ASTM ISO IEC17024-2012 Conformity assessment&8212 General requirements for bodies operating certification of persons《合格评定 人员认证操作机构的通用要求》.pdf

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2、NTERNATIONAL STANDARD ISO/IEC 17024 Second edition 2012-07-01 Conformity assessment General requirements for bodies operating certification of persons valuation de la conformit Exigences gnrales pour les organismes de certification procdant la certification de personnes ISO/IEC 17024:2012(E) COPYRIG

3、HT PROTECTED DOCUMENT ISO 2012 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or

4、 ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ii ISO 2012 All rights reserved ISO/IEC 17024:2012(E) ISO 2012 All rights reserved i

5、ii Contents Page Foreword iv Introduction . v 1 Scope 1 2 Normative references 1 3 Terms and definitions . 1 4 General requirements . 3 4.1 Legal matters . 3 4.2 Responsibility for decision on certification 3 4.3 Management of impartiality 4 4.4 Finance and liability 4 5 Structural requirements 4 5.

6、1 Management and organization structure 4 5.2 Structure of the certification body in relation to training 5 6 Resource requirements 5 6.1 General personnel requirements . 5 6.2 Personnel involved in the certification activities . 6 6.3 Outsourcing . 7 6.4 Other resources . 7 7 Records and informatio

7、n requirements 7 7.1 Records of applicants, candidates and certified persons 7 7.2 Public information . 8 7.3 Confidentiality 8 7.4 Security. 8 8 Certification schemes . 9 9 Certification process requirements . 10 9.1 Application process 10 9.2 Assessment process . 10 9.3 Examination process 11 9.4

8、Decision on certification . 11 9.5 Suspending, withdrawing or reducing the scope of certification 12 9.6 Recertification process . 12 9.7 Use of certificates, logos and marks . 13 9.8 Appeals against decisions on certification 14 9.9 Complaints . 14 10 Management system requirements . 15 10.1 Genera

9、l . 15 10.2 General management system requirements. 15 Annex A (informative) Principles for certification bodies for persons and their certification activities . 19 Bibliography 21 ISO/IEC 17024:2012(E) iv ISO 2012 All rights reserved Foreword ISO (the International Organization for Standardization)

10、 and IEC (the International Electrotechnical Commission) form the specialized system for worldwide standardization. National bodies that are members of ISO or IEC participate in the development of International Standards through technical committees established by the respective organization to deal

11、 with particular fields of technical activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the field of conformity assessment, the ISO Comm

12、ittee on conformity assessment (CASCO) is responsible for the development of International Standards and Guides. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. Draft International Standards are circulated to the national bodies for voting. P

13、ublication as an International Standard requires approval by at least 75 % of the national bodies casting a vote. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such pa

14、tent rights. ISO/IEC 17024, was prepared by the ISO Committee on conformity assessment (CASCO). It was circulated for voting to the national bodies of both ISO and IEC, and was approved by both organizations. This second edition cancels and replaces the first edition (ISO/IEC 17024:2003), which has

15、been technically revised. ISO/IEC 17024:2012(E) ISO 2012 All rights reserved v Introduction This International Standard has been developed with the objective of achieving and promoting a globally accepted benchmark for organizations operating certification of persons. Certification for persons is on

16、e means of providing assurance that the certified person meets the requirements of the certification scheme. Confidence in the respective certification schemes for persons is achieved by means of a globally accepted process of assessment and periodic re-assessments of the competence of certified per

17、sons. However, it is necessary to distinguish between situations where certification schemes for persons are justified and situations where other forms of qualification are more appropriate. The development of certification schemes for persons, in response to the ever increasing velocity of technolo

18、gical innovation and growing specialization of personnel, can compensate for variations in education and training and thus facilitate the global job market. Alternatives to certification can still be necessary in positions where public services, official or governmental operations are concerned. In

19、contrast to other types of conformity assessment bodies, such as management system certification bodies, one of the characteristic functions of the certification body for persons is to conduct an examination, which uses objective criteria to measure competence and scoring. While it is recognized tha

20、t such an examination, if well planned and structured by the certification body for persons, can substantially serve to ensure impartiality of operations and reduce the risk of a conflict of interest, additional requirements have been included in this International Standard. In either case, this Int

21、ernational 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. Only the harmonization of the system for developin

22、g and maintaining certification schemes for persons can establish the environment for mutual recognition and the global exchange of personnel. This International Standard specifies requirements which ensure that certification bodies for persons operating certification schemes for persons operate in

23、a consistent, comparable and reliable manner. The requirements in this International Standard are considered to be general requirements for bodies providing certification of persons. Certification of persons can only occur when there is a certification scheme. The certification scheme is designed to

24、 supplement the requirements included in this International Standard and include those requirements that the market needs or desires, or that are required by governments. This International Standard can be used as a criteria document for accreditation or peer evaluation or designation by governmenta

25、l authorities, scheme owners and others. In this International Standard, the following verbal forms are used: “shall” indicates a requirement; “should” indicates a recommendation; “may” indicates a permission; “can” indicates a possibility or a capability. Further details can be found in the ISO/IEC

26、 Directives, Part 2. INTERNATIONAL STANDARD ISO/IEC 17024:2012(E) ISO 2012 All rights reserved 1 Conformity assessment General requirements for bodies operating certification of persons 1 Scope This International Standard contains principles and requirements for a body certifying persons against spe

