ANSI/ISO/IEC 17024:2012 Conformity assessment � General requirements for bodies operating certification of persons
4 General requirements
	4.1 Legal matters 4.2 Responsibility for decision on certification 4.3 Management of impartiality 4.4 Finance and liability
5 Structural requirements
	5.1 Management and organization structure 5.2 Structure of the certification body in relation to training
6 Resource requirements
	6.1 General personnel requirements 6.2 Personnel involved in the certification activities 6.3 Outsourcing 6.4 Other resources
7 Records and information requirements
	7.1 Records of applicants, candidates and certified persons 7.2 Public information 7.3 Confidentiality 7.4 Security
8 Certification schemes
9 Certification process requirements
	9.1 Application process 9.2 Assessment process 9.3 Examination process 9.4 Decision on certification 9.5 Suspending, withdrawing or reducing the scope of certification 9.6 Recertification process 9.7 Use of certificates, logos and marks 9.8 Appeals against decisions on certification 9.9 Complaints
10 Management system requirements
	10.1 General 10.2 General management system requirements
4 General requirements
4.1 Legal matters
4.1 The certification body shall be a legal entity, or a defined part of a legal entity, such that it can be held legally responsible for its certification activities. A governmental certification body is deemed to be a legal entity on the basis of its governmental status.
4.2 Responsibility for decision on certification
4.2 The certification body shall be responsible for, shall retain authority for, and shall not delegate, its decisions relating to certification, including the granting, maintaining, recertifying, expanding and reducing the scope of the certification, and suspending or withdrawing the certification.
4.3 Management of impartiality
4.3.1 The certification body shall document its structure, policies and procedures to manage impartiality and to ensure that the certification activities are undertaken impartially. The certification body shall have top management commitment to impartiality in certification activities. The certification body shall have a statement publicly accessible without request that it understands the importance of impartiality in carrying out its certification activities, manages conflict of interest and ensures the objectivity of its certification activities.
4.3.2 The certification body shall act impartially in relation to its applicants, candidates and certified persons.
4.3.3 Policies and procedures for certification of persons shall be fair among all applicants, candidates and certified persons.
4.3.4 Certification shall not be restricted on the grounds of undue financial or other limiting conditions, such as membership of an association or group. The certification body shall not use procedures to unfairly impede or inhibit access by applicants and candidates.
4.3.5 The certification body shall be responsible for the impartiality of its certification activities and shall not allow commercial, financial or other pressures to compromise impartiality.
4.3.6 The certification body shall identify threats to its impartiality on an ongoing basis. This shall include those threats that arise from its activities, from its related bodies, from its relationships, or from the relationships of its personnel. However, such relationships do not necessarily present a body with a threat to impartiality.
NOTE 1 A relationship that threatens the impartiality of the body can be based on ownership, governance, management, personnel, shared resources, finances, contracts, marketing (including branding) and payment of a sales commission or other inducement for the referral of new applicants, etc.
NOTE 2 Threats to impartiality can be either actual or perceived.
NOTE 3 A related body is one which is linked to the certification body by common ownership, in whole or part, and has common members of the board of directors, contractual arrangements, common names, common staff, informal understanding or other means, such that the related body has a vested interest in any certification decision or has a potential ability to influence the process.
4.3.7 The certification body shall analyse, document and eliminate or minimize the potential conflict of interests arising from its certification activities. The certification body shall document and be able to demonstrate how it eliminates, minimizes or manages such threats. All potential sources of conflict of interest that are identified, whether they arise from within the certification body, such as assigning responsibilities to personnel, or from the activities of other persons, bodies or organizations, shall be covered.
4.3.8 Certification activities shall be structured and managed so as to safeguard impartiality. This shall include balanced involvement of interested parties (see definition 3.21).
4.4 Finance and liability
4.4 The certification body shall have the financial resources necessary for the operation of a certification process and have adequate arrangements (e.g. insurance or reserves) to cover associated liabilities.
5 Requirements for persons employed or contracted by a certification body
5.1 Management and organization structure
5.1.1 The certification body activities shall be structured and managed so as to safeguard impartiality.
5.1.2 The certification body shall document its organizational structure, describing the duties, responsibilities and authorities of management, certification personnel and any committee. When the certification body is a defined part of a legal entity, documentation of the organizational structure shall include the line of authority and the relationship to other parts within the same legal entity.
