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Briefing on the technical activities of CASCO

Briefing on the technical activities of CASCO. 2010.06.16 Wellington. ISO/IEC DIS 7021-2. DIS title: ISO/IEC 17021-2

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Briefing on the technical activities of CASCO

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  1. Briefing on the technical activities of CASCO 2010.06.16 Wellington

  2. ISO/IEC DIS 7021-2 DIS title: ISO/IEC 17021-2 Conformity assessment — Requirements for bodies providing audit and certification of management systems and requirements for third-party certification auditing of management systems — Part 2: Requirements for third party certification auditing of management systems

  3. ISO/IEC DIS17021-2 Results of ISO/IEC DIS 17021-2: • Voting period: 2009-09-17 ~ 2010-02-17 • Voting result: • Approved ISO P-Members voting: 54 in favor out of 63 = 86 % (requirement >= 66.66%, P-Members having abstained are not counted in this vote) • 512 comments received

  4. ISO/IEC DIS 17021-2 2010 Mar. 3-5, Geneva, CASCO/WG21 Drafting Group meeting Purpose: • Preliminary discussion on the 512 comments on DIS • Proposing revisions to DIS to WG21 plenary meeting, based on DG consensus Participants: 11 persons • WG21 Co-conveners: Randy Dougherty (ANAB, USA / IAF Chair) Alister Dalrymple (AFNOR, FR / TC176 WG revising ISO 19011) • ISO/CASCO Secretaries: Sean MacCurtain, Joyce Bleeker (Ms.) • Iain Muir (SABS, SA / TC176 WG revising ISO 19011), Gerhard Persson (SIS, SE), Roger Bennet (IIOC), Alex Ezrakmovich (SAI Global, AU), Faycal Bellatif (GFSI), Casper van Erp (RvA, NL), Fei Yang (CNAS, CN)

  5. ISO/IEC DIS 17021-2 2010 Mar. 3-5, CASCO/WG21 Drafting Group meeting CASCO Resolution 18/2009 - CASCO WG 21 CASCO notes that WG 21 has incorporated ISO/IEC 17021 Part 2 into ISO/IEC 17021:2006 making only minor modifications to ISO/IEC 17021:2006 necessary to accommodate ISO/IEC 17021 Part 2; agrees that the above document will be published as ISO/IEC 17021:20xx replacing the former ISO/IEC 17021:2006; and requests the first systematic review of ISO/IEC 17021:20xx commences one year after publication. Comment: • IAF transition arrangements for new ISO/IEC 17021 • End 2011/early 2012 systematic review of new ISO/IEC 17021

  6. ISO/IEC DIS 17021-2 CASCO/WG21 DG Meeting Outcomes • New title: ISO/IEC 17021 Conformity assessment - Requirements for bodies providing audit and certification of management systems and requirements for third-party certification auditing of management • A few new defintions • Substantial part - auditing process (cl. 9), based on 19011 • For competence management • Only two new sub-clauses: • 7.1.2 – Determination of competence criteria • 7.1.3 – Evaluation process • The others are all in Annexes • Annex A (Normative) - Types of knowledge and Skills • Annex B (Informative) - Possible evaluation methods • Annex C (Informative) - Example of a process flow for determining and maintaining competence • Annex D (Informative) - Desired personal behaviour

  7. ISO/IEC DIS 17021-2 CASCO RESOLUTION 10/2009 Auditor specific requirements CASCO notes the report in Annex 2 of CASCO 46/2009 Rev1; and agrees that a Joint Working Group (JWG) with joint convenorship composed of the relevant ISO Technical Committee and CASCO should develop, as appropriate, management system auditor specific competency requirements and that CASCO members be requested to indicate their preference for either the Technical Committee or CASCO maintaining leadership of the JWG.

