ISO/IEC 17021:2006

SASQ Annual General Meeting

D. Iain Muir
9 March 2007
ISO/IEC 17021:2006

1. Developed by ISO/CASCO Working Group 21

CASCO is the Conformity Assessment Committee of ISO

Co-conveners
• Alister Dalrymple, France-AFNOR
– AFAQ, a management system certification body
• Randy Dougherty, US-ANSI
– ANAB, an accreditation body for management
system certification bodies
ISO/IEC 17021:2006
Intent of WG21 for ISO 17021

To replace ISO Guides 62 and 66

To be applicable to any management systems

To incorporate IAF guidance

To incorporate latest technology

To be consistent with the common elements (WG23)

Principles-based performance requirements (where

possible)
ISO/IEC 17021:2006

ISO/IEC 17021:2006

Conformity assessment—Requirements for bodies

providing audit and certification of management systems

Published 15 September 2006

SANS 17021 published November 2006

ISO/IEC 17021:2006

1. Contents
• 1 Scope
• 2 Normative references
• 3 Terms and definitions
• 4 Principles
• 5 General requirements
• 6 Structural requirements
• 7 Resource requirements
• 8 Information requirements
• 9 Process requirements
• 10 Management system requirements for CBs
ISO/IEC 17021:2006

What is new regarding the standard?

Section 4 Principles [for third party certification]

Subsequent requirements are based on the principles

The principles are not auditable

ISO/IEC 17021:2006

Section 4 Principles

impartiality

competence

responsibility

openness

confidentiality

responsiveness to complaints
ISO/IEC 17021:2006
What is new regarding CB and audit team
competence?
Requirements that result in a process for ensuring the
assignment of competent audit team

competence analysis (7.1 & 7.2)

records justifying decision to accept the client (9.2.2.1.f)

application review—competence needed (9.2.2.2)

audit team selection—competence provided (9.2.2.3)

competence to make certification decision (9.2.2.4)

ISO/IEC 17021:2006

What is new regarding the certification process?

The process approach for certification audits

plan the audit

conduct the audit

report the audit

review and decision regarding certification

ISO/IEC 17021:2006

What is new regarding the certification process?

Certification and audit program

two-stage audit for initial certification

three year certification cycle begins with certification or re-

certification decision

surveillance audits in first and second years

re-certification audit in the third year prior to expiration

ISO/IEC 17021:2006

What is new regarding the certification process?

Stage 1 audit (9.2.3.1)

Establishes seven objectives to be fulfilled during the

stage 1 audit

Recommended, but not required, that at least part of

the stage 1 audit be carried out at client’s premises
ISO/IEC 17021:2006

What is new regarding impartiality?

Eliminated the definition for, and use of the term,

“related body”, and instead describes activities and or
relationships that are a threat to impartiality

CB shall provide for a committee to safeguard

impartiality (6.2)

Impartiality analysis (5.2.2)

Financial/liability analysis (5.3.2)

ISO/IEC 17021:2006

What is new regarding impartiality?

Publicly available statement by Top Management of the CB

(5.2.1)
Understands importance of impartiality
Manages conflict of interest
Ensures objectivity

A CB shall not outsource audits to a management system

consultancy organization (5.2.8)
ISO/IEC 17021:2006

What is new regarding impartiality?

A CB shall not provide internal audits to its certified clients.

A CB shall not certify a management system on which

it provided internal audits for at least two years (5.2.6)

Personnel records shall include any relevant

consultancy services that may have been provided (7.4)
ISO/IEC 17021:2006

What is new regarding impartiality?

Applicants for certification to provide information concerning

any management system consultancy received (9.2.1f)
ISO/IEC 17021:2006

What is new regarding the certification process?

auditor time for an effective audit (9.1.4)

documented process for determination of auditor

time, as determined by the CB, and justification, to be
recorded
flexibility to adjust the audit program based on
demonstrated effectiveness of the client’s management
system (9.1.1)
in addition to physical locations, “on-site” may include
remote access to electronic sites (note 1 to 9.1.9)
ISO/IEC 17021:2006

What is new regarding the certification documents?

an expiry date consistent with the re-certification cycle

(8.2.3.c)
ISO/IEC 17021:2006

What is new regarding publicly accessible

information?

certifications granted, suspended or withdrawn (8.1.3)

ISO/IEC 17021:2006

What is new regarding management system

requirements for a CB?

Option 1—ISO 9001:2000 (10.2)

Option 2—general management system requirements

(10.3)

documented MS, polices and objectives

control of documents and records
internal audits & management review
corrective & preventive actions
 Transition to ISO 17021
Planning and Implementation
 Transition

IAF Resolution 2006-09

Transition Period for ISO/IEC 17021

The General Assembly, acting on the recommendation of the Technical

Committee, resolved that the transition period for conforming to ISO/IEC
17021:2006 be 24 months from the date of publication of the standard by ISO.

Therefore, on 15 September 2008, accreditation to ISO/IEC Guide 62:1996 and

ISO/IEC Guide 66:1999 will no longer be valid.

The annexes of IAF GD2 and IAF GD6 should

continue to be applied until superseded.
Joint IAF-ISO Communique
Transition plan

End of transition and Accreditation Certificate Issue

On 15 September 2008, twenty four months after

publication of the new standard, all accredited
Certification Bodies are expected to be in full compliance
with ISO/IEC 17021 and a new accreditation certificate
issued.
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Thanks for listening

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