5.1.2 The party/parties or individuals responsible for the following shall be identified:
a) policies and procedures relating to the operation of the certification body;
b) implementation of the policies and procedures;
c) finances of the certification body;
d) resources for certification activities;
e) development and maintenance of the certification schemes;
f) assessment activities;
g) decisions on certification, including the granting, maintaining, recertifying, expanding, reducing, suspending or withdrawing of the certification;
h) contractual arrangements.
5.2 Structure of the certification body in relation to training
5.2.1 Completion of training may be a specified requirement of a certification scheme (see 8.3). The recognition/approval of training by the certification body shall not compromise impartiality or reduce the assessment and certification requirements.
5.2.2 The certification body shall provide information regarding education and training if they are used as pre-requisites for being eligible for certification. However, the certification body shall not state or imply that certification would be simpler, easier or less expensive if any specified education/training services are used.
5.2.3 Offering training and certification for persons within the same legal entity constitutes a threat to impartiality. A certification body that is part of a legal entity offering training shall:
a) identify and document the associated threats to its impartiality on an ongoing basis: the body shall have a documented process to demonstrate how it eliminates or minimizes those threats;
b) demonstrate that all processes performed by the certification body are independent of training to ensure that confidentiality, information security and impartiality are not compromised;
c) not give the impression that the use of both services would provide any advantage to the applicant;
d) not require the candidates to complete the certification body's own education or training as an exclusive prerequisite when alternative education or training with an equivalent outcome exists;
e) ensure that personnel do not serve as an examiner of a specific candidate they have trained for a period of two years from the date of the conclusion of the training activities: this interval may be shortened if the certification body demonstrates it does not compromise impartiality.
6 Resource requirements
6.1 General personnel requirements
6.1.1 The certification body shall manage and be responsible for the performance of all personnel involved in the certification process.
6.1.2 The certification body shall have sufficient personnel available with the necessary competence to perform certification functions relating to the type, range and volume of work performed.
6.1.3 The certification body shall define the competence requirements for personnel involved in the certification process. Personnel shall have competence for their specific tasks and responsibilities.
6.1.4 The certification body shall provide its personnel with documented instructions describing their duties and responsibilities. These instructions shall be kept up-to-date.
6.1.5 The certification body shall maintain up-to-date personnel records, including relevant information, e.g. qualifications, training, experience, professional affiliations, professional status, competence and known conflicts of interest.
6.1.6 Personnel acting on the certification body's behalf shall keep confidential all information obtained or created during the performance of the body's certification activities, except as required by law or where authorized by the applicant, candidate or certified person.
6.1.7 The certification body shall require its personnel to sign a document by which they commit themselves to comply with the rules defined by the certification body, including those relating to confidentiality, impartiality and conflict of interests.
NOTE Where permitted by law, other methods, including electronic signature, are acceptable.
6.1.8 When a certification body certifies a person it employs, the certification body shall adopt procedures to maintain impartiality.
6.2 Personnel involved in the certification activities
6.2.1 General
6.2.1 The certification body shall require its personnel to declare any potential conflict of interest in any candidate.
6.2.2 Requirements for examiners
6.2.2.1 Examiners shall meet the requirements of the certification body. The selection and approval processes shall ensure that examiners:
a) understand the relevant certification scheme;
b) are able to apply the examination procedures and documents;
c) have competence in the field to be examined;
d) are fluent, both in writing and orally, in the language of examination; in circumstances where an interpreter or a translator is used, the certification body shall have procedures in place to ensure that it does not affect the validity of the examination;
e) have identified any known conflicts of interest to ensure impartial judgements are made.
6.2.2.2 The certification body shall monitor the performance of the examiners and the reliability of the examiners' judgements. Where deficiencies are found, corrective actions shall be taken.
NOTE Monitoring procedures for examiners can include, for example, on-site observation, review of examiners' reports, feedback from candidates.
6.2.2.3 If an examiner has a potential conflict of interest in the examination of a candidate, the certification body shall undertake measures to ensure that the confidentiality and impartiality of the examination are not compromised. These measures shall be recorded.
6.2.3 Requirements for other personnel involved in the assessment
6.2.3.1 The certification body shall have a documented description of the responsibilities and qualifications of other personnel involved in the assessment process (e.g. invigilators).
6.2.3.2 If other personnel involved in the assessment have a potential conflict of interest in the examination of a candidate, the certification body shall undertake measures to ensure that confidentiality and impartiality of the examination is not compromised. These measures shall be recorded.
