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ISO/IEC 17024
General Requirements for Bodies Operating Certification of Persons
Joan Knapp, Ph.DChristine Niero, Ph.D
Roy Swift, Ph.DCynthia Woodley, Ph.D
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 2
ISO/IEC 17024 Terminology
AppealCandidateCertification ProcessCertification SchemeCertification SystemCompetence
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 3
ISO/IEC 17024 Terminology
ComplaintEvaluationExaminationExaminerQualification
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 4
Components of the Process
ANSI
Receive and reviewapplication forcompletenessAppoint PCACmembersManage feesAppoint assessorsTrain assessorsHear final level ofappeals
Assessors
Review applicationsand annual reportsRequest moreinfomationDetermine non-conformitites andcorrective actionWork with certiicationbodies non-conformitites andcorrective actionRespond to PCAC andcertification bodiesquestions
Certification Body
Files applicationProvidesdoumentationApproves assessorsWork with assessors;site visit, non-conformities, andcorrective actionsComments onassessor report toPCACAddresses non-conformitiesMaintain right toappealFiles annual report
PCAC
PCACReviewPanel
Full PCAC
Reviews assessorreports and applicantcommentsAgree/disagree withassessor reportProvides accreditationrecommendation to fullPCAC
Reviews PCAC reviewpanel findingsVotes accreditationaction/actionHandles first level ofappeals
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 5
ANSI Accreditation Process
Letter of EligibilityThree basic requirements
Legal entity or part of a legal entityIndependent third partyPublished Scope of Certification
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 6
ANSI Accreditation Process
Paper Application Addressing and documenting compliance with the requirements submittedAssignment of Assessors (auditors)
One psychometricanOne Generalist in CertificationSubmitting of Confidentiality and Conflict of Interest
Acceptance of AssessorsNo conflict of interest
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 7
ANSI Accreditation Process
Review of ApplicationRequest for Further InformationCreation of the Audit Schedule (agenda on site)
Opening MeetingInterviews and Review of RecordsExit Briefing– Written Non-conformities– Verbal: Strengths and Opportunities for Improvement
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 8
ANSI Accreditation Process
Creation of the Accreditation ReportTwo weeks after the on-siteDescription of the ProgramDocumentation of Requirements MetStrengths of the ProgramOpportunities for ImprovementNon-conformities
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 9
ANSI Accreditation ReportReport sent to certification body
Review of misstatement of factSubmittal of any corrections action(s) and/or plans for corrective action(s)Disagreements with the report
Report sent back to AssessorsIf changes requestedAssessors provide comments
Support or Disagree with Changes
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 10
ANSI Accreditation ProcessReport sent to Personnel Certification Accreditation Committee (PCAC) – Review Panel appointed by the PCAC ChairReview Panel Review
Review of accreditation reportLack of clarityLack of support/evidence for Non-conformitiesReview of Opportunities for ImprovementPresent to Full PCAC
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 11
ANSI Accreditation ProcessActions of the PCAC
Approval of the Report and Request for corrective plans/actionsApproval of the report with changes and request for corrective plans and/or actionsApprove report and award Accreditation for five years
Annual Surveillance ReportsMonitoringActions taken on a yearly basis
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 12
ISO/IEC 17024 - Requirements
Certification BodyAdministrative Policies and Procedures
What to addressWhere to document
Authority of Certification BodyWhat to stateParameters to include
Scope of Certification
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 13
ISO/IEC 17024 - Requirements
Organizational StructureThree major considerations
CompetenceImpartiality– Finances– operations
IntegrityRequirements for Documentation
Relationship to Stakeholders– Impartiality and independence
Responsibility for decision-making– Scope & Authority
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 14
ISO/IEC 17024 - Requirements
Requirements for Documentation cont’dDesignated responsibility as legal entity for operations and decisionsRelationship to other organizations
Conflict of interestAuthority of operations (financial)Independence to implement policies
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 15
ISO/IEC 17024 - Requirements
Documentation to Safeguard ImpartialityBylawsArticles of IncorporationMinutesPolicy Manual
Composition of BoardCommitteesIndividuals Involved
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 16
ISO/IEC 17024 - Requirements
Development of SchemeStakeholder inputBalance & ImpartialityScheme Committee
Representation of interestsInvolvement of test developers/advisorsQualifications of members
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 17
ISO/IEC 17024 - Requirements
Training and EducationBurden of Proof is on the certification body to document independent from certification functionsDocumenting Compliance
Policies and proceduresIndividuals involvedInter-relationships
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 18
ISO/IEC 17024 - Requirements
