Workshop Materials - Understanding ISO/IEC 17024;

Clause 7 Records and informationrequirements7.1 Records of applicants, candidates andcertified persons7.2 Public information7.3 Confidentiality7.4 SecurityClause 7 Records and informationrequirements (cont’d)7.1Records of applicants, candidates andcertified persons7.1.1 The certification body shall maintain records.7.1.2 The records shall be identified, managed anddisposed of in such a way as to ensure theintegrity of the process and the confidentiality ofthe information.The records shall be kept for an appropriateperiod of time .Clause 7 Records and informationrequirements (cont’d)7.1(cont’d)7.1.3 The certification body shall have enforceablearrangements to require that the certified personinforms the certification body, without delay, ofmatters that can affect the capability of thecertified person to continueto fulfil thecertification requirements.14

Clause 7 Records and informationrequirements (cont’d)7.2Public information7.2.1 The certification body shall verify and provideinformation, upon request, as to whether anindividual holds a current, valid certification andthe scope of that certification, except where thelaw requires such information not to be disclosed.7.2.2 The certification body shall make publicly availablewithout request information regarding the scope ofthe certification scheme and a general descriptionof the certification process.Clause 7 Records and informationrequirements (cont’d)7.2Public information (cont’d)7.2.3 All pre-requisites of the certification scheme shallbe listed and the list shall be made publiclyavailable without request.7.2.4 Information provided by the certification body,including advertising, shall be accurate and notmisleading. .ISO/IEC 17024 TrainingEnd Day 115

ISO/IEC 17024 TrainingDay 1 review and quizClause 7 Records and informationrequirements (cont’d)7.3Confidentiality7.3.1 The certification body shall establish documentedpolicies and procedures for the maintenance andrelease of information.7.3.2 The certification body shall, through legallyenforceable agreements, keep confidential allinformation obtained during the certificationprocess. These agreements shall cover allpersonnel.Clause 7 Records and informationrequirements (cont’d)7.3Confidentiality (cont’d)7.3.3 The certification body shall ensure that informationobtained during the certification process, or fromsources other than the applicant, candidate orcertified person, is not disclosed to anunauthorized party without the written consent ofthe individual (applicant, candidate or certifiedperson), except where the law requires suchinformation to be disclosed.16

Clause 7 Records and informationrequirements (cont’d)7.3Confidentiality (cont’d)7.3.4 When the certification body is required by law torelease confidential information, the personconcerned shall, unless prohibited by law, benotified as to what information will be provided.7.3.5 The certification body shall ensure that theactivities of related bodies do not compromiseconfidentiality.Clause 7 Records and informationrequirements (cont’d)7.4Security7.4.1 The certification body shall develop and documentpolicies and procedures necessary to ensuresecurity throughout the entire certification processand shall have measures in place to takecorrective actions when security breaches occur.Clause 7 Records and informationrequirements (cont’d)7.4Security (cont’d)7.4.2 Security policies and procedures shall includeprovisions to ensure the security of examinationmaterials, taking into account the following:a)the locations of the materials (e.g. transportation, electronicdelivery, disposal, storage, examination centre);b)the nature of the materials (e.g. electronic, paper, testequipment);c)the steps in the examination process (e.g. development,administration, results reporting);d)the threats arising from repeated use of examinationmaterials.17

Clause 7 Records and informationrequirements (cont’d)7.4Security (cont’d)7.4.3 Certification bodies shallexamination practices by:preventfraudulenta)requiring candidates to sign a non-disclosure agreement orother agreement indicating their commitment not to releaseconfidential examination materials or participate in fraudulenttest-taking practices;b)requiring an invigilator or examiner to be present;c)confirming the identity of the candidate;d)implementing procedures to prevent any unauthorized aidsfrom being brought into the examination area;e)preventing candidates from gaining access to unauthorizedaids during the examination;f)monitoring examination results for indications of cheating.Clause 8 Certification SchemesPlanned for tomorrow.Clause 9 Certification ication processAssessment processExamination processDecision on certificationSuspending, withdrawing or reducing thescope of certificationRecertification processUse of certificates, logos and marksAppeals against decisions on certificationComplaints18

Clause 9 Certification processrequirements (cont’d)9.1Application process9.1.1 Upon application, the certification body shall makeavailable an overview of the certification process inaccordance with the certification scheme.9.1.2 The certification body shall require the completionof an application, signed by the applicant seekingcertification, which includes as a minimum thefollowing:a)information required to identify the applicant;b)the scope of the desired certification;c)a statement that the applicant agrees to complywith the certification requirementsClause 9 Certification processrequirements (cont’d)9.1Application process (cont’d)9.1.2 (cont’d)d)any supporting information to quisites;e)notice to the applicant of his/her opportunity todeclare,withinreason,arequestforaccommodation of special needs (see 9.2.5).9.1.3 The certification body shall review the applicationto confirm that the applicant complies with theapplication requirements of the certificationscheme.Clause 9 Certification processrequirements (cont’d)9.2Assessment process9.2.1 The certification body shall implement the specificassessment methods and mechanisms as definedin the certification scheme.9.2.2 When there is a change in the certification schemewhich requires additional assessment, thecertification body shall document and makepublicly accessible without request the specificmethods and mechanisms required to verify 19

