Principles Building Trust in ISO 17021-1:2015 – ISO Management System Certification

ISO/IEC 17021-1:2015 Standard: Key Principles for Certification Bodies

The ISO/IEC 17021-1:2015 standard is a crucial document regulating the requirements for certification bodies conducting audits of management systems. In this article, we will discuss the principles that form the foundation of trust in these bodies and then explore them through the detailed requirements of the standard. Understanding these principles is helpful for companies seeking certification under international standards such as ISO 9001, ISO 14001, ISO 45001, or ISO 27001.

1. Impartiality – The Essence of Objective Certification

Impartiality is one of the fundamental principles that build trust in certification bodies. To ensure the certification process is reliable, bodies must operate independently and objectively, avoiding any conflict of interest.

Section 5.2 of ISO 17021-1 requires certification bodies to identify and manage all risks to impartiality. For example, auditors cannot be involved in consulting for companies they certify, and bodies must implement procedures to eliminate the possibility of external interests influencing certification decisions.

2. Competence – The Role of Experienced Auditors in the Certification Process

Certification bodies must have qualified personnel with the necessary knowledge and experience to evaluate management systems. Competence is essential to ensure high-quality audits and objective outcomes.

Section 7.1 of ISO 17021-1 specifies the requirements for auditor competence. Bodies must have systems for assessing and monitoring competencies and regularly train staff to adapt their skills to changing standards and industry specifics.

3. Responsibility – Full Accountability for Certification Decisions

The responsibility of certification bodies is crucial to ensuring the integrity of the certification process. Every certification body must take full responsibility for decisions such as granting, suspending, or withdrawing certification.

Section 5.1.3 of ISO 17021-1 states that certification decisions must be made by individuals independent of the audit process, eliminating the risk of bias. This means that auditors cannot be involved in the final decision regarding the certification of the company they audited.

4. Openness – Transparency in Certification Activities

Openness in the operations of certification bodies is essential for building trust. Clients must have access to complete information about the certification process and the decisions made by certification bodies.

Section 8.1 of ISO 17021-1 obliges bodies to inform clients about all audit procedures, certification results, and any changes that may affect them. Transparency in the certification process helps build relationships based on trust and allows clients full control over the certification process.

5. Confidentiality – Protecting Client Data in the Certification Process

Certification bodies must protect all information obtained during audits. Confidentiality is essential for companies to trust certification bodies and be assured that their data will not be disclosed without consent.

The confidentiality requirements in Section 8.4 of ISO 17021-1 specify that all information related to the certification process must be appropriately safeguarded, and only authorized individuals may access it. Examples of such information include audit results, reports, and other confidential data obtained during the assessment process.

6. Handling Complaints – Procedures for Addressing Complaints

Certification bodies must provide access to effective procedures for handling complaints and appeals. Addressing complaints is an important principle in building trust in certification, as it assures clients that their concerns will be dealt with transparently and impartially.

Section 9.8 of ISO 17021-1 states that certification bodies must implement clear procedures for handling complaints and ensure their prompt and fair resolution. These procedures must be accessible to clients and other interested parties, and the outcome of the complaint must be communicated transparently.

7. Risk-Based Approach – Tailoring Audits to Client-Specific Risks

In the context of ISO 17021, certification bodies must adopt a risk-based approach. This means that the audit process must be tailored to the specific risks associated with the client’s business. Audits cannot be conducted in a standardized way but must consider the industry-specific risks of the audited organization.

Section 9.1.4 of ISO 17021-1 states that certification bodies must analyze the risks associated with the client’s business and adjust the duration and scope of audits depending on the complexity of the management system. This ensures that audits are more effective and better meet clients’ needs.

Conclusion – Building Trust with ISO 17021 Principles

The ISO/IEC 17021-1:2015 standard establishes key principles aimed at building trust in certification bodies. Impartiality, competence, responsibility, openness, confidentiality, complaint handling, and a risk-based approach are the foundations on which the certification process is built. The requirements based on these principles allow certification bodies to conduct reliable, independent, and professional audits, which translates into the credibility of the entire certification process.

By meeting the requirements of ISO 17021, certification bodies can guarantee the highest quality of services, and organizations undergoing the certification process can build trust with their customers, partners, and other stakeholders.