ISO 17021 / Tools for Audits and Auditors Presented by Alister DALRYMPLE Director, Business Development and Partnerships AFNOR International DEVCO Workshop.

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1 ISO 17021 / Tools for Audits and Auditors Presented by Alister DALRYMPLE Director, Business Development and Partnerships AFNOR International DEVCO Workshop Kiev, June 2008

2 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 2 Marketplace Context ISO is concerned about its own image and the negative effects of sub-standard certification ISO TC 176 has actively addressed the implementation of ISO 9001 Rules and requirements for certification are contained in many documents (standards, guides, guidelines, guidance, recommendations, …) published by many different organizations Accreditation does not have a set of detailed rules at its disposal, but now has a global framework with the ISO 17021 standard Intense CB competition on many markets

3 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 3 Marketplace Context Competing Certification Bodies Pressure to decrease prices Lower Prices Cutting corners Lower added value to the client Loss of Confidence in Certification* *The Certification Death Spiral

4 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 4 A Key Development - ISO/IEC 17021:2006 The publication by ISO/CASCO of ISO/IEC 17021 in September 2006 has a number of immediate consequences, because it … replaces Guides 62 for QMS and 66 for EMS is applicable for the implementation by any CB of any management system certification scheme (past, present and future ! ) incorporates appropriate IAF guidance acknowledges latest technological advances (e-based technologies and auditing, etc) provides a solid baseline set of rules for accrediting CBs

5 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 5 A Key Development - ISO/IEC 17021:2006 And because it … is consistent with other CASCO documents Provides a complete section on the (non-auditable) principles needed to obtain confidence in management system certification, but which offer the basis for interpretation of any situation where specific requirements are not drafted promotes principles-based performance requirements

6 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 6 ISO/IEC 17021 – Requirements for CB (extracts) Section 4 : Principles The aim of certification is to give confidence to all parties that a management system fulfils specified requirements. Interested Parties include, but are not limited to : a) clients of the certification bodies, b) customers of the organizations whose management systems are certified c) governmental authorities d) non-governmental organizations and e) consumers and other members of the public Consequence : The auditor “represents” all the above when assessing a management system

7 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 7 ISO/IEC 17021 – Requirements for CB (extracts) What’s new ? …. regarding the certification process The CB shall have : - Personnel having demonstrated competence for each phase of the certification process (auditing, decision-making, managing functions) -Process ensuring the assignment of competent audit team : competency analysis for all personnel involved in the complete certification process (7.1 & 7.2) application review (  competence needed (9.2.2.2)) records justifying accepting the client (9.2.2.1.f) audit team selection (  competence provided (9.2.2.3)) competence to make certification decision (9.2.2.4) Consequence : Competence (not necessarily qualification !!) at all stages of the process

8 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 8 ISO/IEC 17021 – Requirements for CB (extracts) What’s new ? …. regarding the certification process Sufficient Auditor time for an effective audit (9.1.4) documented process for determination auditor time, as determined by the CB, and justification, to be recorded Certification audit program (9.1.1) two-stage audit for initial certification surveillance audit at least once a year Re-certification audit every 3 years With flexibility to adjust the audit program based on demonstrated effectiveness of the client’s management system (9.1.1) Consequence : Permitting effective audits with higher expectations on the audit outcome

9 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 9 ISO/IEC 17021 – Requirements for CB (extracts) What’s 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 In addition to physical locations, “on-site” may include remote access to electronic sites (note 1 to 9.1.9) Consequence : A better planned audit and obtaining timely relevant information, wherever it is available

10 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 10 ISO/IEC 17021 – Requirements for CB (extracts) What’s new ? … regarding the certification process For surveillance audits, the Audit team may be empowered to inform the client that certification may be maintained -If there is a positive conclusion to the audit -If no non-conformities likely to lead to suspension or withdrawal of the certification are detected Consequence : Confidence in the judgment of the Audit team and empowering it to take responsibility

11 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 11 ISO/IEC 17021 – Requirements for CB (extracts) What’s new ?… regarding the certification process Competent personnel of the CB must monitor the performance of all personnel involved in the certification activities (7.2.10), including -Surveillance activities, including reporting -On-site auditor performance -Bodies used through out-sourcing Consequence : More flexibility implies additional control over the certification process, including auditing

12 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 12 ISO/IEC 17021 – Requirements for CB (extracts) What is NOT in ISO/IEC 17021 ? 1) Tables, methods or tools for … Calculating audit duration Qualifying of auditors Defining Competence criteria of audit teams 2) Sector or standard-specific requirements (e.g. food safety, IT security, Environmental regulations). CASCO is not empowered by ISO to draft such standards. Conclusion : “One size does not fit all”

13 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 13 ISO/IEC 17021 (Part 2) TERMS OF REFERENCE CASCO Working Group 21 will develop an international standard that will complement the existing requirements of ISO/IEC 17021 with respect to third party auditing and the management of competence, the generic requirements in this standard will be based in part on the relevant guidance given in ISO 19011. It will also provide a framework to enable competent parties to develop specific criteria for third party auditing and management of competence for different types of management systems or sector applications.

14 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 14 ISO/IEC 17021 (Part 2) This means….. - It will be a generic requirements document for the 3 rd party auditing of (all) management systems - Guidance in ISO 19011 will be transformed into appropriate requirements - It will cover third party auditing and the management of competence related to third party auditing - It will provide a template for other bodies of knowledge to develop specific criteria for third party auditing and management of competence for different types of management systems or sector applications.

15 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 15 ISO/IEC 17021 (Part 2) Working Title: Third Party Auditing of Management Systems Milestones : - Approval of the New Work Item Proposal - 2 Co-Convenors of the original Working Group 21 - 3 meetings were held to draft a “Committee Draft” currently out for comment to CASCO Membership - Following review of the comments on CD1, a second Initial document (CD2) is expected to be circulated for Comment and Ballot at the end of 2008

16 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 16 Auditing & Auditors However, requirements standards can only stipulate the rules !! There is a continuing need for implementation guidance, benchmarking and identification of best practices, exchanges of experience and recognition Guidance e.g. through sector guidance, IAF informative criteria, etc Benchmarking and identification of Best Practices e.g. through documents published by competent bodies of knowledge such as the APG (Audit Practices group) Exchanges of experience e.g. through participation in auditor forums (physical meetings, electronic forums, etc.) Recognition e.g. through formal recognition schemes such as IPC

17 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 17 ISO/IEC 17021 The conclusion is taken from the Introduction to ISO/IEC 17021 The value of certification is the degree of public confidence and trust that is established by an impartial and competent assessment by a third-party

18 1 / Pour personnaliser les références : Affichage / En-tête et pied de page Personnaliser la zone Pied de page, Faire appliquer partout Références 18 Thanks for listening to … …alister.dalrymple@afnor.org