Clause 9 Certification processrequirements (cont’d)9.2Assessment process (cont’d)9.2.3 The assessment shall be planned and structuredin a manner which ensures that the schemerequirements are objectively and systematicallyverified with documented evidence to confirm thecompetence of the candidate.9.2.4 The certification body shall verify the methods forassessing candidates. This verification shallensure that each assessment is fair and valid.Clause 9 Certification processrequirements (cont’d)9.2Assessment process (cont’d)9.2.5 Thecertificationbodyshallverifyandaccommodate special needs, within reason andwhere the integrity of the assessment is notviolated, taking into account national regulation[see 9.1.2 e)].9.2.6 Where the certification body takes into accountwork performed by another body, it shall haveappropriate reports, data and records todemonstrate that the results are equivalent to, andconform with, the requirements established by thecertification scheme.Clause 9 Certification processrequirements (cont’d)9.3Examination process9.3.1 Examinations shall be designed to assesscompetence based on, and consistent with, thescheme, by written, oral, practical, observational orother reliable and objective means.The design of examination requirements shallensure the comparability of results of each singleexamination, both in content and difficulty, includingthe validity of fail/pass decisions.9.3.2 The certification body shall have procedures toensure a consistent examination administration.20

Clause 9 Certification processrequirements (cont’d)9.3Examination process (cont’d)9.3.3 Criteriaforconditionsforadministeringexaminations shall be established, documentedand monitored.9.3.4 When technical equipment is used in theexamination process, the equipment shall beverified or calibrated where appropriate.Clause 9 Certification processrequirements (cont’d)9.3Examination process (cont’d)9.3.5 Appropriate methodology and procedures (e.g.collecting and maintaining statistical data) shall bedocumented and implemented in order to reaffirm,at justified defined intervals, the fairness, validity,reliability and general performance of eachexamination, and that all identified deficiencies arecorrected.Clause 9 Certification processrequirements (cont’d)9.4Decision on certification9.4.1 The information gathered during the certificationprocess shall be sufficient:a)for the certification body to make a decision oncertification;b)for traceability in the event, for example, of anappeal or a complaint.9.4.2 Decisions for granting, maintaining, recertifying,extending, reducing, suspending or withdrawingcertification shall not be outsourced.21

Clause 9 Certification processrequirements (cont’d)9.4Decision on certification (cont’d)9.4.3 The certification body shall confine its decision oncertification to those matters specifically related tothe requirements of the certification scheme.9.4.4 The decision on certification of a candidate shall bemade solely by the certification body on the basisof the information gathered during the certificationprocess.Personnel who make the decision on certificationshall not have participated in the examination ortraining of the candidate.Clause 9 Certification processrequirements (cont’d)9.4Decision on certification (cont’d)9.4.5 The personnel who make certification decisionsshall have sufficient knowledge of and experiencewith the certification process to determine if thecertification requirements have been met.9.4.6 Certification shall not be grantedcertification requirements are fulfilled.untilall9.4.7 The certification body shall provide a certificate toall certified persons. The certification body shallmaintain sole ownership of the certificates.The certificate shall be signed or authorized by aresponsible member of the certification body.Clause 9 Certification processrequirements (cont’d)9.4Decision on certification (cont’d)9.4.8 The certificates shall contain, as a minimum, thefollowing information:a)the name of the certified person;b)a unique identification;c)the name of the certification body;d)a reference to the certification scheme, standard or otherrelevant documents, including issue date, if relevant;e)the scope of the certification including, if applicable, validityconditions and limitations;f)the effective date of certification and date of expiry.9.4.9 The certificate shall be designed to reduce therisks of counterfeiting.22

Clause 9 Certification processrequirements (cont’d)9.5Suspending, withdrawing or reducing thescope of certification9.5.1 The certification body shall have a policy and (a)documented procedure(s) for suspension orwithdrawal of the certification, or reduction of thescope of certification, which shall specify thesubsequent actions by the certification body.9.5.2 Failure to resolve the issues that have resulted inthe suspension, in a time established by thecertification body, shall result in withdrawal of thecertification or reduction of the scope ofcertification.Clause 9 Certification processrequirements (cont’d)9.5(Cont’d)9.5.3 The certification body shall have enforceablearrangements with the certified person to ensurethat, in the event of suspension of certification, thecertified person refrains from further promotion ofthe certification while it is suspended.9.5.4 The certification body shall have enforceablearrangements with the certified person to ensurethat, in the event of withdrawal of certification, thecertified person refrains from use of all referencesto a certified status.Clause 9 Certification processrequirements (cont’d)9.6Recertification process9.6.1 The certification body shall have (a) ification process, in accordance with thecertification scheme requirements.9.6.2 The certification body shall ensure during therecertification process that it confirms continuedcompetence of the certified person and ongoingcompliance with current scheme requirements bythe certified person.23