6.3 Outsourcing
6.3.1 The certification body shall have a legally enforceable agreement covering the arrangements, including confidentiality and conflict of interests, with each body that provides outsourced work related to the certification process.
NOTE For the purposes of this International Standard, the terms �outsourcing� and �subcontracting� are considered to be synonyms.
6.3.2 When a certification body outsources work related to certification, the certification body shall:
a) take full responsibility for all outsourced work;
b) ensure that the body conducting outsourced work is competent and complies with the applicable provisions of this International Standard;
c) assess and monitor the performance of the bodies conducting outsourced work in accordance with its documented procedures;
d) have records to demonstrate that the bodies conducting outsourced work meet all requirements relevant to the outsourced work;
e) maintain a list of the bodies conducting outsourced work.
6.4 Other resources
6.4 The certification body shall use adequate premises, including examination sites, equipment and resources for carrying out its certification activities.
7 Records and information requirements
7.1 Records of applicants, candidates and certified persons
7.1.1 The certification body shall maintain records. The records shall include a means to confirm the status of a certified person. The records shall demonstrate that the certification or recertification process has been effectively fulfilled, particularly with respect to application forms, assessment reports (which include examination records) and other documents relating to granting, maintaining, recertifying, expanding and reducing the scope, and suspending or withdrawing certification.
7.1.2 The records shall be identified, managed and disposed of in such a way as to ensure the integrity of the process and the confidentiality of the information. The records shall be kept for an appropriate period of time, for a minimum of one full certification cycle, or as required by recognition arrangements, contractual, legal or other obligations.
7.1.3 The certification body shall have enforceable arrangements to require that the certified person informs the certification body, without delay, of matters that can affect the capability of the certified person to continue to fulfil the certification requirements.
7.2 Public information
7.2.1 The certification body shall verify and provide information, upon request, as to whether an individual holds a current, valid certification and the scope of that certification, except where the law requires such information not to be disclosed.
7.1.2 The records shall be identified, managed and disposed of in such a way as to ensure the integrity of the process and the confidentiality of the information. The records shall be kept for an appropriate period of time, for a minimum of one full certification cycle, or as required by recognition arrangements, contractual, legal or other obligations.
7.2.3 All pre-requisites of the certification scheme shall be listed and the list shall be made publicly available without request.
7.2.4 Information provided by the certification body, including advertising, shall be accurate and not misleading.
7.3 Confidentiality
7.3.1 The certification body shall establish documented policies and procedures for the maintenance and release of information.
7.3.2 The certification body shall, through legally enforceable agreements, keep confidential all information obtained during the certification process. These agreements shall cover all personnel.
7.3.3 The certification body shall ensure that information obtained during the certification process, or from sources other than the applicant, candidate or certified person, is not disclosed to an unauthorized party without the written consent of the individual (applicant, candidate or certified person), except where the law requires such information to be disclosed.
7.3.4 When the certification body is required by law to release confidential information, the person concerned shall, unless prohibited by law, be notified as to what information will be provided.
7.3.5 The certification body shall ensure that the activities of related bodies do not compromise confidentiality.
7.4 Security
7.4.1 The certification body shall develop and document policies and procedures necessary to ensure security throughout the entire certification process and shall have measures in place to take corrective actions when security breaches occur.
7.4.2 Security policies and procedures shall include provisions to ensure the security of examination materials, taking into account the following:
a) the locations of the materials (e.g. transportation, electronic delivery, disposal, storage, examination centre);
b) the nature of the materials (e.g. electronic, paper, test equipment);
c) the steps in the examination process (e.g. development, administration, results reporting);
d) the threats arising from repeated use of examination materials.
7.4.3 Certification bodies shall prevent fraudulent examination practices by:
a) requiring candidates to sign a non-disclosure agreement or other agreement indicating their commitment not to release confidential examination materials or participate in fraudulent test-taking practices;
b) requiring an invigilator or examiner to be present;
c) confirming the identity of the candidate;
d) implementing procedures to prevent any unauthorized aids from being brought into the examination area;
e) preventing candidates from gaining access to unauthorized aids during the examination;
f) monitoring examination results for indications of cheating.
8 Certification schemes
8.1 There shall be a certification scheme for each category of certification.
8.2 A certification scheme shall contain the following elements:
a) scope of certification;
b) job and task description;
c) required competence;
d) abilities (when applicable);
e) prerequisites (when applicable);
f) code of conduct (when applicable).
