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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