ISO 17021: Accreditation for certification Body – Six Sigma Quality International

ISO 17021 is an international standard that specifies the requirements for bodies providing audit and certification of management systems. It provides a framework to ensure that certification bodies operate in a competent, consistent, and impartial manner.

Key Components of ISO 17021:

Scope: ISO 17021 applies to bodies that audit and certify various management systems, such as ISO 9001 (Quality Management Systems), ISO 14001 (Environmental Management Systems), ISO 27001 (Information Security Management Systems), and others.
Competence Requirements: It defines the skills, knowledge, and experience required for personnel conducting audits and those involved in the certification decision-making process. This includes education, professional experience, and auditor training.
Impartiality: The standard requires that certification bodies operate with impartiality, avoiding conflicts of interest. They must have processes to identify and mitigate risks to impartiality.
Audit Process: ISO 17021 sets out requirements for planning and conducting audits, including audit objectives, scope, and the audit team’s composition. It emphasizes the need for an effective audit program and proper audit documentation.
Certification Process: It outlines the process from the initial audit through the certification decision, including surveillance audits and recertification. It also requires procedures for handling complaints and appeals related to certification decisions.
Management Systems for Certification Bodies: The standard requires certification bodies to have an internal quality management system, similar to the systems they certify. This ensures they adhere to high-quality standards in their operations.

Accreditation for Certification Bodies:

Accreditation is the process by which an authoritative body, often a national or international accreditation body, assesses and validates that a certification body complies with ISO 17021 requirements. This process involves:

Assessment: An accreditation body conducts a thorough evaluation of the certification body’s processes, personnel, and audit practices to ensure compliance with ISO 17021.
Surveillance: Accreditation bodies typically conduct regular surveillance assessments to ensure ongoing compliance.
Scope of Accreditation: The accreditation body defines the scope of accreditation, indicating which types of management systems the certification body is authorized to audit and certify.

Benefits of ISO 17021 Accreditation:

Credibility and Trust: Accreditation provides assurance to clients and stakeholders that the certification body operates to a recognized standard of quality and impartiality.
Consistency and Reliability: It promotes consistent audit and certification processes, enhancing the reliability of certifications.
Global Recognition: Accredited certification bodies are recognized globally, facilitating international trade and cooperation.

Conclusion:

ISO 17021 is crucial for ensuring that certification bodies maintain high standards of competence, impartiality, and reliability. Accreditation according to this standard enhances the credibility of certifications, contributing to improved quality and trust in management systems certification.

What is required ISO 17021: Accreditation for certification Body

Accreditation for a certification body under ISO 17021 requires demonstrating compliance with the standard’s comprehensive set of requirements. These requirements ensure that certification bodies operate with competence, consistency, and impartiality while auditing and certifying management systems. Here’s an overview of the key requirements for accreditation under ISO 17021:

1. Competence

Personnel Qualification: Certification bodies must ensure that their audit personnel have appropriate education, training, experience, and knowledge related to the relevant management systems.
Audit Teams: Audit teams must be composed of individuals with the necessary competence to evaluate the specific type of management system, considering industry sectors and technical complexities.
Continuous Development: Certification bodies should have mechanisms for ongoing training and development of auditors to maintain and enhance competence.

2. Impartiality and Objectivity

Impartiality Policy: The certification body must establish and document policies to ensure impartiality in all its operations.
Conflict of Interest: Processes must be in place to identify and mitigate conflicts of interest, ensuring no undue influence impacts certification decisions.
Commitment to Impartiality: Certification bodies must be able to demonstrate their commitment to impartiality through their structure, procedures, and governance.

3. Certification Process

Audit Planning: Certification bodies must plan audits thoroughly, considering the audit’s objectives, scope, and criteria.
Audit Execution: Audits should be conducted following a defined process, including collecting evidence, interviewing relevant personnel, and reviewing documents.
Certification Decisions: Certification decisions must be based on objective evidence and separate from audit activities to ensure impartiality.
Surveillance and Recertification: Certification bodies should have procedures for ongoing surveillance and recertification audits to ensure continued compliance.

4. Management System

Quality Management System: Certification bodies must maintain a quality management system (e.g., ISO 9001 or equivalent) that covers their internal processes and ensures consistent operations.
Documented Procedures: All key processes, such as audit procedures, certification decisions, and complaints handling, must be documented and accessible.
Records Management: Certification bodies must keep detailed records of audits, certification decisions, complaints, and other relevant activities.

