1. Presentation on the new standard
ISO/IEC 17020:2012 Conformity assessment – Requirements for the operation of various types of bodies performing inspection
Presentation on the new standard

2. The aim of this presentation is to support all interested parties concerned by the implementation of this new standard, e.g. conformity assessment bodies, accreditation bodies, industries with general information and contribute to an harmonized transition. This is an open presentation without any copyrights and can be used by anyone. We welcome any proposals for improvement of this presentation or translation in national languages. ISO CASCO Secretary ISO CASCO Convenor WG 31 Sean MacCurtain Marcus Schmid

3. Table of content 2013-05-03 Key activities of inspection
History of inspection
History of ISO/IEC 17020
Transition period of ISO/IEC 17020:2012
ISO/IEC / WG 31 - Maintenance Group
Aim of the revision
The main changes and improvements:
Content
Obligatory requirements of ISO/PAS
Impartiality and independence
Competence of inspectors
Subcontracting
Inspection schemes
Commodity inspections
Inspection reports and certificates
Management system requirements
Cross reference 17020:1998 – 17020:2012
Cross reference 17020:2012 – 17020:1998

4. Key activities of inspection (1)
The main objective of the Standard is to promote confidence in bodies performing inspection.
Inspection bodies carry out assessments on behalf of private clients, their parent organizations, or authorities, with the objective of providing information about the conformity of inspected items with regulations, standards, specifications, inspection schemes or contracts.

5. Key activities of inspection (2)
Inspection parameters
quantity,
quality,
safety,
fitness for purpose,
continued safety compliance of installations or systems in operation.

6. Key activities of inspection (3)
determination of their conformity with requirements and subsequent reporting of results activities to clients, when required, to authorities.
examination of materials, products, installations, plants, processes, work procedures or services,
Inspection activities of inspection bodies

7. Key activities of inspection (4)
Inspection can concern all stages during the lifetime of these items, including the design stage.
Inspection normally requires the exercise of professional judgement in performing inspection, in particular when assessing conformity with general requirements.

8. History of inspection 2013-05-03
Inspection has a long history. With the industrialisation in the 18th century based on the use of steam engines and the accident risk associated the first inspection bodies were established.
These bodies named steam boiler inspection bodies were independent of the companies operating the steam engines and their professional judgement resulted in short time in considerable reduction of accidents.
Independent inspection is today used in a wide variety of industrial sectors and other branches.

9. History of ISO/IEC 17020 (1) 2013-05-03
The inspection standard was originally developed by the European Standardisation Organisations CEN/CENELEC as EN published in March 1995.
This standard was taken over by ISO/CASCO without changes as ISO/IEC and published 1998.
In 2008 the CASCO Working Group 31 was established to revise the existing ISO/IEC After 5 meetings the WG finished in July 2011
The final ballot was positive. The revised standard (2nd edition) was published in March 2012.

10. History of ISO/IEC 17020 (2) Stage Revision Ballot Result Comments
WD1:
WD2:
CD: % 764
DIS: % 539
FDIS: %
Publication : (english and french)
DIN EN ISO/IEC (german version)

11. Transition period of ISO/IEC 17020:2012
ILAC resolution :
“The ILAC membership agrees to a three-year transition period for the implementation of ISO/ IEC 17020: 2012 from the date of publication of the English language version of the standard The standard was published on 1 March 2012, therefore the three year transition period will conclude on 1 March 2015.”

