Presentation on the new standard
ISO/IEC 17024: 2012
Conformity assessment – General requirements for
bodies operating certification of persons
Slide 1
4/13/2015
Introduction
This presentation has been developed by the Convenor of ISO
CASCO WG 30.
The aim is to support all interested parties concerned by the
implementation of this new standard, ISO/IEC 17024 Conformity
assessment – General requirements for bodies operating
certification of persons.
This is an open presentation without any copyrights and can be
used by anyone.
ISO CASCO Secretary
Sean MacCurtain
Slide 2
4/13/2015
ISO CASCO Convenor WG 30
Dr. Cynthia D. Woodley
Purpose of ISO/IEC 17024
Standard for Certification of Persons
Official Title – General requirements for bodies operating
certification of persons
Introduction – “. . . Has been developed with the objective of
achieving and promoting a globally accepted benchmark for
organizations operating certification of persons”
Introduction – “. . .This international standard can serve as the
basis for the recognition of the certification bodies for persons and
the certification schemes under which persons are certified, in
order to facilitate their acceptance at the national and international
levels.”
Slide 3
4/13/2015
WG30 – Revision of ISO/IEC 17024
ISO/IEC 17024 originally published in 2003. Due for
systematic review in 2008 (usually every 5 years).
ISO member bodies voted down ISO/IEC 17024 for
systematic review.
ANSI introduced a New Work Item proposal to completely
revise ISO/IEC 17024.
October 2008 member bodies voted in favour of the New
Work Item proposal to revise ISO/IEC 17024.
Based on New Work Item, a working group (WG30) was
formed to revise ISO/IEC 17024.
Slide 4
4/13/2015
Timeline of Revision ISO/IEC 17024
Activity
Date(s)
1st WG30 meetingterms of reference,
scope and structure
9-10 February 2009
2nd WG30 meeting
22-24 July 2009
3rd meeting (DG
28-29 September 2009
meeting)
4th WG30 meeting 22-24 February 2010
5th WG30 meeting
22-24 June 2010
6th WG30 meeting 18-20 January 2011
7th meeting (DG
26-27 September 2011
meeting)
8th WG30 meeting 5-6 December 2011
FDIS out for ballot
1 March 2012
Standard Published
1 July 2012
Slide 5
4/13/2015
Output
Participants
Results ballot
16
WD1
17
WD2
5
WD2
CD1
DIS
22
16
18
12
FDIS
19
95% approval of
ISO P-members
and 97% of IEC Pmembers
Published
Goals of the Revision
Repair/rewrite areas of the standard that needed clarification or
had been confusing.
Incorporate all appropriate guidance from the IAF Guidance
Document (GD24) into the standard.
Add additional clauses in some areas.
Make the standard “look” like the other ISO standards (use
standard ISO/CASCO format).
Slide 6
4/13/2015
Most Problematic Areas of 17024 as
Reported on a Survey of ABs and CBs
conducted by IAF*:
ABs reported:
‒Development and Maintenance of a Certification Scheme
‒Surveillance
‒Evaluation
‒Organizational Structure
CBs reported:
‒Surveillance
‒Organizational Structure
‒Development and Maintenance of a Certification Scheme
‒Other (write in)
‒Evaluation
Slide 7
4/13/2015
*Reported as results from IAF survey of ABs conducted in 2009
Major Discussion Issues for WG30
What to do about schemes not owned by CB:
‒ Government owned
‒ Third party owned
Surveillance
‒ Not really being followed
‒ Not always needed depending upon the recertification period
Separation of Training/Certification Functions
‒ How far is that separation?
‒ Can a training organization be a CB for persons?
‒ Can trainers serve in any role in the certification program?
‒ Can a trainer be an evaluator?
‒ Can a CB require candidates to complete their training
program?
Slide 8
4/13/2015
Major Issues for WG30
Impartiality
‒ How assured?
‒ Is an Impartiality Committee required?
‒ Or can impartiality be demonstrated some other way?
Measurement rigor
‒ How much science of measurement should be added to the
standard?
‒ How much documentation is needed in the development of the
scheme?
Level of detail
‒ What is the appropriate balance between being too
prescriptive and providing enough information to help those
who do not understand the science of measurement?