5. Appeals and Complaints Handling

Appeals Process: Certification bodies must have a clear process for handling appeals against certification decisions, ensuring fairness and transparency.
Complaints Handling: There must be a defined procedure for receiving, investigating, and resolving complaints from clients or other stakeholders.

6. Risk Management

Risk Identification: Certification bodies should have a process to identify and assess risks that could impact their impartiality and effectiveness.
Mitigation Measures: Once risks are identified, appropriate measures must be implemented to mitigate them.

7. Accreditation Process

To become accredited, a certification body must undergo an evaluation by an accreditation body. This involves:

Assessment: A thorough assessment of the certification body’s operations to ensure compliance with ISO 17021.
Surveillance Audits: Regular follow-up audits by the accreditation body to ensure ongoing compliance.
Scope Definition: Determining the specific scope of accreditation, indicating the types of management systems and industries the certification body is authorized to certify.

By fulfilling these requirements, a certification body can achieve accreditation under ISO 17021, demonstrating its competence, impartiality, and commitment to high standards in the certification of management systems.

Who is required ISO 17021: Accreditation for certification Body

Accreditation under ISO 17021 is primarily required by certification bodies that provide audit and certification services for various management systems. These bodies are responsible for assessing whether an organization complies with specific standards, such as ISO 9001 (Quality Management), ISO 14001 (Environmental Management), ISO 27001 (Information Security Management), ISO 45001 (Occupational Health and Safety), among others.

Who Requires ISO 17021 Accreditation:

Certification Bodies: Organizations that conduct audits and grant certifications to other organizations based on their compliance with specific management system standards need ISO 17021 accreditation. This ensures that they have the requisite competence, impartiality, and consistency in their processes.

Why ISO 17021 Accreditation Is Important:

Credibility and Trust: Accreditation by a recognized accreditation body gives certification bodies credibility, assuring their clients and stakeholders that the certification process is reliable and impartial.
Global Recognition: Accreditation under ISO 17021 is recognized globally, allowing certification bodies to operate internationally and facilitating trade and cooperation across borders.
Quality Assurance: ISO 17021 sets high standards for auditing and certification, ensuring that certified organizations maintain robust management systems that meet international standards.
Regulatory and Industry Requirements: In some industries and regions, having ISO 17021 accreditation is a prerequisite for providing certification services. It might also be required by customers or regulatory bodies to ensure quality and safety.

Organizations That Benefit from ISO 17021 Accreditation:

While accreditation is required for certification bodies, several other stakeholders benefit from certification bodies with ISO 17021 accreditation:

Certified Organizations: Companies and organizations seeking certification to demonstrate compliance with a particular standard rely on accredited certification bodies to ensure their certifications are meaningful and recognized.
Customers and Clients: Clients and customers of certified organizations can trust that the certifications are valid and reliable, given the rigorous requirements of ISO 17021.
Regulatory Authorities: Governments and regulatory bodies often prefer or require certifications from accredited certification bodies to ensure compliance with safety, quality, and environmental regulations.
Industry Groups and Associations: Industry groups may require their members to obtain certifications from accredited bodies to ensure consistency and credibility across the industry.

In summary, ISO 17021 accreditation is crucial for certification bodies to establish their credibility, competence, and impartiality. It assures stakeholders that the certification process is consistent with international standards and supports the broader goals of quality, safety, and environmental sustainability.

When is required ISO 17021: Accreditation for certification Body

ISO 17021 accreditation is required or recommended for certification bodies in various contexts to ensure that the certification process is carried out with competence, impartiality, and consistency. Here are some scenarios where ISO 17021 accreditation is required or strongly encouraged:

1. Regulatory Compliance

In some jurisdictions or industries, accreditation under ISO 17021 is required by law or regulation. Regulatory authorities might mandate that certification bodies be accredited to ensure that certification practices meet a recognized standard of quality.

2. Industry-Specific Requirements

Certain industries, such as aerospace, automotive, and pharmaceuticals, often have strict certification requirements for safety and quality. These industries may require certification bodies to be accredited to ISO 17021 to ensure the reliability of the certification process.

3. International Trade and Recognition

Organizations that operate globally or engage in international trade often prefer certification bodies that are accredited under ISO 17021. This accreditation ensures global recognition and consistency, facilitating business operations across different regions.

4. Customer or Client Expectations

Customers or clients might require that certification bodies be accredited to ensure that their certification is valid and reliable. This is especially common when customers rely on certified suppliers for their quality assurance or environmental standards.