  8. ISO/IEC DIS 17021-2 CASCO/WG21 DG Meeting Outcomes • Definitions • Competence – demonstrated ability to apply knowledge and skills to achieve intended results • Technical area - area characterized by commonalities of processes relevant to a specific type of management system • New note to 7.1.2 for ISMS: For an information security management system standard, the term ‘technical area’ is related, among others, to the categories of information security technologies and practices, ICT and business activities related to the selection of adequate and proportionate security controls that protect information assets • Change “personal attributes” to “desired personal behaviors” 7.2.4 … The initial competence evaluation of an auditor shall include applicable personal attributes and the ability to apply required knowledge and skills during audits

  9. ISO/IEC DIS 17021-2 CASCO/WG21 DG Meeting Outcomes • Annex A – Normative - Required types of knowledge and skills

  10. Next 8th meeting of WG21, 2010-06-28, 29, 30, Geneva Hopefully, FDIS may be out of ballot around Aug. Publication by the end of 2010

  11. ISO/IEC CD 17065 Conformity assessment — Requirements for certification bodies certifying products, processes and services • CASCO/WG29: nearly 50 members enlisted • CASCO/WG 29/Drafting Group: around 20 persons • Retired convener: Mario O. Wittner (AR) • New convener: Christian Priller (DIN, DE)

  12. ISO/IEC CD 17065 consultation 2009-10-01 - 2010-02-01 CD Contents: • The main elements of the existing Guide 65, drafted according with the new structure. • The alignment with the Common Elements PAS’s (17001 - 17005). • The clarification of the uses of the document for services and processes, not only for products. • The experience of more than 12 years using Guide 65.

  13. ISO/IEC CD 17065 Conformity assessment — Requirements for certification bodies certifying products, processes and services Introduction 1 Scope 2 Normative references 3 Terms and definitions 3.1 Client 3.2 Consultancy 3.3 Evaluation 3.4 Product 3.5 Process 3.6 Service 3.7 Certification requirement 3.8 Product requirement 3.9 Certification decision 3.10 Certification system 3.11 Certification scheme 3.12 Organizational control 3.13 Justification 3.14 Scope of certification 3.15 Certification scheme owner 4 Principles 4.1 General 4.2 Impartiality 4.3 Competence 4.4 Confidentiality and openness 4.4.1 Confidentiality 4.4.2 Openness 4.4.3 Access to information 4.5 Responsiveness to complaints and appeals 4.6 Responsibility 5 General requirements 5.1 Legal and contractual matters 5.1.1 Legal responsibility 5.1.2 Certification agreement 5.1.3 Responsibility for certification decisions 5.1.4 Use of license, certificates and marks of conformity 5.2 Management of impartiality 5.3 Liability and financing 5.4 Non-discriminatory conditions

  14. ISO/IEC CD 17065 Conformity assessment — Requirements for certification bodies certifying products, processes and services 9 Process requirements (for operating of a certification scheme 9.1 Application 9.2 Application review 9.3 Evaluation 9.4 Review 9.5 Certification decision 9.6 Certification documentation 9.7 Surveillance 9.8 Changes affecting certification 9.9 Termination, reduction, suspension or withdrawal of certification 9.10 Records 9.11 Appeals 9.12 Complaints 6 Structural requirements 6.1 Organizational structure and top management 6.2 Mechanism for safeguarding impartiality 7 Resource requirements 7.1 Certification body personnel 7.1.1 General 7.1.2 Management of competence for personnel involved the certification process 7.1.3 Contract with the personnel 7.2 Internal evaluation resources 7.3 Outsourcing 8 Information requirements 8.1 Publicly available information 8.2 Standards and other normative documents 8.3 Certification documentation 8.4 Directory 8.5 Confidentiality

  15. ISO/IEC CD 17065 Conformity assessment — Requirements for certification bodies certifying products, processes and services 10 Management system requirements for certification bodies 10.1 General 10.2 Management system documentation 10.3 Control of documents 10.4 Control of records 10.5 Management review 10.5.1 General 10.5.2 Review inputs 10.5.3 Review outputs 10.6 Internal audits 10.7 Corrective actions 10.8 Preventive actions Annex A (informative) Correlation of Section 9 Clauses with the Functional Approach to Conformity Assessment as Described in ISO/IEC 17000 Annex B (informative) Guidelines for product certification schemes Bibliography

  16. ISO/IEC CD 17065 1037 comments, 173 pages 2010 Apr. 7-9, Geneva, CASCO/WG29 meeting • Also a webinar • Very well chaired and coordinated by the convener and the CASCO Secretaries, considering the size of the WG and the awful quantity of comments • Constructive discussion and willing to understand and compromise • Esp. the “Hot potatoes” approach