NOTE Abilities can include physical capabilities such as vision, hearing and mobility.
NOTE A code of conduct describes the ethical or personal behaviour required by the scheme.
8.3 A certification scheme shall include the following certification process requirements:
a) criteria for initial certification and recertification;
b) assessment methods for initial certification and recertification;
c) surveillance methods and criteria (if applicable);
d) criteria for suspending and withdrawing certification;
e) criteria for changing the scope or level of certification (if applicable).
8.4 The certification body shall have documents to demonstrate that, in the development and review of the certification scheme, the following are included:
a) the involvement of appropriate experts;
b) the use of an appropriate structure that fairly represents the interests of all parties significantly concerned, without any interest predominating;
c) the identification and alignment of prerequisites, if applicable, with the competence requirements;
d) the identification and alignment of the assessment mechanisms with the competence requirements;
e) a job or practice analysis that is conducted and updated to:
	- identify the tasks for successful performance;
	- identify the required competence for each task;
	- identify prerequisites (if applicable);
	- confirm the assessment mechanisms and examination content;
	- identify the recertification requirements and interval.
NOTE Where the certification scheme has been developed by an entity other than the certification body, the job or practice analysis might already be available as part of that work. In this case, the certification body can obtain details from the scheme documentation for verification.
8.5 The certification body shall ensure that the certification scheme is reviewed and validated on an on-going, systematic basis.
8.6 When the certification body is not the scheme owner of a certification scheme it implements, the certification body shall ensure that the requirements contained in this clause (Clause 8) are met.
9 Certification process requirements
9.1 Application process
9.1.1 Upon application, the certification body shall make available an overview of the certification process in accordance with the certification scheme. As a minimum, the overview shall include the requirements for certification and its scope, a description of the assessment process, the applicant's rights, the duties of a certified person and the fees.
9.1.2 The certification body shall require the completion of an application, signed by the applicant seeking certification, which includes as a minimum the following:
a) information required to identify the applicant, such as name, address and other information required by the certification scheme;
b) the scope of the desired certification;
c) a statement that the applicant agrees to comply with the certification requirements and to supply any information needed for the assessment;
d) any supporting information to demonstrate objectively compliance with the scheme prerequisites;
e) notice to the applicant of his/her opportunity to declare, within reason, a request for accommodation of special needs (see 9.2.5).
NOTE Where permitted by law, other methods, including electronic signature, are acceptable.
9.1.3 The certification body shall review the application to confirm that the applicant complies with the application requirements of the certification scheme.
9.2 Assessment process
9.2.1 The certification body shall implement the specific assessment methods and mechanisms as defined in the certification scheme.
9.2.2 When there is a change in the certification scheme which requires additional assessment, the certification body shall document and make publicly accessible without request the specific methods and mechanisms required to verify that certified persons comply with changed requirements.
NOTE Recertification can be used to achieve this verification.
9.2.3 The assessment shall be planned and structured in a manner which ensures that the scheme requirements are objectively and systematically verified with documented evidence to confirm the competence of the candidate.
9.2.4 The certification body shall verify the methods for assessing candidates. This verification shall ensure that each assessment is fair and valid.
9.2.5 The certification body shall verify and accommodate special needs, within reason and where the integrity of the assessment is not violated, taking into account national regulation [see 9.1.2 e)].
9.2.6 Where the certification body takes into account work performed by another body, it shall have appropriate reports, data and records to demonstrate that the results are equivalent to, and conform with, the requirements established by the certification scheme.
9.3 Examination process
9.3.1 Examinations shall be designed to assess competence based on, and consistent with, the scheme, by written, oral, practical, observational or other reliable and objective means. The design of examination requirements shall ensure the comparability of results of each single examination, both in content and difficulty, including the validity of fail/pass decisions.
9.3.2 The certification body shall have procedures to ensure a consistent examination administration.
9.3.3 Criteria for conditions for administering examinations shall be established, documented and monitored.
NOTE Conditions can include lighting, temperature, separation of candidates, noise, candidate safety, etc.
9.3.4 When technical equipment is used in the examination process, the equipment shall be verified or calibrated where appropriate.
9.3.5 Appropriate methodology and procedures (e.g. collecting and maintaining statistical data) shall be documented and implemented in order to reaffirm, at justified defined intervals, the fairness, validity, reliability and general performance of each examination, and that all identified deficiencies are corrected.