5. Quality Management Systems

Organizations implementing management systems (e.g., ISO 9001, ISO 14001, ISO 27001, ISO 45001, etc.) often seek certification from accredited bodies to ensure their certification is recognized and credible. These organizations may require certification bodies to be ISO 17021 accredited to validate their management systems.

6. Industry Associations and Certifications

Industry associations may require certification bodies to be accredited to ISO 17021 to ensure that all certified members meet consistent standards. This requirement helps maintain industry credibility and trust in certification.

7. Public Trust and Confidence

Accreditation to ISO 17021 ensures that certification bodies are competent, impartial, and consistent. This leads to greater public trust and confidence in the certification process, which is critical for maintaining high standards of quality and safety.

Conclusion

ISO 17021 accreditation is required or recommended in various scenarios to ensure that certification bodies operate to a high standard. It is often required for regulatory compliance, industry-specific needs, customer expectations, and international recognition. Organizations seeking certification and stakeholders involved in certification processes rely on ISO 17021-accredited certification bodies to ensure consistent, reliable, and credible certification practices.

Where is required ISO 17021: Accreditation for certification Body

ISO 17021 accreditation is required or recommended wherever there is a need for certification bodies to provide reliable, competent, and impartial certification of management systems. Here are key places and contexts where ISO 17021 accreditation is typically required or highly valued:

1. Certification Bodies Operating Worldwide

Certification bodies that offer services internationally or across different regions need ISO 17021 accreditation to ensure their certification processes are consistent and globally recognized.

2. Regulated Industries

In industries where safety, quality, and compliance are critical—such as aerospace, automotive, healthcare, and food production—ISO 17021 accreditation may be required by regulations or industry standards to ensure rigorous certification practices.

3. International Trade

Accredited certification bodies are often required when dealing with international trade. Organizations exporting goods or services must often comply with various international standards, and accreditation ensures their certification is recognized across borders.

4. Government and Regulatory Bodies

Government and regulatory agencies might require ISO 17021 accreditation for certification bodies to ensure certifications meet specific quality and compliance requirements. This is common in sectors like construction, energy, and environmental management.

5. Industry Associations and Professional Bodies

Industry associations often require that certification bodies be ISO 17021 accredited to maintain consistency and reliability among certified members. This is particularly important in industries that rely on professional certification for quality assurance.

6. Large Organizations and Multinationals

Large organizations or multinational corporations often prefer working with ISO 17021-accredited certification bodies to ensure consistent certification standards across their global operations.

7. Supply Chain and Procurement

Companies with complex supply chains may require suppliers to be certified by ISO 17021-accredited certification bodies. This ensures quality and compliance throughout the supply chain.

8. Quality Management Systems

Organizations implementing quality management systems (e.g., ISO 9001), environmental management systems (e.g., ISO 14001), or other management systems (e.g., ISO 45001, ISO 27001, etc.) may require certification from accredited bodies to ensure their certification is recognized and credible.

Conclusion

ISO 17021 accreditation for certification bodies is required or highly valued in many contexts, including international trade, regulated industries, supply chain management, and professional associations. This accreditation ensures that certification bodies maintain high standards of competence, impartiality, and consistency, ultimately enhancing the credibility and reliability of certified management systems.

How is required ISO 17021: Accreditation for certification Body

ISO 17021 accreditation is required for certification bodies to demonstrate competence, impartiality, and consistency in their certification processes. To obtain accreditation, a certification body must undergo a comprehensive assessment by an accreditation body to ensure compliance with ISO 17021’s requirements. Here’s how ISO 17021 accreditation is obtained and maintained:

1. Preparation for Accreditation

Certification bodies must prepare for accreditation by ensuring they meet all the requirements of ISO 17021. This involves:

Establishing a Quality Management System: The certification body should have a documented system that defines its processes and procedures for auditing and certification.
Ensuring Competence: The certification body must have qualified personnel, including auditors, technical experts, and certification decision-makers.
Maintaining Impartiality: It should implement mechanisms to ensure impartiality and manage conflicts of interest.

2. Initial Accreditation Assessment

The process of obtaining ISO 17021 accreditation typically involves the following steps:

Application for Accreditation: The certification body applies to an accreditation body, providing information about its scope of certification and processes.
Documentation Review: The accreditation body reviews the certification body’s documentation, including its quality management system, audit processes, and other relevant materials.
On-Site Assessment: The accreditation body conducts an on-site assessment to evaluate the certification body’s operations, including observing audits, reviewing records, and interviewing personnel.
Corrective Actions: If any non-conformities or areas for improvement are identified, the certification body must address them through corrective actions and demonstrate compliance.