Clause 9 Certification processrequirements (cont’d)9.6(Cont’d)9.6.3 The recertification period shall be based upon thescheme requirements. The rationale for therecertification period shall take into account, whererelevant, the following:a)b)c)d)regulatory requirements;changes to normative documents;changes in the relevant scheme requirements;the nature and maturity of the industry or field inwhich the certified person is working;Clause 9 Certification processrequirements (cont’d)9.6.3 (Cont’d)e)the risks resulting from an incompetent person;f)ongoing changes in technology, and requirementsfor certified persons;g)requirements of interested parties;h)the frequency and content of surveillance activities,if required by the scheme.9.6.4 The selected recertification activity/activities shallbe adequate to ensure that there is impartialassessment to confirm the continuing competenceof the certified person.Clause 9 Certification processrequirements (cont’d)9.6.5 In accordance with the certification scheme,recertification by the certification body shallconsider at least the following:a)on-site assessment;b)professional development;c)structured interviews;d)confirmation of continuing satisfactory work andwork experience records.e)examination;f)checks on physical capability in relation to thecompetence concerned.24

Clause 9 Certification processrequirements (cont’d)9.7Use of certificates, logos and marks9.7.1 A certification body that provides a certificationmark or logo shall document the conditions for useand shall appropriately manage the rights for usageand representation.9.7.2 The certification body shall require that a certifiedperson signs an agreement for the followingreasons:a)to comply with the relevant provisions of thecertification scheme;Clause 9 Certification processrequirements (cont’d)9.7.2 (Cont’d)b)to make claims regarding certification only withrespect to the scope for which certification hasbeen granted;c)not to use the certification in such a manner as tobring the certification body into disrepute, and notto make any statement regarding the certificationwhich the certification body considers misleading orunauthorized;Clause 9 Certification processrequirements (cont’d)9.7.2 (Cont’d)d)to discontinue the use of all claims to certificationthat contain any reference to the certification bodyor certification upon suspension or withdrawal ofcertification, and to return any certificates issued bythe certification body;e)not to use the certificate in a misleading manner.9.7.3 A certification body shall address, by means ofcorrective measures, any misuse of its certificationmark or logo.25

Clause 9 Certification processrequirements (cont’d)9.8Appeals against decisions on certification9.8.1 The certification body shall have a documentedprocess to receive, evaluate and make decisionson appeals.The appeals-handling process shall include at leastthe following elements and methods:a)the process for receiving, validating andinvestigating the appeal, and for deciding whatactions are to be taken in response to it, taking intoaccount the results of previous similar appeals;Clause 9 Certification processrequirements (cont’d)9.8.1 (Cont’d)b)tracking and recording appeals, including actionsundertaken to resolve them;c)ensuring that, if applicable, appropriate correctionsand corrective actions are taken.9.8.2 The policies and procedures shall ensure that allappeals are dealt with in a constructive, impartialand timely manner.9.8.3 A description of the appeals-handling process shallbe publicly accessible without request.Clause 9 Certification processrequirements (cont’d)9.8.4 The certification body shall be responsible for alldecisions at all levels of the appeals-handlingprocess. The certification body shall ensure that thedecision-making personnel engaged in theappeals-handling process are different from thosewho were involved in the decision being appealed.9.8.5 Submission, investigation and decision on appealsshall not result in any discriminatory actions againstthe appellant.9.8.6 The certification body shall acknowledge receipt ofthe appeal and shall provide the appellant withprogress reports and the outcome.26

Clause 9 Certification processrequirements (cont’d)9.8.7 The certification body shall give formal notice to theappellant of the end of the appeals-handlingprocess. me.Clause 9 Certification processrequirements (cont’d)9.9Complaints9.9.1 The certification body shall have a documentedprocess to receive, evaluate and make decisionson complaints.9.9.2 A description of the complaints-handling processshall be accessible without request.The procedures shall treat all parties fairly andequitably.Clause 9 Certification processrequirements (cont’d)9.9.3 The policies and procedures shall ensure that allcomplaints are handled and processed in aconstructive, impartial and timely manner.The complaints-handling process shall include atleast the following elements and methods:a)an outline of the process for receiving, validating,investigating the complaint and deciding whatactions are to be taken in response to it;b)tracking and recording complaints, includingactions undertaken in response to th

ISO/IEC 17024 covers the following Clauses: 1 Scope 2 Normative references 3 Terms and definitions 4 General requirements 5 Structural requirements. 4 ISO/IEC 17024 – Overview (cont’d) 6 Resourc