Slide 9
4/13/2015
Major Issues for WG30
Scheme
-What are the mandatory components of a scheme versus what
are process requirements associated with the implementation of
a scheme?
Slide 10
4/13/2015
Major Sections in the New Revision
1. Scope
2. Normative references
3. Terms and definitions
4. General requirements
5. Structural requirements
6. Resource requirements
7. Records and information requirements
8. Certification schemes
9. Certification process requirements
10. Management systems requirements
Annex A - Principles
Slide 11
4/13/2015
Major Changes in the New Revision
Change: Refer to the “Certification of Persons” instead of “Personnel
Certification” and “Certification Body for Persons (CBP)” instead of
“Personnel Certification Body (PCB)”.
Reason: “Personnel” is defined and translated as employee so
Personnel Certification and Personnel Certification body were
interpreted as certification of one’s own employees. This is not
correct. New term Certification of Persons and Certification Body for
Persons is so everybody will understand that this is certification of
people (not employees).
Slide 12
4/13/2015
Major Changes in the New Revision
Change: Added new terms for Certification Requirements, Scheme
Owner, Certificate, Assessment, Invigilator, Personnel, Applicant,
Impartiality, Fairness, Validity, Reliability, Interested Party and
Surveillance.
Reason: Several of these terms were misunderstood or confusing to
readers of the standard and needed to be defined.
Slide 13
4/13/2015
Major Changes in the New Revision
Change: Added a more detailed section for Management of
Impartiality (4.3). Impartiality may be achieved through the use of an
Impartiality Committee or through other methods.
Reason: Impartiality and objectivity are the cornerstones for the
certification of persons. If the process for verifying the competence of
persons and certifying the competence of persons is not impartial and
objective then there is no value to the certification of persons.
Slide 14
4/13/2015
Major Changes in the New Revision
Change: Added a new section with more information about the
Structure of the Certification Body in Relation to Training (5.2).
Reason: Training is a threat to impartiality (5.2.3). Therefore the
Certification Body for Persons must demonstrate the independence of
the certification activities from training activities to ensure the
confidentiality, information security and impartiality of the certification
activities are not compromised (5.2.3.b).
A trainer may not serve as an examiner of a specific candidate they
have trained for a period of 2 years (5.2.3.e) unless the CB can
demonstrate how it does not compromise impartiality.
Slide 15
4/13/2015
Major Changes in the New Revision
Change: Added more detail to section for personnel:
-General Personnel Requirements (6.1) Clauses pertaining to
competence, training and signing of conflict of interest and confidentiality
agreements added.
-Requirements for Examiners (6.2.2) Clauses pertaining to competence,
impartiality, and declaration of conflicts of interest added.
-Requirements for other personnel involved in the assessment (6.2.3)
(new section added) Added requirements for invigilators and
examination administrators.
-Outsourcing (6.3) Includes contracted and subcontracted services.
Note that Personnel definition (3.12) includes individuals internal or
external who carry out activities for the certification body.
Reason: The competence of personnel is important to ensure that
certification activities are carried out correctly and impartially.
Slide 16
4/13/2015
Major Changes in the New Revision
Change: More detail added for Records and Information
Requirements:
Applicant, Candidate and Certified Persons records (7.1) – describes
what persons records must be stored.
Public Information (7.2) – describes information that must be available
both with request and without request.
Confidentiality (7.3) – provides clauses relating to confidential data
including candidate data and examination data.
Reason: A certification body for person must carefully balance
information that should be available to the public with and without
request and information that must be kept confidential.
Slide 17
4/13/2015
Major Changes in the New Revision
Change: New detailed section pertaining to security (7.4).Includes clauses
pertaining to the security of confidential candidate data (personal
information, etc.), and clauses pertaining to the security of examination data
(test questions, answers, exam papers, etc.). Requires the CB to develop
security polices and procedures that includes consideration of the location
of the materials (transport, storage, exam centres, destruction, digital, etc.),
the nature of the materials (electronic, paper, test equipment, etc.), and the
steps in the life cycle of examinations (development, administration, results
reporting, etc.)