3. Accreditation Decision

After the assessment, the accreditation body decides whether to grant accreditation. This decision is based on the certification body’s compliance with ISO 17021 requirements, including:

Competence and Qualification: The certification body must demonstrate that it has qualified personnel and technical expertise for the scope of certification.
Impartiality and Objectivity: It should have processes to ensure impartiality and manage risks.
Audit Processes: The audit process should be robust, consistent, and aligned with ISO 17021’s requirements.
Complaints and Appeals Handling: There should be a defined process for managing complaints and appeals.

4. Surveillance and Reassessment

After obtaining accreditation, the certification body must maintain compliance with ISO 17021. This involves:

Surveillance Audits: The accreditation body conducts periodic surveillance audits to ensure ongoing compliance.
Reassessment: After a certain period (usually every three to five years), the accreditation body conducts a comprehensive reassessment to renew accreditation.
Continuous Improvement: The certification body should continually improve its processes, addressing any feedback from surveillance audits or complaints.

5. Scope of Accreditation

The accreditation body defines the scope of accreditation, indicating which types of management systems the certification body is authorized to certify. This scope must be clearly defined and maintained.

Conclusion

ISO 17021 accreditation for certification bodies is achieved through a rigorous process involving documentation review, on-site assessments, corrective actions, and ongoing surveillance. It ensures that certification bodies operate with competence, impartiality, and consistency, providing reliable certification services to their clients and stakeholders.

Case Study on ISO 17021: Accreditation for certification Body

Sure, here’s a case study exploring how a certification body can achieve accreditation under ISO 17021, illustrating the process, challenges, and benefits involved:

Case Study: “CertPro Services” Achieving ISO 17021 Accreditation

Background CertPro Services is a certification body specializing in auditing and certifying organizations according to various management system standards, including ISO 9001 (Quality Management), ISO 14001 (Environmental Management), and ISO 27001 (Information Security). With a growing client base, CertPro recognized the need to demonstrate its credibility, competence, and impartiality by obtaining ISO 17021 accreditation.

Phase 1: Preparation for Accreditation

CertPro began by assessing its existing processes and identifying gaps in compliance with ISO 17021. The initial steps included:

Quality Management System (QMS) Development: CertPro established a QMS to document all its processes, from audit planning to certification decisions. They ensured their QMS was in line with ISO 17021 requirements.
Competence and Training: The company conducted a skills gap analysis among its auditors and other key personnel. They organized training sessions to ensure all staff were qualified to meet ISO 17021 standards.
Impartiality and Conflict of Interest: CertPro implemented policies to ensure impartiality and established an impartiality committee to oversee and address any conflicts of interest.

Phase 2: Application and Initial Assessment

After preparing, CertPro applied to a recognized accreditation body for ISO 17021 accreditation. The process involved:

Documentation Review: The accreditation body reviewed CertPro’s QMS documentation, ensuring all required processes were in place and met ISO 17021 standards.
On-Site Assessment: The accreditation body conducted an on-site assessment, observing audits and interviewing staff to verify compliance with ISO 17021 requirements.

During the assessment, the accreditation body identified a few non-conformities:

Audit Documentation: Some audit records lacked sufficient detail, requiring a more thorough description of evidence and findings.
Appeals Process: The process for handling appeals against certification decisions needed more clarity and transparency.

CertPro addressed these issues by refining its audit documentation process and clearly defining the appeals process. After implementing corrective actions, they submitted the revised documentation to the accreditation body.

Phase 3: Accreditation and Surveillance

Following the corrective actions, the accreditation body granted ISO 17021 accreditation to CertPro. The scope of accreditation covered the certification of ISO 9001, ISO 14001, and ISO 27001 management systems. This accreditation validated CertPro’s competence, impartiality, and reliability in certification activities.

To maintain accreditation, CertPro had to:

Conduct Regular Surveillance Audits: The accreditation body conducted annual surveillance audits to ensure ongoing compliance with ISO 17021.
Continuous Improvement: CertPro implemented a system for continuous improvement, using feedback from audits and surveillance to enhance their processes.

Benefits and Impact

With ISO 17021 accreditation, CertPro experienced several benefits:

Increased Credibility: Accreditation provided clients and stakeholders with confidence in CertPro’s certification services, leading to an increase in business.
Global Recognition: CertPro’s ISO 17021 accreditation allowed them to expand their services internationally, reaching new markets and clients.
Enhanced Quality and Consistency: The accreditation process improved CertPro’s internal processes, leading to more consistent and reliable audit outcomes.