  17. “Hot Potatoes” in ISO/IEC CD 17065

  18. “Hot Potatoes” in ISO/IEC CD 17065

  19. “Hot Potatoes” in ISO/IEC CD 17065

  20. “Hot Potatoes” in ISO/IEC CD 17065

  21. “Hot Potatoes” in ISO/IEC CD 17065

  22. Next 2010-7 (?) 4th DG meeting to do editorial work, then circulate the revised draft among WG29 members 2010-8CD2 out for ballot for 3 months 2011-01-10 & 11 5th DG meeting (also web meeting) 2011-025th WG29 meeting 2011-06DIS out for ballot for 5 months (closing 2011-11) 2012-026th WG29 meeting 2012-? FDIS out for vote for 2 months

  23. CASCO WG meeting on WEB • more visibility of CASCO activities at WG levels • more attention and participation from member bodies in CASCO's technical work, esp. those of developing countries • more meaningful and constructive comments and inputs from member bodies regarding particular standard, so as to improve the quality and efficiency of CASCO standard development. Suggestion: contact your national standardization body or national committee interfacing with CASCO

  24. CASCO WG meeting on WEB 2010-04-07~09 WG29 on 17065 CD 2010-06-28~30 WG21 on 17021-2 DIS More, incl. CASCO Plenary and workshop • Available to WG members who cannot attend the physical meeting • First, dial the telephone in the physical meeting room, then following the instructions to input your number and hang up. Then CASCO will call you back at CASCO’s cost. (I just dialed the meeting room number through SKYPE without hanging-up and having CASCO call back, so that I can use many convenient facilities provided by the SKYPE e.g. recording) • But, in my opinion, it is possible to open to non-WG members if they are willing to pay the phone cost themselves, instead of by CASCO. Actually, SKYPE is very cheap, one day’s meeting only cost you around USD 10.00

  25. Other activities in CASCO • Interpretations of CASCO Standards • Interpretation process handled by Chairman’s Policy and Coordination Group (CPC) • Final approval by CASCO member bodies • http://www.iso.org/iso/resources/conformity_assessment/casco-interpretations.htm • Interpretation on clauses 8.3.1, 8.3.2 d and 8.3.2 e of ISO/IEC 17011:2004 (February 2010) • Interpretation on clause 15 of ISO/IEC Guide 65:1996 (August 2009) • Interpretation on clause 6.2.1 of ISO/IEC 17021:2006 (July 2009) • Interpretation request – ISO/IEC 17021:2006 clauses 7.5.2, 8.2.3 and 7.2.4/7.2.7 (April 2010) • Interpretation request – ISO/IEC 17021:2006 clause 8.3 (recently)

  26. Other activities in CASCO • CASCO/WG32 - ISO/IEC 17067 Conformity assessment – Fundamentals of product certification that will combine: • ISO/IEC Guide 23:1982 Methods of indicating conformity with standards for third-party certification systems • ISO Guide 27:1983 Guidelines for corrective action to be taken by a certification body in the event of misuse of its mark of conformity • ISO/IEC Guide 28:2004 Conformity assessment -- Guidance on a third-party certification system for products • ISO/IEC Guide 53:2005 Conformity assessment -- Guidance on the use of an organization's quality management system in product certification • ISO/IEC Guide 67:2004 Conformity assessment -- Fundamentals of product certification

  27. Other activities in CASCO • CASCO/WG30 - ISO/IEC 17024 revision • Convener: Cynthia D. Woodley • 2nd meeting on 22-24 July, Geneva • Drafting group meeting 28-29 September, Geneva. • 3rd meeting for 22-24 February 2010, Geneva • Committee Draft to go out for review by April 2010.

  28. CASCO/WG33 – ISO/TS 17022 Third party management system audit report Other activities in CASCO To develop a TS (Technical Specification) document to provide minimum requirements and additional recommendations for content of a 3rd party certification audit report on management system standards which meet the needs and expectations of the interested parties: certified client, certification bodies, accreditation bodies and other potential users as indicated in ISO/IEC 17021:2006.

  29. Remaining events of 2010 and Road map till 2014

  30. Thank You

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