Reason: The release of some confidential information (such as
examination information) could result in the invalidation of the entire
certification program. It is important that all confidential and secure
information is kept confidential. Many CBs are unaware of the security
threats associated with their certification programs.
Slide 18
4/13/2015
Major Changes in the New Revision
Change: More detailed description of certification schemes. Now
recognizes an external scheme owner. Provides clauses detailing the
requirements for the contents of a scheme (8.2), detailed clauses for
certification requirements that must be in a scheme (8.3), and detailed
requirements for the development and review of the certification
scheme (8.4). The requirement for a Job Task Analysis is now included
in the standard (8.4). Surveillance is now “if applicable” as based on
the scheme. Requires that the scheme be reviewed and validated on
an ongoing, systematic basis.
Reason: Development of the scheme was cited as one of the
problematic areas in the survey of ABs and CBs. The new standard
provides additional information to clarify scheme requirements.
Slide 19
4/13/2015
Major Changes in the New Revision
Change: More detail provided for the Certification Process
Requirements (9) including the application process (9.1), assessment
process (9.2), examination process (9.3), decision on certification (9.4),
suspending, withdrawing or reducing the scope of certification (9.5),
recertification process (9.6) and the use of certificates, logos and marks
(9.7).
Reason: IAF survey showed confusion for many of these processes.
Additional detail was required to help make the clauses and
requirements clear.
Slide 20
4/13/2015
Major Changes in the New Revision
Change: New appeals section (9.8), new complaints section (9.9), and
new management systems requirements section (10).
Reason: Required PAS documents.
Slide 21
4/13/2015
Major Changes in the New Revision
The mandatory PAS documents were incorporated into the revised
standard:
1. ISO/PAS 17001 on Impartiality included in clause 4.3
2. ISO/PAS 17002 on Confidentiality included in clause 7.3
3. ISO/PAS 17003 on Complaints and appeals included in clauses 9.8 and 9.9
4. ISO/PAS 17004 on Disclosure of information included in clause 7.2
5. ISO/PAS 17005 on Use of management systems included in clause 10
Slide 22
4/13/2015
Major Changes in the New Revision
Change: Principles section added in Annex A. Includes principles
associated with impartiality, competence, confidentiality and openness,
responsiveness to complaints and appeals, and responsibility.
Reason: The revised standard cannot give specific requirements for all
situations that can occur. The principles are designed to be applied as
guidance for unanticipated situations. The principles serve as the
framework for the entire standard.
Slide 23
4/13/2015
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
Introduction
1. Scope
ISO/IEC 17024 2012
Introduction
1. Scope
2 Normative references
3 Terms and definitions
3.1 appeal
3.2 candidate
3.3 certification process
3.4 certification scheme
3.5 certification system
3.6 competence
3.7 complaint
3.8 evaluation
2 Normative references
3 Terms and definitions
3.19 appeal
3.14 candidate
3.1 certification process
3.2 certification scheme
3.9 examination
3.10 examiner
3.9 examination
3.10 examiner
Slide 24
4/13/2015
3.6 competence
3.20 complaint
Differences/Comments
Same
New note added regarding reference to
Certification Body in this standard refers to
Certification Body for Persons (CBP).
Changed normative references.
Changed normative documents for terms
Same
Slightly reworded
Slightly reworded
Slightly reworded
Deleted and combined with Certification Process
Reworded
Slightly reworded
Deleted and removed from the standard (replaced
with “assessment”)
Slightly reworded
Slightly reworded
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
3.11 qualification
Slide 25
4/13/2015
ISO/IEC 17024 2012
Differences/Comments
3.7 qualification
Slightly reworded
3.3 certification requirements
New definition
3.4 scheme owner
New definition
3.5 certificate
New definition
3.8 assessment
New definition
3.11 invigilator
New definition
3.12 personnel
New definition
3.13 applicant
New definition
3.15 impartiality
New definition
3.16 fairness
New definition
3.17 validity
New definition
3.18 reliability
New definition
3.21 interested party
New definition
3.22 surveillance
New definition
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
ISO/IEC 17024 2012
Differences/Comments
4 Requirements for
certification bodies
Deleted
4.1 Certification body
Deleted
4.1.1.