CertPro’s successful journey to ISO 17021 accreditation demonstrates the importance of comprehensive preparation, continuous improvement, and the benefits of operating within a recognized framework for certification bodies.

White paper on ISO 17021: Accreditation for certification Body

White Paper: ISO 17021 – Accreditation for Certification Bodies

Abstract

ISO 17021 is a crucial international standard designed to ensure that certification bodies operate with competence, impartiality, and consistency when providing audit and certification services for various management systems. This white paper explores the key requirements of ISO 17021, the process of obtaining accreditation, the benefits of accreditation for certification bodies, and its impact on industries, regulatory frameworks, and global trade.

Introduction

Certification bodies play a vital role in certifying organizations against various international standards, such as ISO 9001 (Quality Management), ISO 14001 (Environmental Management), and ISO 27001 (Information Security Management). ISO 17021 establishes a robust framework to guide certification bodies in maintaining high standards of operation. Accreditation under ISO 17021 provides assurance to clients, stakeholders, and regulators that certification bodies are competent, impartial, and consistent in their certification processes.

ISO 17021: Key Components

ISO 17021 encompasses several core elements that certification bodies must address to achieve accreditation. These elements form the foundation for reliable certification practices and ensure consistency across certification bodies:

Scope and Competence: Certification bodies must define their scope of certification and ensure their auditors possess the requisite knowledge, skills, and experience for conducting audits. A thorough training program and continuous development are essential for maintaining competence.
Impartiality and Objectivity: To ensure the integrity of the certification process, certification bodies must establish policies and procedures to manage conflicts of interest and maintain impartiality. This includes creating an impartiality committee to oversee operations.
Audit and Certification Process: The certification process must be well-defined, encompassing audit planning, execution, reporting, certification decisions, and surveillance. Certification bodies must maintain accurate documentation and implement clear procedures for handling complaints and appeals.
Quality Management System (QMS): Certification bodies must implement a QMS to ensure consistent operations. This includes processes for continuous improvement, internal audits, and addressing non-conformities.

Achieving ISO 17021 Accreditation

Obtaining ISO 17021 accreditation involves a multi-step process that assesses a certification body’s compliance with the standard’s requirements. The typical steps include:

Application and Documentation Review: Certification bodies apply for accreditation, providing information about their scope and processes. The accreditation body reviews the QMS documentation to ensure it aligns with ISO 17021.
On-Site Assessment: The accreditation body conducts an on-site assessment to evaluate the certification body’s operations, audit practices, and personnel competence.
Corrective Actions and Accreditation Decision: If non-conformities are identified, the certification body must implement corrective actions. The accreditation body then decides whether to grant accreditation.
Surveillance and Reassessment: After accreditation, the accreditation body conducts regular surveillance audits to ensure ongoing compliance. Reassessments are typically conducted every three to five years to maintain accreditation.

Benefits of ISO 17021 Accreditation

ISO 17021 accreditation offers numerous benefits for certification bodies and their stakeholders:

Credibility and Trust: Accreditation ensures that certification bodies operate with high standards, enhancing their credibility and building trust with clients and stakeholders.
Consistency and Reliability: Accredited certification bodies follow standardized processes, leading to consistent and reliable certification outcomes.
Global Recognition: ISO 17021 accreditation is recognized internationally, facilitating global trade and cooperation.
Regulatory Compliance: In many industries, regulatory bodies require certification from ISO 17021-accredited certification bodies to ensure compliance with specific standards.

Impact on Industries and Global Trade

ISO 17021 accreditation has a significant impact on various industries and global trade by ensuring that certification bodies provide reliable and consistent certification services. This standardization fosters trust in certified organizations, which is crucial for industries where safety, quality, and compliance are paramount.

Furthermore, ISO 17021 accreditation enables certification bodies to operate internationally, promoting cross-border trade and cooperation. It also supports regulatory bodies in enforcing compliance with safety, quality, and environmental standards.

Conclusion

ISO 17021 accreditation for certification bodies is a critical aspect of ensuring competence, impartiality, and consistency in certification processes. It enhances credibility, fosters trust, and facilitates global recognition. By adhering to ISO 17021, certification bodies can maintain high standards of operation, providing stakeholders with reliable certification services and contributing to the broader goals of quality, safety, and sustainability.