Appeals and ComplaintsPoliciesDocumentationScopeConflict of InterestProcess – Fairness
Qualifications of PeopleStaffContracted Employees
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 19
Development/Maintenance of Scheme
Define and justify scheme Describe process for developing and maintaining scheme Explain and document scheme committee’s roleCommunicate changes in the process Define criteria for judging competence Note extent to which certification is restricted and why Describe how assessments are evaluated
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 20
Development/Maintenance of Scheme
Pointers to remember…No right or wrong way to comply; standard is not prescriptiveDemonstrate how you meet the requirements, processes used to assure validity and reliabilityExplain rationale for development and maintenance processesDocument, document, document
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 21
ISO/IEC 17024 Requirements
Management SystemYou don’t have to be ISO 9001:2000 CertifiedMust be clearly documented
Plan: what, how and when?Understood and Implemented at all levels of the organizationThree major components
Document ControlInternal AuditManagement Review
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 22
ISO/IEC 17024 - Requirements
SubcontractingDecision on Certification cannot be contracted outProperly Documented AgreementCertification Body Must take full responsibility for the WorkEnsure subcontractor is competent in contracted responsibilitiesMaintain a list of sub-contractors
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 23
ISO/IEC 17024 - Requirements
RecordsCertification Status
Effective DateExpirationRe-certificationRestrictionsDiscipline Actions
Storage & Maintenance
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 24
ISO/IEC 17024 - Requirements
ConfidentialityPolicies on releasing informationAccess and Storage of recordsAccess to InformationAgreements
Confidentiality and conflict of interestVolunteers, staff, and sub-contractors
Documentation – Handbooks, management manual, policy manual
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 25
Security
Describe measures taken to insure security and confidentiality throughout systemInclude subcontractors and subject matter expertsExplain how impartiality is maintained if trainers are test administrators
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 26
Security
Pointers to remember…Not just security as it pertains to examination administrationCovers the examination development, integrity of subject experts, and the certification body staffDocument irregularities or breaches of security and their remedies
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 27
ISO/IEC 17024 - Requirements
Requirements for PersonsDefine the competency requirementsEmployed or contracted persons sign a document to commit to the policies and proceduresCurrent Job DescriptionsDocument Qualifications and/or Training ReceivedMaintaining Personnel Records
Requirements for ExaminersNOT proctors
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 28
ISO/IEC 17024 - Requirements
ApplicationInformation to include
Competence requirementsDescription of ProcessType of Examination and Exam BlueprintFeesPolicies and ProceduresAppealsCode of ConductSigned application agreement
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 29
Evaluation
Ensure eligibility requirements met as specified by the schemeDemonstrate how assessments conform to the requirements of the scheme Explain how all competence criteria are covered in the assessment procedures Report and maintain results appropriately Provide accommodations for any special needs
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 30
Evaluation
Pointers to remember….Make certain that qualified individuals are reviewing candidate qualificationsDocument the selection of assessment proceduresAvoid either vague or obtuse reporting of certification resultsMake every reasonable effort to accommodate special needs at no cost to the candidateCommunicate policy regarding special needs openly
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 31
Decision on Certification
Describe how and who makes this Base decision on information gathered in the processAward certificates all certified persons and can take many formsInclude certificant’s name, unique identification number, name of awarding body, reference to the standard on which it was based, scope, effective and expiration dates
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 32
Decision on Certification
Pointers to remember…Decision must be made by the certifying body Safeguard the information used to make decision in case of complaintsGrant certification when all requirements are metNotify candidates if information is used outside that specified in the scheme
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 33
ISO/IEC 17024 - Requirements
SurveillancePro-active monitoring
BrochuresSurveysReporting from Regulatory Agencies
Actions taken when inform of alleged unethical or incompetent situations
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 34
ISO/IEC 17024 - Requirements
Re-certificationDefined programAssessments to support defined program
Report of the President and CEOANSI Board of Directors Meeting – May 10, 2004 Slide 35
ISO/IEC 17024 - Requirements
Use of certificates and logos/marksDocument use and management of logo/marksCertified person signing an agreementProtection of logs/marks