Clause deleted
4.1.2
4.1.3
Clause deleted
9.4.3
Slightly reworded
5 Structural requirements
New section
4.2Organizational
structure
5.1 Management and
organization structure
4.2.1
5.1.1
4.2.1.a)
Slightly reworded
Clause deleted (added impartiality section)
4.2.1 b)
4.2
Slightly reworded
4.2.1 c)
5.1.2
Reworded and additional parties to be identified
added.
4.2.1 d)
4 General requirements
4.1 Legal matters
Reworded
Slide 26
4/13/2015
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
4.2.2
ISO/IEC 17024 2012
4.3 Management of impartiality
4.3.1
4.2.3
4.2.4 a)
Differences/Comments
Reworded
Deleted. New section on development and
maintenance of a scheme was added. CB does
not have to appoint a scheme committee.
Scheme owner can be outside of the CB.
4.4
Slightly reworded
4.2.4 b)
Covered under new section on impartiality (4.3)
42.4 c)
Covered under new section on impartiality (4.3)
Slide 27
4/13/2015
4.3.2
New clause
4.3.3
New clause
4.3.5
New clause
4.3.6
New clause
4.3.7
New clause
4.3.8
New clause
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
4.2.5
ISO/IEC 17024 2012
Differences/Comments
5.2
New section covers old clause 4.2.5 and adds
additional requirements
5.2.2
New clause
5.2.3 a)
New clause
5.2.3 b)
New clause
5.2.3 c)
New clause
5.2.3 d)
New clause
5.2.3 e)
New clause
4.2.6
Entire sections for appeals and complaints added
(see sections 9.8 and 9.9)
4.2.7
See new section on personnel (6.1)
4.3 Development and
maintenance of a
certification scheme
See new section for certification schemes (8)
Slide 28
4/13/2015
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
ISO/IEC 17024 2012
Differences/Comments
4.3.1
See new section for certification schemes (8)
4.3.2
See new section for certification schemes (8)
4.3.3
9.2.2
4.3.4
Reworded and placed in new section on
assessment (9.2)
Deleted clause
4.3.5
4.3.4
5.2.1
Split into two sections (Impartiality 4.3 and
Structure of the certification body in relation to
training 5.2)
4.3.6
9.3.5
Moved to a new section on examination process
4.4 Management system
4.4.1
4.4.2
4.4.3
All of Section 10
All of Management System moved to a new
section 10.
4.5 Subcontracting
6.3 Outsourcing
Changed subcontracting to outsourcing
4.5.1
6.3.1
9.4.2
Reworded and put into 2 clauses
4.5.2
6.3.2
Reworded
Slide 29
4/13/2015
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
ISO/IEC 17024 2012
Differences/Comments
4.6 Records
7 Records and information
requirements
4.6.1
4.6.2
4.7 Confidentiality
7.1.1
7.1.2
7.1.3
Same
Same
Reworded and entire new section on
Confidentiality added (7.3)
7.2 Public Information
7.2.1
7.2.2
7.2.3
New section
New clause
New clause
New clause
7.2.4
7.3 Confidentiality
7.3.1
7.3.2
7.3.3
7.3.4
New clause
New section for confidentiality added
New clause
New clause
New clause
New clause
7.3.5
New clause
Slide 30
4/13/2015
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
4.8 Security
5 Requirements for
persons employed or
contracted by a
certification body
5.1 General
ISO/IEC 17024 2012
Differences/Comments
7.4 Security
New Section for security added
7.4.1
New clause
7.4.2
New clause
7.4.3
New clause
6. Resource Requirements
New section for resource requirements added
6.1 General personnel
requirements
6.1.1
New clause
6.1.2
New clause
5.1.1
6.1.3
Slightly reworded
5.1.2
6.1.7
Reworded
5.1.3
6.1.4
Reworded
Slide 31
4/13/2015
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
5.1.4
5.2 Requirements for
examiners
5.2.1
5.2.2
Slide 32
4/13/2015
ISO/IEC 17024 2012
Differences/Comments
6.1.5
6.1.6
6.1.8
6.2 Personnel involved in the
certification activities
6.2.1 General
6.2.2 Requirements for examiners
Reworded
New clause
New clause
New section for personnel added
6.2.2.1
6.2.2.2
6.2.2.3
6.2.3 Outsourcing
6.2.3.1
6.2.3.2
6.4 Other Resources
8 Certification Schemes
8.1
8.2
8.3
8.4
8.5
8.6
Reworded
New clause
New clause
New section for outsourcing added
New clause
New clause
New clause
New section for certification schemes added
New clause
New clause
New clause
New clause
New clause
New clause that allows a scheme owner to be a body
other than the certification body for persons
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
ISO/IEC 17024 2012
Differences/Comments
6 Certification process
9 Certification Process
Requirements
6.1 Application
9.1 Application Process
6.1.1
9.1.1
Reworded
6.1.2
9.1.2
Reworded
9.1.3
New clause
9.2 Assessment Process
New section for assessment process added
9.2.1
New clause
9.2.2
see 2003 version, clause 4.3.3
Section deleted
6.2 Evaluation
6.2.1
Clause deleted
B) covered by new clause 9.2.5
6.2.2
9.3.1
Reworded. Added language to address equating
of exam forms and comparability of the pass/fail
decision.
