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International Organization for Standardization. www.iso.org. International Standards and Conformity Assessment by Mr. Graeme Drake, Head of Conformity Assessment ISO Central Secretariat UNECE WP6 on Regulatory Cooperation and Standardization Policies Geneva, Switzerland

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International Organization

for Standardization

www.iso.org


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International Standards and

Conformity Assessment

by Mr. Graeme Drake, Head of Conformity Assessment

ISO Central Secretariat

UNECE WP6 on

Regulatory Cooperation and Standardization Policies

Geneva, Switzerland

24 November, 2004


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The technical infrastructure

  • Corporate, Public and Trade Policy

  • Industry association, Government Ministry or Department

  • Require technical infrastructure to:

  • manage risk;

  • be economically efficient;

  • incorporate ‘externalities’ and protect against market failure;

  • ensure the public's confidence in the economy; and

  • participate in the free trade of goods and service

    UN and WTO

Metrology (measurement and physical standards)

Legal metrology

(weights and measures)

Scientific measurement (microbiological, chemical and non legal physical properties) -

Generally a mixture of government owned or private laboratories and research interests

International organisations (BIPM and OIML)

Regional bodies

Documentary standards

A range of organisations may develop documentary standards. In the ISO system each country has one national standards representative

In some sectors government Ministries or Departments make and define documentary standards

Regional bodies

  • Claims of conformity and certification

  • This is the process by which a person or company claims a good or service conforms with a standard or technical specification

  • 1st party

  • 2nd party

  • 3rd party

  • After a claim of conformity or certification, at any level, marks of conformity can be issued to the product or service

  • Testing and inspection activities

Accreditation and peer assessment services

Further activity to ensure confidence, consistency and competence

Often government or quasi-government bodies 

These bodies have formed regional and international organisations to ensure there is consistency on how peer assessment and accreditation is performed (IAF, ILAC and IEC Schemes)

Basis for MRAs

Regional bodies


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Standardization in the model

Over 200 technical committees in various sectors, over 2000 subcommittees and working groups

One of the international standardising bodies (IEC, ITU-T, CODEX etc)

Technical committees and standards development managed by individual ISO member bodies in accordance with the ISO/IEC Directives through consensus

Number of possible publications

ISO 9001:2000 one of its biggest standards

Increasing adoption and usage of international standards due to WTO agreements

General adherence by national bodies to rules for standards

Policy

Metrology (measurement and physical standards)

Documentary standards

Claims of conformity and certification

  • Accreditation

  • Peer Assessment


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Conformity assessment

Policy

Metrology (measurement and physical standards)

Documentary standards

Claims of conformity and certification

  • Accreditation

  • Peer Assessment

Developing technical requirements in regulations or standards is ½ the story

After that, mandatory or voluntary testing, inspection and assessment of the product, system or service may be required, and sometimes this results in a lable or a mark of conformity

This has the potential to affect production costs, economic efficiency, and international trade

ISO and IEC jointly produce international guides and standards that set the agreed requirements on how the international conformity assessment operates.

This is done through the ISO Committee on conformity assessment (CASCO) which has 99 countries represented

Conformity

assessment


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ISO and its structure

ISO is a international technical NGO

148 countries, a mixture of government, semi-government and private bodies

Each national member body is to represent its government, industry and consumer views

Develops international policy and reflects this in international standards and guides

Based on consensus through application of the ISO/IEC Directives

Recognition with related bodies include IEC, ITU and sector specific standardising bodies

Liaison with a number of international bodies


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ISO and the WTO/TBT

  • Fully compliant with the six WTO/TBT criteria for international standards

  • WTO TBT 3rd Triennial Review:

    Good Regulatory Practices

    “… minimizing the use of mandatory technical regulations and utilizing voluntary international standards, where appropriate, could reduce the regulatory burden and open up market access opportunities”

    “… avoidance of unnecesary obstacles to trade in the preparation, adoption and application of technical regulations (including associated standards) and conformity assessment procedures, including those related to labelling”


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ISO and the WTO/TBT

Article 5

“… Sets out (for government bodies) … the use of international guides or recommendations …” and

“… the importance of Members using … and playing a full part … in the preparation by appropriate international standardizing bodies of guides and recommendations for conformity assessment procedures …”

“... Moreover the Committee (TBT) notes the increasing development of international standards for conformity assessment procedures”.