12. ISO/IEC 17020 / WG 31 - Maintenance Group
Keith Mowry (Certification body side)
Lal Ilan (accreditation side)
Tommy Scriven (Industry)
Dr. Monika Wloka (standard development side)
Marcus Schmid (convenor)

13. Aim of the revision Initiated by the result of the systematic review 2008
The general aims of the revision
maintaining the proven parts of the existing standard
Take into account the CASCO PAS
improvements where necessary
CASCO common structure
implementing the relevant parts of the IAF/ILAC Guidance A4 on the implementation of ISO/IEC 17020

14. The main changes and improvements Content
Alignment with the new structural requirements for standards for conformity assessment bodies decided by CASCO resulting in the following 8 chapters in the revised standard instead of 16 in the existing 17020:
Scope
Normative references
Terms and definitions
General requirements
Structural requirements
Resource requirements
Process requirements
Management system requirements

15. The main changes and improvements Obligatory requirements of ISO/PAS
CASCO has established common elements in the form of PAS for the use in standards for conformity assessment bodies. The obligatory requirements of the following PAS are included in the revised standard:
PAS on Impartiality included in clause 4.1
PAS on Confidentiality included in clause 4.2
PAS on Complaints and appeals included in clause 7.5
PAS on Use of management systems included in clause 8

16. The main changes and improvements Impartiality and independence (1)
The requirements on impartiality and independence which are crucial for performing inspection activities are considerably improved by implementing the relevant parts of the IAF/ILAC guidance A4 in clause 4.1 and the normative Annex A.
The three types of inspection bodies (Types A, B and C) describing the different degree of independence are kept.
Type A bodies are third-parties independent of the parties involved in the design, manufacture, supply, installation, use or maintenance of inspected items.

17. The main changes and improvements Impartiality and independence (2)
Type B are in-house inspection bodies forming a separate independent part of an organisation involved in the mentioned activities.
Type C bodies must not be a separate part within the organisation but there must be a clear separation between inspection activities and other activities meaning that a person cannot inspect items designed, manufactured, maintained etc. by him.

18. The main changes and improvements Competence of inspectors (1)
The inspectors of the Types A, B and C have to fulfil the same competence requirements which are specified in clause 6.1 of the standard.
The inspectors must have appropriate qualifications, training, experience and a satisfactory knowledge of the requirements of the inspections to be carried out.
This is of special importance as many inspection activities involve professional judgement to determine conformity with general requirements.

19. The main changes and improvements Competence of inspectors (2)
Inspectors shall be trained on a continuing base to keep pace with developing technology and inspection methods.
Inspectors have to be monitored (referred to as supervision in the former edition of 17020) by experienced persons including on-site observations.

20. The main changes and improvements Subcontracting
The inspection body shall itself normally perform the inspections that it contracts to undertake. The well-proven requirement in case of Subcontracting are basically kept.
The reasons for subcontracting of inspections were specified based on the relevant IAF/ILAC guidance A4 by examples such as unforeseen overload, incapacitated staff members or temporarily unfit equipment.

21. The main changes and improvements Inspection schemes
In the process part of the standard (clause 7) it is required that the inspection body uses methods and procedures which are defined in requirements against which inspection is to be performed.
It is clarified that such requirements can also be specified in inspection schemes. A definition of inspection schemes is now contained in the standard (clause 3.7).

22. The main changes and improvements Commodity inspections
Inspection can provide information about inspected items without determination of conformity.
Commodity inspections have been considered in the standard as inspections activities and covered by a note to the definition of inspection (clause 3.1) saying that inspection procedures and schemes can restrict inspection to examination only.

23. The main changes and improvements Inspection reports and certificates
Requirements on reports and certificates have been considerably improved
The standard provides a list of elements that have to be included in a report or certificate (clause 7.4.2) and of optional elements that can be included (informative Annex B).

24. The main changes and improvements Management system requirements
The management system requirements are concentrated in chapter 8.
According to PAS the certification body has two options to establish and maintain a management system that is capable of achieving the consistent fulfilment of the requirements of ISO/IEC
The requirements of option A are provided in detail in clauses 8.2 to 8.8.
Option B gives the possibility to use ISO 9001 as an alternative to fulfil the requirements contained in clause 8.2 to 8.8.

25. Cross reference 17020:1998 – 17020:2012 (1) 17020:1998 17020:2012
remark
1.1 1
Applies to Type A, B, C and any stage
1.2
Introduction, 4. paragraph
1.3
Introduction, 5. paragraph
1.4
Introduction, 6. paragraph
2.1
3.1
Note 2: restriction to examination possible
2.2
3.5 3
5.1
5.1.1
3.2
5.1.2
3.3
5.1.3
3.4
5.1.4
5.1.5
3.6
Not included
4.1
4.1.2 to 4.1.5
PAS included
4.1 1st sentence
4.1.2
4.1 2nd sentence
6.1.12
Partly covered
4.2
4.1.6
4.2.1
4.1.6 a)
4.2.2
4.1.6 b)
4.2.3
4.1.6 c)

26. Cross reference 17020:1998 – 17020:2012 (2) 17020:1998 5 4.2
PAS included 6
5.2
6.1
5.2.2
6.2 1st sentence
5.2.3
6.2 2nd sentence
5.2.4
6.3
5.2.5
6.4
6.1.8
Supervision replaced by monitoring
6.5
5.2.6
6.6
5.2.7 7 8
PAS included
7.1
8.2.1
7.2
8.1.1
7.3
7.4
8.2.3
7.5
7.6
8.3
7.7
8.6
7.8
8.7
7.9
8.5
8.1
6.1.2
8.2
6.1.3
6.1.5/6.1.6/6.1.7

27. Cross reference 17020:1998 – 17020:2012 (3) 17020:1998 8.4 6.1.10 8.5
8.5
Not included
8.6
6.1.11 9
6.2
9.1
6.2.1
9.2
6.2.2
9.3
6.2.3
9.4
6.2.4
9.5
6.2.5
9.6
6.2.6
9.7
6.2.7
9.8
6.2.8
9.9
6.2.9
9.10
6.2.10
9.11
6.2.11
9.12
6.2.12
9.13
6.2.13
9.14
6.2.14
9.15
6.2.15 10
7.1
10.1
7.1.1

28. Cross reference 17020:1998 – 17020:2012 (4) 17020:1998 10.2 7.1.2 10.3
10.3
7.1.3
10.4
7.1.4
10.5
7.1.5
10.6
7.1.7
10.7
7.1.8
10.9
7.1.9 11
7.2
11.1
7.2.1
11.2
7.2.3
11.3
7.2.2
11.4
7.2.4
12.1
7.3.1 12
7.3
12.2
12.3
8.4.2 13
7.4/Annex B
Extended based on IAF/ILAC A4 guidance

29. Cross reference 17020:1998 – 17020:2012 (5) 17020:1998 13.1 7.4.1
13.2 1st sentence
7.4.2
13.2 1st/2nd sent.
7.4.4
13.3
7.4.2 e)
13.4
7.4.5 14
6.3
14.1
st sentence
14.2 1st sentence
nd sentence
Note 1 added based on IAF/ILAC guidance A4
14.2 3rd sent.
6.3.2
14.3
6.3.4
14.4
6.3.3 15
7.5/7.6
PAS included 16
5.2.2 Note
Annex A
Annex A.1
Based on IAF/ILAC guidance A4
Annex B
Annex A.2
Annex C
Annex A.3
Annex D 8

30. Cross reference 17020:2012 – 17020:1998 17020:2012 17020:1998 Remark
Introduction, 4. paragraph
1.2
Introduction, 5. paragraph
1.3
Introduction, 6. paragraph
1.4 1
1.1
Applies to Type A, B, C and any stage 2
Normative references not included
3.1
2.1
3.2
New definition
3.3
3.4
3.5
2.2
3.6
3.7
3.8
3.9
3.10
4.1 4
4.1.1
PAS included
4.1.2
4.1 1st sentence
4.1.3
4.1.4
4.1.5

31. Cross reference 17020:2012 – 17020:1998 (2) 17020:2012 17020:1998
Remark
4.1.6
4.2
4.1.6 a)
4.2.1
4.1.6 b)
4.2.2
4.1.6 c)
4.2.3 5
PAS included
5.1 3
5.1.1
3.1
5.1.2
3.2
5.1.3
3.3
5.1.4
3.4
5.1.5
3.5
5.2 6
5.2.1
PAS included
5.2.2
6.1
5.2.2 Note 16
5.2.3
6.2 1st sentence
5.2.4
6.2 2nd sentence
5.2.5
6.3
5.2.6
6.5
5.2.7
6.6

32. Cross reference 17020:2012 – 17020:1998 (3) 17020:2012 17020:1998
Remark
6.1 8
6.1.1
6.1.2
8.1
6.1.3
8.2
6.1.4
6.1.5
8.3
6.1.6
6.1.7
6.1.8
6.4
Supervision replaced by monitoring
6.1.9
Based on IAF/ILAC guidance A4
6.1.10
8.4
6.1.11
8.6
6.1.12
4.1 2nd sentence
PAS included
6.1.13 5
PAS included
6.2 9
6.2.1
9.1
6.2.2
9.2
6.2.3
9.3
6.2.4
9.4
6.2.5
9.5

33. Cross reference 17020:2012 – 17020:1998 (4) 17020:2012 17020:1998
Remark
6.2.6
9.6
6.2.7
9.7
6.2.8
9.8
6.2.9
9.9
6.2.10
9.10
6.2.11
9.11
6.2.12
9.12
6.2.13
9.13
6.2.14
9.14
6.2.15
9.15
6.3 14
st sentence
14.1
nd sentence
14.2
6.3.1 Note
Based on IAF/ILAC guidance A4
6.3.2
14.2 3rd sentence
6.3.3
14.4
6.3.4
14.3
7.1 10
7.1.1
10.1
7.1.2
10.2

34. Cross reference 17020:2012 – 17020:1998 (5) 17020:2012 17020:1998
Remark
7.1.3
10.3
7.1.4
10.4
7.1.5
10.5
7.1.6
7.1.7
10.6
7.1.8
10.7
7.1.9
10.8
7.2 11
7.2.1
11.1
7.2.2
11.3
7.2.3
11.2
7.2.4
11.4
7.3 12
7.3.1
12.1/12.2
7.3.2
7.4 13
Extended based on IAF/ILAC A4 guidance
7.4.1
13.1
7.4.2
13.2 1st sentence

35. Cross reference 17020:2012 – 17020:1998 (6) 17020:2012 17020:1998
Remark
7.4.2 e)
13.3
7.4.3
7.4.4
13.2 2nd/3rd sentence
7.4.5
13.4
7.5 15
PAS included
7.6 8
7/Annex D
PAS included
8.1.1
7.2
8.1.2
8.1.3
8.2.1
7.1/7.3
8.2.2
8.2.3
7.4/7.5
8.2.4
8.3
8.4
8.4.2
12.3

36. Cross reference 17020:2012 – 17020:1998 17020:2012 17020:1998 Remark
8.5
7.9
8.6
7.7
8.7
7.8
8.8
Annex A.1
Annex A
Based on IAF/ILAC guidance A4
Annex A.2
Annex B
Annex A.3
Annex C
Based on IAF/ILAC A4 guidance

37. Presentation preapared by:
Marcus Schmid
is Director Management Systems Voith Turbo GmbH & Co KG, and Director Quality Management Voith Turbo Rail Division. Mr. Schmid is Convenor of ISO/CASCO working group WG 31, which developed ISO/IEC He is also member of the DIN Quality Management, Statistics and Certification Standards Committee, and chairs the DIN mirror committee to WG 31.
Tel. +49 (0)
Gerd-Hinrich Schaub
is a consultant of the Association of the TÜV (VdTÜV) and technical advisor of the International Confederation of Inspection and Certification Organisations (CEOC). His main focus is conformity assessment, product marking and accreditation. He is a member of several ISO/CASCO working groups and committees of accreditation associations (ILAC and EA).
Tel. +49 (0)