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 assessment²Requirements 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 .

1 & 7.3) audit team selection²competence provided competence to make certification decision (9.4) .2.2) (9.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 (7.2.2.2.2.2.1.2) records justifying decision to accept the client (9.2.f) application review²competence needed (9.2.

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 recertification decision surveillance audits in first and second years re-certification audit in the third year prior to expiration .

that at least part of the stage 1 audit be carried out at client¶s premises .1) Establishes seven objectives to be fulfilled during the stage 1 audit Recommended.ISO/IEC 17021:2006 What is new regarding the certification process? Stage 1 audit (9.2.3. but not required.

2) . and use of the term.2) Impartiality analysis (5. and instead describes activities and or relationships that are a threat to impartiality CB shall provide for a committee to safeguard impartiality (6.3.ISO/IEC 17021:2006 What is new regarding impartiality? Eliminated the definition for.2) Financial/liability analysis (5.2. ³related body´.

ISO/IEC 17021:2006 What is new regarding impartiality? Publicly available statement by Top Management of the CB (5.2.8) .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.

4) .2.6) Personnel records shall include any relevant consultancy services that may have been provided (7. A CB shall not certify a management system on which it provided internal audits for at least two years (5.ISO/IEC 17021:2006 What is new regarding impartiality? A CB shall not provide internal audits to its certified clients.

ISO/IEC 17021:2006 What is new regarding impartiality? Applicants for certification to provide information concerning any management system consultancy received (9.2.1f) .

as determined by the CB.ISO/IEC 17021:2006 What is new regarding the certification process? auditor time for an effective audit (9. to be recorded flexibility to adjust the audit program based on demonstrated effectiveness of the client¶s management system (9.1.4) documented process for determination of auditor time. ³on-site´ may include remote access to electronic sites (note 1 to 9.1) in addition to physical locations.9) .1.1. and justification.

2.3.ISO/IEC 17021:2006 What is new regarding the certification documents? an expiry date consistent with the re-certification cycle (8.c) .

3) .ISO/IEC 17021:2006 What is new regarding publicly accessible information? certifications granted.1. suspended or withdrawn (8.

2) Option 2²general management system requirements (10.3) documented MS. polices and objectives control of documents and records internal audits & management review corrective & preventive actions .ISO/IEC 17021:2006 What is new regarding management system requirements for a CB? Option 1²ISO 9001:2000 (10.

Transition to ISO 17021 Planning and Implementation .

accreditation to ISO/IEC Guide 62:1996 and ISO/IEC Guide 66:1999 will no longer be valid.Transition IAF Resolution 2006-09 Transition Period for ISO/IEC 17021 The General Assembly. . The annexes of IAF GD2 and IAF GD6 should continue to be applied until superseded. on 15 September 2008. Therefore. 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.

Joint IAF-ISO Communique .

all accredited Certification Bodies are expected to be in full compliance with ISO/IEC 17021 and a new accreditation certificate issued. twenty four months after publication of the new standard.Transition plan End of transition and Accreditation Certificate Issue On 15 September 2008. .

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