27、cific requirements, and includes the development and maintenance of a certification scheme for persons. NOTE For the purposes of this International Standard, the term “certification body“ is used in place of the full term “certification body for persons“, and the term “certification scheme“ is used

28、in place of the full term “certification scheme for persons”. 2 Normative references The following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document

29、(including any amendments) applies. ISO/IEC 17000, Conformity assessment Vocabulary and general principles 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO/IEC 17000 and the following apply. 3.1 certification process activities by which a certificatio

30、n body determines that a person fulfils certification requirements (3.3), including application, assessment, decision on certification, recertification and use of certificates (3.5) and logos/marks 3.2 certification scheme competence (3.6) and other requirements related to specific occupational or s

31、killed categories of persons NOTE For other requirements, see 8.3 and 8.4. 3.3 certification requirements set of specified requirements, including requirements of the scheme to be fulfilled in order to establish or maintain certification 3.4 scheme owner organization responsible for developing and m

32、aintaining a certification scheme (3.2) NOTE The organization can be the certification body itself, a governmental authority, or other. ISO/IEC 17024:2012(E) 2 ISO 2012 All rights reserved 3.5 certificate document issued by a certification body under the provisions of this International Standard, in

33、dicating that the named person has fulfilled the certification requirements (3.3) NOTE See 9.4.7. 3.6 competence ability to apply knowledge and skills to achieve intended results 3.7 qualification demonstrated education, training and work experience, where applicable 3.8 assessment process that eval

34、uates a persons fulfilment of the requirements of the certification scheme (3.2) 3.9 examination mechanism that is part of the assessment (3.8) which measures a candidates (3.14) competence (3.6) by one or more means, such as written, oral, practical and observational, as defined in the certificatio

35、n scheme (3.2) 3.10 examiner person competent to conduct and score an examination (3.9), where the examination requires professional judgement 3.11 invigilator person authorized by the certification body who administers or supervises an examination (3.9), but does not evaluate the competence (3.6) o

36、f the candidate (3.14) NOTE Other terms for invigilator are proctor, test administrator, supervisor. 3.12 personnel individuals, internal or external, of the certification body carrying out activities for the certification body NOTE These include committee members and volunteers. 3.13 applicant pers

37、on who has submitted an application to be admitted into the certification process (3.1) 3.14 candidate applicant (3.13) who has fulfilled specified prerequisites and has been admitted to the certification process (3.1) 3.15 impartiality presence of objectivity NOTE 1 Objectivity means that conflicts

38、 of interest do not exist, or are resolved, so as not to adversely influence subsequent activities of the certification body. ISO/IEC 17024:2012(E) ISO 2012 All rights reserved 3 NOTE 2 Other terms that are useful in conveying the element of impartiality are: independence, freedom from conflict of i

39、nterests, freedom from bias, lack of prejudice, neutrality, fairness, open-mindedness, even-handedness, detachment, balance. 3.16 fairness equal opportunity for success provided to each candidate (3.14) in the certification process (3.1) 3.17 validity evidence that the assessment (3.8) measures what

40、 it is intended to measure, as defined by the certification scheme (3.2) NOTE In this international Standard, validity is also used in its adjective form “valid“. 3.18 reliability indicator of the extent to which examination (3.9) scores are consistent across different examination times and location

41、s, different examination forms and different examiners (3.10) 3.19 appeal request by applicant (3.13), candidate (3.14) or certified person for reconsideration of any decision made by the certification body related to her/his desired certification status 3.20 complaint expression of dissatisfaction,

42、 other than appeal (3.19), by any individual or organization to a certification body, relating to the activities of that body or a certified person, where a response is expected NOTE Adapted from ISO/IEC 17000:2004, definition 6.5. 3.21 interested party individual, group or organization affected by

43、the performance of a certified person or the certification body EXAMPLES Certified person; user of the services of the certified person; employer of the certified person; consumer; governmental authority. 3.22 surveillance periodic monitoring, during the periods of certification, of a certified pers

44、ons performance to ensure continued compliance with the certification scheme 4 General requirements 4.1 Legal matters The certification body shall be a legal entity, or a defined part of a legal entity, such that it can be held legally responsible for its certification activities. A governmental cer

45、tification body is deemed to be a legal entity on the basis of its governmental status. 4.2 Responsibility for decision on certification The certification body shall be responsible for, shall retain authority for, and shall not delegate, its decisions relating to certification, including the grantin

46、g, maintaining, recertifying, expanding and reducing the scope of the certification, and suspending or withdrawing the certification. ISO/IEC 17024:2012(E) 4 ISO 2012 All rights reserved 4.3 Management of impartiality 4.3.1 The certification body shall document its structure, policies and procedures

47、 to manage impartiality and to ensure that the certification activities are undertaken impartially. The certification body shall have top management commitment to impartiality in certification activities. The certification body shall have a statement publicly accessible without request that it under

48、stands the importance of impartiality in carrying out its certification activities, manages conflict of interest and ensures the objectivity of its certification activities. 4.3.2 The certification body shall act impartially in relation to its applicants, candidates and certified persons. 4.3.3 Poli

49、cies and procedures for certification of persons shall be fair among all applicants, candidates and certified persons. 4.3.4 Certification shall not be restricted on the grounds of undue financial or other limiting conditions, such as membership of an association or group. The certification body shall not use procedures to unfairly impede or inhibit access by applicants and candidates. 4.3.5 The certification body shall be responsible for the impartiality of its certification activities and shall not allow commercial, financia