9.4 Decision on certification
9.4.1 The information gathered during the certification process shall be sufficient:
a) for the certification body to make a decision on certification;
b) for traceability in the event, for example, of an appeal or a complaint.
9.4.2 Decisions for granting, maintaining, recertifying, extending, reducing, suspending or withdrawing certification shall not be outsourced.
9.4.3 The certification body shall confine its decision on certification to those matters specifically related to the requirements of the certification scheme.
9.4.4 The decision on certification of a candidate shall be made solely by the certification body on the basis of the information gathered during the certification process. Personnel who make the decision on certification shall not have participated in the examination or training of the candidate.
9.4.5 The personnel who make certification decisions shall have sufficient knowledge of and experience with the certification process to determine if the certification requirements have been met.
9.4.6 Certification shall not be granted until all certification requirements are fulfilled.
9.4.7 The certification body shall provide a certificate to all certified persons. The certification body shall maintain sole ownership of the certificates. The certificate shall take the form of a letter, card or other medium, signed or authorized by a responsible member of the personnel of the certification body.
9.4.8 The certificates shall contain, as a minimum, the following information:
a) the name of the certified person;
b) a unique identification;
c) the name of the certification body;
d) a reference to the certification scheme, standard or other relevant documents, including issue date, if relevant;
e) the scope of the certification including, if applicable, validity conditions and limitations;
f) the effective date of certification and date of expiry.
9.4.9 The certificate shall be designed to reduce the risks of counterfeiting.
9.5 Suspending, withdrawing or reducing the scope of certification
9.5.1 The certification body shall have a policy and (a) documented procedure(s) for suspension or withdrawal of the certification, or reduction of the scope of certification, which shall specify the subsequent actions by the certification body.
9.5.2 Failure to resolve the issues that have resulted in the suspension, in a time established by the certification body, shall result in withdrawal of the certification or reduction of the scope of certification.
9.5.3 The certification body shall have enforceable arrangements with the certified person to ensure that, in the event of suspension of certification, the certified person refrains from further promotion of the certification while it is suspended.
9.5.4 The certification body shall have enforceable arrangements with the certified person to ensure that, in the event of withdrawal of certification, the certified person refrains from use of all references to a certified status.
9.6 Recertification process
9.6.1 The certification body shall have (a) documented procedure(s) for implementation of the recertification process, in accordance with the certification scheme requirements.
9.6.2 The certification body shall ensure during the recertification process that it confirms continued competence of the certified person and ongoing compliance with current scheme requirements by the certified person.
9.6.3 The recertification period shall be based upon the scheme requirements. The rationale for the recertification period shall take into account, where relevant, the following:
a) regulatory requirements;
b) changes to normative documents;
c) changes in the relevant scheme requirements;
d) the nature and maturity of the industry or field in which the certified person is working;
e) the risks resulting from an incompetent person;
f) ongoing changes in technology, and requirements for certified persons;
g) requirements of interested parties;
h) the frequency and content of surveillance activities, if required by the scheme.
9.6.4 The selected recertification activity/activities shall be adequate to ensure that there is impartial assessment to confirm the continuing competence of the certified person.
9.6.5 In accordance with the certification scheme, recertification by the certification body shall consider at least the following:
a) on-site assessment;
b) professional development;
c) structured interviews;
d) confirmation of continuing satisfactory work and work experience records;
e) examination;
f) checks on physical capability in relation to the competence concerned.
NOTE �Physical capability� can require an evaluation by a health professional, or by a professional qualified to evaluate physical skills such as dexterity, strength and endurance, as well as the technical performance skills required for the certification.
9.7 Use of certificates, logos and marks
9.7.1 A certification body that provides a certification mark or logo shall document the conditions for use and shall appropriately manage the rights for usage and representation.
NOTE ISO/IEC 17030 provides requirements for use of third-party marks.
9.7.2 The certification body shall require that a certified person signs an agreement for the following reasons:
a) to comply with the relevant provisions of the certification scheme;
b) to make claims regarding certification only with respect to the scope for which certification has been granted;
c) not to use the certification in such a manner as to bring the certification body into disrepute, and not to make any statement regarding the certification which the certification body considers misleading or unauthorized;
d) to discontinue the use of all claims to certification that contain any reference to the certification body or certification upon suspension or withdrawal of certification, and to return any certificates issued by the certification body;
e) not to use the certificate in a misleading manner.