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ISO and the WTO/TBT

“ … Article 6.1.1 Accreditataion

“identifies accreditation as a possible tool for Members to verify the technical competence of CA bodies”.

“When operated according to relevant international standards, … accreditation offers a mechanism which could promote confidence”.

“This could reduce trade barriers when governmental … authorities accept the results of accredited bodies”.

“Members ensuring that accreditation bodies follow … provisions on transparence and openess”.


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ISO/CASCO

99 members of ISO are members of CASCO

CASCO undertakes both policy and technical work

At present it is undertaking a major revision of most of its documents, converting some of them (those specifying requirements) from guides to standards

There are four areas of focus:

Study and policy

Technical work (the tool box)

Promotion and advice

Market feedback


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Process and structure

Study and policy

Chairman's Policy and Coordination Group (CPC)

WG5

WG12

WG14

CASCO

WG18

WG19

Technical work

Market Feedback Panel

(MFP)

WG21

Use and feedback

WG22

WG23

WG24

WG25

WG26

Promotion and Support Group (CAPS)

Regulators Interface Group

Promotion

and support


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Principle 1 – the functional approach

  • Accepted by CASCO in 2002, the functional or process approach sets out the generic framework for all conformity assessment activities

  • This forms the basis for the new international standard on conformity assessment vocabulary (17000)


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Principle 2 – International agreements

  • WTO Agreements

  • ISO/IEC Guide 60:2004, Code of good practice


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Principle 3 – Common elements

  • Internally focused exercise to ensure international documents on conformity assessment approach the following elements in a common way for consistency:

    • Impartiality

    • Confidentiality and public disclosure

    • Complaints and appeals

    • Management systems


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General CASCO documents

  • ISO/IEC 17000:2004 Vocabulary and general principles and ISO/IEC Guide 2:2004

  • ISO/IEC Guide 60:2004 Code of good practice

  • Common elements

    • Impartiality (will be PAS 17001)

    • ISO PAS 17002:2004 Confidentiality

    • ISO PAS 17003:2004 Complaints and appeals

    • Disclosure of information (will be PAS 17004)

    • Use of management systems in conformity assessment (will be PAS 17005)


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CASCO documentsfor claims of conformity - general

  • Testing and calibration laboratories

    • ISO/IEC FDAM 17025 – to become ISO/IEC 17025:2005

  • Proficiency testing

    • ISO/IEC Guide 43:1997

  • Inspection bodies

    • ISO/IEC 17020:1998


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CASCO documentsfor claims of conformity

  • 1st party – ISO/IEC 17050:2004 Supplier’s declaration of conformity

  • 3rd party – Product certification

    • ISO/IEC Guide 67:2004 Fundamentals of product certification

    • ISO/IEC Guide 28:2004 ‘System 5’

    • ISO/IEC Guide 53:2005 Use of the suppliers QMS in product certification

    • ISO/IEC Guide 65:1996 for product certification bodies

  • 3rd party – Management systems certification (ISO/IEC Guides 62 and 66 to be replaced by ISO/IEC 17021)

  • 3rd party – Marks of conformity (ISO/IEC 17030:2003)


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ISO/IEC Guide 67:2004

  • Outlines 7 product certification systems that combine several of the following core elements related to product certification:

    • Sampling

    • Testing

    • Evaluation

    • Decision

    • Licensing

    • Surveillance


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ISO/IEC Guide 28:2004

General description of one organizational and operating approach to product certification based on system 5 in ISO/IEC Guide 67

ISO/IEC Guide 28 covers:

  • Contracting

  • Sampling

  • Testing

  • