of ones own employees. This is not correct. New term Certification of Persons and Certification Body for Persons is so everybody will understand that this is certification of people (not employees).
Major Changes in the New Revision 2/9/2014 Slide 13 Change: Added new terms for Certification Requirements, Scheme Owner, Certificate, Assessment, Invigilator, Personnel, Applicant, Impartiality, Fairness, Validity, Reliability, Interested Party and Surveillance. Reason: Several of these terms were misunderstood or confusing to readers of the standard and needed to be defined.
Major Changes in the New Revision 2/9/2014 Slide 14 Change: Added a more detailed section for Management of Impartiality (4.3). Impartiality may be achieved through the use of an Impartiality Committee or through other methods. Reason: Impartiality and objectivity are the cornerstones for the certification of persons. If the process for verifying the competence of persons and certifying the competence of persons is not impartial and objective then there is no value to the certification of persons.
Major Changes in the New Revision 2/9/2014 Slide 15 Change: Added a new section with more information about the Structure of the Certification Body in Relation to Training (5.2). Reason: Training is a threat to impartiality (5.2.3). Therefore the Certification Body for Persons must demonstrate the independence of the certification activities from training activities to ensure the confidentiality, information security and impartiality of the certification activities are not compromised (5.2.3.b). A trainer may not serve as an examiner of a specific candidate they have trained for a period of 2 years (5.2.3.e) unless the CB can demonstrate how it does not compromise impartiality.
Major Changes in the New Revision 2/9/2014 Slide 16 Change: Added more detail to section for personnel: -General Personnel Requirements (6.1) Clauses pertaining to competence, training and signing of conflict of interest and confidentiality agreements added. -Requirements for Examiners (6.2.2) Clauses pertaining to competence, impartiality, and declaration of conflicts of interest added. -Requirements for other personnel involved in the assessment (6.2.3) (new section added) Added requirements for invigilators and examination administrators. -Outsourcing (6.3) Includes contracted and subcontracted services. Note that Personnel definition (3.12) includes individuals internal or external who carry out activities for the certification body. Reason: The competence of personnel is important to ensure that certification activities are carried out correctly and impartially.
Major Changes in the New Revision 2/9/2014 Slide 17 Change: More detail added for Records and Information Requirements: Applicant, Candidate and Certified Persons records (7.1) – describes what persons records must be stored. Public Information (7.2) – describes information that must be available both with request and without request. Confidentiality (7.3) – provides clauses relating to confidential data including candidate data and examination data. Reason: A certification body for person must carefully balance information that should be available to the public with and without request and information that must be kept confidential.
Major Changes in the New Revision 2/9/2014 Slide 18 Change: New detailed section pertaining to security (7.4).Includes clauses pertaining to the security of confidential candidate data (personal information, etc.), and clauses pertaining to the security of examination data (test questions, answers, exam papers, etc.). Requires the CB to develop security polices and procedures that includes consideration of the location of the materials (transport, storage, exam centres, destruction, digital, etc.), the nature of the materials (electronic, paper, test equipment, etc.), and the steps in the life cycle of examinations (development, administration, results reporting, etc.) Reason: The release of some confidential information (such as examination information) could result in the invalidation of the entire certification program. It is important that all confidential and secure information is kept confidential. Many CBs are unaware of the security threats associated with their certification programs.
Major Changes in the New Revision 2/9/2014 Slide 19 Change: More detailed description of certification schemes. Now recognizes an external scheme owner. Provides clauses detailing the requirements for the contents of a scheme (8.2), detailed clauses for certification requirements that must be in a scheme (8.3), and detailed requirements for the development and review of the certification scheme (8.4). The requirement for a Job Task Analysis is now included in the standard (8.4). Surveillance is now if applicable as based on the scheme. Requires that the scheme be reviewed and validated on an ongoing, systematic basis. Reason: Development of the scheme was cited as one of the problematic areas in the survey of ABs and CBs. The new standard provides additional information to clarify scheme requirements.
Major Changes in the New Revision 2/9/2014 Slide 20 Change: More detail provided for the Certification Process Requirements (9) including the application process (9.1), assessment process (9.2), examination process (9.3), decision on certification (9.4), suspending, withdrawing or reducing the scope of certification (9.5), recertification process (9.6) and the use of certificates, logos and marks (9.7). Reason: IAF survey showed confusion for many of these processes. Additional detail was required to help make the clauses and requirements clear.
Major Changes in the New Revision 2/9/2014 Slide 21 Change: New appeals section (9.8), new complaints section (9.9), and new management systems requirements section (10). Reason: Required PAS documents.
Major Changes in the New Revision The mandatory PAS documents were incorporated into the revised standard: 2/9/2014 Slide ISO/PAS on Impartiality included in clause ISO/PAS on Confidentiality included in clause ISO/PAS on Complaints and appeals included in clauses 9.8 and ISO/PAS on Disclosure of information included in clause ISO/PAS on Use of management systems included in clause 10
Major Changes in the New Revision 2/9/2014 Slide 23 Change: Principles section added in Annex A. Includes principles associated with impartiality, competence, confidentiality and openness, responsiveness to complaints and appeals, and responsibility. Reason: The revised standard cannot give specific requirements for all situations that can occur. The principles are designed to be applied as guidance for unanticipated situations. The principles serve as the framework for the entire standard.
Cross Reference 17024:2003 to 17024: /9/2014 Slide 24 ISO/EC ISO/IEC Differences/Comments Introduction Same 1. Scope New note added regarding reference to Certification Body in this standard refers to Certification Body for Persons (CBP). 2 Normative references Changed normative references. 3 Terms and definitions Changed normative documents for terms 3.1 appeal3.19 appealSame 3.2 candidate3.14 candidateSlightly reworded 3.3 certification process3.1 certification processSlightly reworded 3.4 certification scheme3.2 certification schemeSlightly reworded 3.5 certification systemDeleted and combined with Certification Process 3.6 competence Reworded 3.7 complaint3.20 complaintSlightly reworded 3.8 evaluation Deleted and removed from the standard (replaced with assessment) 3.9 examination Slightly reworded 3.10 examiner Slightly reworded
Cross Reference 17024:2003 to 17024: /9/2014 Slide 26 ISO/EC ISO/IEC Differences/Comments 4 Requirements for certification bodies Deleted 4.1 Certification bodyDeleted Clause deleted 4.1.2Clause deleted Slightly reworded 5 Structural requirementsNew section 4.2Organizational structure 5.1 Management and organization structure Slightly reworded a) Clause deleted (added impartiality section) b) 4.2Slightly reworded c) Reworded and additional parties to be identified added d) 4 General requirements 4.1 Legal matters Reworded
Cross Reference 17024:2003 to 17024: /9/2014 Slide 27 ISO/EC ISO/IEC Differences/Comments Management of impartiality Reworded Deleted. New section on development and maintenance of a scheme was added. CB does not have to appoint a scheme committee. Scheme owner can be outside of the CB a)4.4Slightly reworded b)Covered under new section on impartiality (4.3) 42.4 c)Covered under new section on impartiality (4.3) 4.3.2New clause 4.3.3New clause 4.3.5New clause 4.3.6New clause 4.3.7New clause 4.3.8New clause
Cross Reference 17024:2003 to 17024: /9/2014 Slide 28 ISO/EC ISO/IEC Differences/Comments New section covers old clause and adds additional requirements 5.2.2New clause a)New clause b)New clause c)New clause d)New clause e)New clause Entire sections for appeals and complaints added (see sections 9.8 and 9.9) 4.2.7See new section on personnel (6.1) 4.3 Development and maintenance of a certification scheme See new section for certification schemes (8)
Cross Reference 17024:2003 to 17024: /9/2014 Slide 29 ISO/EC ISO/IEC Differences/Comments 4.3.1See new section for certification schemes (8) 4.3.2See new section for certification schemes (8) Reworded and placed in new section on assessment (9.2) 4.3.4Deleted clause Split into two sections (Impartiality 4.3 and Structure of the certification body in relation to training 5.2) Moved to a new section on examination process 4.4 Management system All of Section 10 All of Management System moved to a new section Subcontracting6.3 OutsourcingChanged subcontracting to outsourcing Reworded and put into 2 clauses Reworded
Cross Reference 17024:2003 to 17024: /9/2014 Slide 30 ISO/EC ISO/IEC Differences/Comments 4.6 Records 7 Records and information requirements Same Same 4.7 Confidentiality7.1.3 Reworded and entire new section on Confidentiality added (7.3) 7.2 Public InformationNew section 7.2.1New clause 7.2.2New clause 7.2.3New clause 7.2.4New clause 7.3 ConfidentialityNew section for confidentiality added 7.3.1New clause 7.3.2New clause 7.3.3New clause 7.3.4New clause 7.3.5New clause
Cross Reference 17024:2003 to 17024: /9/2014 Slide 31 ISO/EC ISO/IEC Differences/Comments 4.8 Security7.4 SecurityNew Section for security added 7.4.1New clause 7.4.2New clause 7.4.3New clause 6. Resource RequirementsNew section for resource requirements added 5 Requirements for persons employed or contracted by a certification body 5.1 General 6.1 General personnel requirements 6.1.1New clause 6.1.2New clause Slightly reworded Reworded Reworded
Cross Reference 17024:2003 to 17024: /9/2014 Slide 32 ISO/EC ISO/IEC Differences/Comments Reworded 6.1.6New clause 6.1.8New clause 6.2 Personnel involved in the certification activities New section for personnel added GeneralNew clause 5.2 Requirements for examiners Requirements for examiners Reworded New clause OutsourcingNew section for outsourcing added New clause New clause 6.4 Other ResourcesNew clause 8 Certification SchemesNew section for certification schemes added 8.1New clause 8.2New clause 8.3New clause 8.4New clause 8.5New clause 8.6New clause that allows a scheme owner to be a body other than the certification body for persons
Cross Reference 17024:2003 to 17024: /9/2014 Slide 33 ISO/EC ISO/IEC Differences/Comments 6 Certification process 9 Certification Process Requirements 6.1 Application9.1 Application Process Reworded Reworded 9.1.3New clause 9.2 Assessment ProcessNew section for assessment process added 9.2.1New clause 9.2.2see 2003 version, clause Evaluation Section deleted Clause deleted B) covered by new clause Reworded. Added language to address equating of exam forms and comparability of the pass/fail decision Slightly reworded
Cross Reference 17024:2003 to 17024: /9/2014 Slide 34 ISO/EC ISO/IEC Differences/Comments 6.2.4Clause deleted 9.2.4New clause 9.2.5New clause 9.2.6New clause 9.3 Examination processNew section for examination process added New clause to address exam administration standardization New clause to address exam administration standardization 9.3.4New clause 9.3.5Reworded from 2003 version clause Decision on certification 9.4 Decision on certification 9.4.1New clause 9.4.2Reworded from 2003 versions clause Reworded from 2003 version clause 4.1.3
Cross Reference 17024:2003 to 17024: /9/2014 Slide 35 ISO/EC ISO/IEC Differences/Comments New clause 9.4.6New clause Slightly reworded 9.4.9New clause 6.4 SurveillanceSection deleted 6.4.1Clause deleted 6.4.2Clause deleted 9.5 Suspending, withdrawing or reducing the scope of certification New section 9.5.1New clause 9.5.2New clause 9.5.3New clause 9.5.4New clause
Cross Reference 17024:2003 to 17024: /9/2014 Slide 36 ISO/EC ISO/IEC Differences/Comments 6.5 Recertification9.6 Recertification Process 6.5.1Clause deleted Reworded and split into three clauses 9.6.3New clause 9.6.5New clause 6.6 Use of certificates and logos/marks 9.7 Use of certificates, logos and marks Same Same
Cross Reference 17024:2003 to 17024: /9/2014 Slide 37 ISO/EC ISO/IEC Differences/Comments Reworded 9.8 Appeals against decisions on certification New Section for appeals 9.8.1New clause 9.8.2New clause 9.8.3New clause 9.8.4New clause 9.8.5New clause 9.8.6New clause 9.8.7New clause 9.9 ComplaintsNew section for complaints 9.9.1New clause 9.9.2New clause 9.9.3New clause 9.9.4New clause 9.9.5New clause 9.9.6New clause 9.9.7New clause 9.9.8New clause 9.9.9New clause New clause
Cross Reference 17024:2003 to 17024: /9/2014 Slide 38 ISO/EC ISO/IEC Differences/Comments 10 Management system requirements New section for management systems 10.1New clause 10.2New section New clause New clause New clause New clause New section New clause New clause New clause New section New clause New clause New clause New clause New clause New clause Annex A – PrinciplesNew Appendix (Principles)