NOTE Where permitted by law, other methods, including electronic signature, are acceptable.
9.7.3 A certification body shall address, by means of corrective measures, any misuse of its certification mark or logo.
9.8 Appeals against decisions on certification
9.8.1 The certification body shall have a documented process to receive, evaluate and make decisions on appeals. The appeals-handling process shall include at least the following elements and methods:
a) the process for receiving, validating and investigating the appeal, and for deciding what actions are to be taken in response to it, taking into account the results of previous similar appeals;
b) tracking and recording appeals, including actions undertaken to resolve them;
c) ensuring that, if applicable, appropriate corrections and corrective actions are taken.
9.8.2 The policies and procedures shall ensure that all appeals are dealt with in a constructive, impartial and timely manner.
9.8.3 A description of the appeals-handling process shall be publicly accessible without request.
9.8.4 The certification body shall be responsible for all decisions at all levels of the appeals-handling process. The certification body shall ensure that the decision-making personnel engaged in the appeals-handling process are different from those who were involved in the decision being appealed.
9.8.5 Submission, investigation and decision on appeals shall not result in any discriminatory actions against the appellant.
9.8.6 The certification body shall acknowledge receipt of the appeal and shall provide the appellant with progress reports and the outcome.
9.8.7 The certification body shall give formal notice to the appellant of the end of the appeals-handling process.
9.9 Complaints
9.9.1 The certification body shall have a documented process to receive, evaluate and make decisions on complaints.
9.9.2 A description of the complaints-handling process shall be accessible without request. The procedures shall treat all parties fairly and equitably.
9.9.3 The policies and procedures shall ensure that all complaints are handled and processed in a constructive, impartial and timely manner. The complaints-handling process shall include at least the following elements and methods:
a) an outline of the process for receiving, validating, investigating the complaint and deciding what actions are to be taken in response to it;
b) tracking and recording complaints, including actions undertaken in response to them;
c) ensuring that, if applicable, appropriate corrections and corrective actions are taken.
9.9.4 Upon receipt of a complaint, the certification body shall confirm whether the complaint relates to certification activities for which it is responsible and, if so, shall respond accordingly.
9.9.5 Whenever possible, the certification body shall acknowledge receipt of the complaint and shall provide the complainant with progress reports and the outcome.
9.9.6 The certification body receiving the complaint shall be responsible for gathering and verifying all necessary information to validate the complaint.
9.9.7 Whenever possible, the certification body shall give formal notice of the end of the complaints-handling process to the complainant.
9.9.8 Any substantiated complaint about a certified person shall also be referred by the certification body to the certified person in question at an appropriate time.
9.9.9 The complaints-handling process shall be subject to requirements for confidentiality, as it relates to the complainant and to the subject of the complaint.
9.9.10 The decision to be communicated to the complainant shall be made by, or reviewed and approved by, personnel not previously involved in the subject of the complaint.
9 Certification process requirements
10.1 General
The certification body shall establish, document, implement and maintain a management system that is capable of supporting and demonstrating the consistent achievement of the requirements of this International Standard. In addition to meeting the requirements of Clauses 4 to 9, the certification body shall implement a management system in accordance with either option A or option B, as follows:
- option A: a general management system which fulfils the requirements of 10.2; or
- option B: a body that has established and maintains a management system, in accordance with the requirements of ISO 9001, and that is capable of supporting and demonstrating the consistent fulfilment of the requirements of this International Standard (ISO/IEC 17024), fulfils the management system requirements of 10.2.
10.2 General management system requirements
10.2.1 General
10.2.1 The certification body shall establish, document, implement and maintain a management system that is capable of supporting and demonstrating the consistent achievement of the requirements of this International Standard.
10.2.1 The certification body's top management shall establish and document policies and objectives for its activities.
10.2.1 The top management shall provide evidence of its commitment to the development and implementation of the management system in accordance with the requirements of this International Standard. The top management shall ensure that the policies are understood, implemented and maintained at all levels of the certification body's organization.
10.2.1 The certification body's top management shall appoint a member of management who, irrespective of other responsibilities, shall have responsibility and authority that include:
a) ensuring that processes and procedures needed for the management system are established, implemented and maintained;
b) reporting to top management on the performance of the management system and any need for improvement.
10.2.2 Management system documentation
10.2.2 Applicable requirements of this International Standard shall be documented. The certification body shall ensure that the management system documentation is provided to all relevant personnel.
10.2.3 Control of documents
10.2.3 The certification body shall establish procedures to control the documents (internal and external) that relate to the fulfilment of this International Standard. The procedures shall define the controls needed to:
a) approve documents for adequacy prior to issue;
b) review and update as necessary and re-approve documents;
c) ensure that changes and the current revision status of documents are identified;
d) ensure that relevant versions of applicable documents are provided at points of use;
e) ensure that documents remain legible and readily identifiable;
f) ensure that documents of external origin are identified and their distribution controlled;
g) prevent the unintended use of obsolete documents and apply suitable identification if they are retained for any purpose.
NOTE Documentation can be in any form or type of medium.
10.2.4 Control of records
10.2.4 The certification body shall establish procedures to define the controls needed for the identification, storage, protection, retrieval, retention time and disposition of its records related to the fulfilment of this International Standard.
10.2.4 The certification body shall establish procedures for retaining records for a period consistent with its contractual and legal obligations. Access to these records shall be consistent with the confidentiality arrangements.
NOTE For requirements for records on applicants, candidates and certified persons, see also 7.1.
10.2.5 Management review
10.2.5.1 General
10.2.5.1 The certification body's top management shall establish procedures to review its management system at planned intervals, in order to ensure its continuing suitability, adequacy and effectiveness, including the stated policies and objectives related to the fulfilment of this International Standard. These reviews shall be conducted at least once every 12 months and shall be documented.
10.2.5.2 Review input
10.2.5.2 The input to the management review shall include information related to the following:
a) results of internal and external audits (e.g. accreditation body assessment);
b) feedback from applicants, candidates, certified persons and interested parties related to the fulfilment of this International Standard;
c) safeguarding impartiality;
d) the status of preventive and corrective actions;
e) follow-up actions from previous management reviews;
f) the fulfilment of objectives;
g) changes that could affect the management system;
h) appeals and complaints.
10.2.5.3 Review output
10.2.5.3 The output from the management review shall include as a minimum decisions and actions related to the following:
a) improvement of the effectiveness of the management system and its processes;
b) improvement of the certification services related to the fulfilment of this International Standard;
c) resource needs.
10.2.6 Internal audits
10.2.6.1 The certification body shall establish procedures for internal audits to verify that it fulfils the requirements of this International Standard and that the management system is effectively implemented and maintained.
NOTE ISO 19011 provides guidelines for conducting internal audits.
10.2.6.2 An audit programme shall be planned, taking into consideration the importance of the processes and areas to be audited, as well as the results of previous audits.
10.2.6.3 Internal audits shall be performed at least once every 12 months. The frequency of internal audits may be reduced if the certification body demonstrates that its management system continues to be effectively implemented in accordance with this International Standard and has proven stability.
10.2.6.4 The certification body shall ensure that:
a) internal audits are conducted by competent personnel, knowledgeable in the certification process, auditing and the requirements of this International Standard;
b) auditors do not audit their own work;
c) personnel responsible for the area audited are informed of the outcome of the audit;
d) any actions resulting from internal audits are taken in a timely and appropriate manner;
e) any opportunities for improvement are identified.
10.2.7 Corrective actions
10.2.7 The certification body shall establish (a) procedure(s) for identification and management of nonconformities in its operations. The certification body shall also, where necessary, take actions to eliminate the causes of nonconformities in order to prevent recurrence. Corrective actions shall be appropriate to the impact of the problems encountered. The procedures shall define requirements for the following:
a) identifying nonconformities;
b) determining the causes of nonconformity;
c) correcting nonconformities;
d) evaluating the need for actions to ensure that nonconformities do not recur;
e) determining and implementing the actions needed in a timely manner;
f) recording the results of actions taken;
g) reviewing the effectiveness of corrective actions.
10.2.8 Preventive actions
10.2.8 The certification body shall establish (a) procedure(s) for taking preventive actions to eliminate the causes of potential nonconformities. Preventive actions taken shall be appropriate to the probable impact of the potential problems. The procedures for preventive actions shall define requirements for the following:
a) identifying potential nonconformities and their causes;
b) evaluating the need for action to prevent the occurrence of nonconformities;
c) determining and implementing the action needed;
d) recording the results of actions taken;
e) reviewing the effectiveness of the preventive actions taken.
NOTE The procedures for corrective and preventive actions do not necessarily have to be separate.