6.2.3
9.2.3
Slightly reworded
Slide 33
4/13/2015
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
ISO/IEC 17024 2012
6.2.4
6.3 Decision on
certification
Slide 34
4/13/2015
Differences/Comments
Clause deleted
9.2.4
New clause
9.2.5
New clause
9.2.6
New clause
9.3 Examination process
New section for examination process added
9.3.2
New clause to address exam administration
standardization
9.3.3
New clause to address exam administration
standardization
9.3.4
New clause
9.3.5
Reworded from 2003 version clause 4.3.6
9.4 Decision on certification
9.4.1
New clause
9.4.2
Reworded from 2003 versions clause 4.5.1
9.4.3
Reworded from 2003 version clause 4.1.3
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
6.3.1
ISO/IEC 17024 2012
Differences/Comments
9.4.4
9.4.5
New clause
9.4.6
New clause
6.3.2
9.4.7
6.3.3
9.4.8
Slightly reworded
9.4.9
New clause
6.4 Surveillance
Section deleted
6.4.1
Clause deleted
6.4.2
Clause deleted
Slide 35
4/13/2015
9.5 Suspending, withdrawing or
reducing the scope of
certification
New section
9.5.1
New clause
9.5.2
New clause
9.5.3
New clause
9.5.4
New clause
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
6.5 Recertification
ISO/IEC 17024 2012
9.6 Recertification Process
6.5.1
6.5.2
Differences/Comments
Clause deleted
9.6.1
9.6.2
9.6.4
Reworded and split into three clauses
9.6.3
New clause
9.6.5
New clause
6.6 Use of certificates and 9.7 Use of certificates, logos and
logos/marks
marks
6.6.1
9.7.1
Same
6.6.2
9.7.2
Same
Slide 36
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Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
6.6.3
Slide 37
4/13/2015
ISO/IEC 17024 2012
9.7.3
9.8 Appeals against decisions on
certification
9.8.1
9.8.2
9.8.3
9.8.4
9.8.5
9.8.6
9.8.7
9.9 Complaints
9.9.1
9.9.2
9.9.3
9.9.4
9.9.5
9.9.6
9.9.7
9.9.8
9.9.9
9.9.10
Differences/Comments
Reworded
New Section for appeals
New clause
New clause
New clause
New clause
New clause
New clause
New clause
New section for complaints
New clause
New clause
New clause
New clause
New clause
New clause
New clause
New clause
New clause
New clause
Cross Reference 17024:2003 to
17024: 2012
ISO/EC 17024 2003
Slide 38
4/13/2015
ISO/IEC 17024 2012
10 Management system
requirements
10.1
10.2
10.2.1
10.2.2
10.2.3
10.2.4
10.2.5
10.2.5.1
10.2.5.2
10.2.5.3
10.2.6
10.2.6.1
10.2.6.2
10.2.6.3
10.2.6.4
10.2.7
10.2.8
Annex A – Principles
Differences/Comments
New section for management systems
New clause
New section
New clause
New clause
New clause
New clause
New section
New clause
New clause
New clause
New section
New clause
New clause
New clause
New clause
New clause
New clause
New Appendix (Principles)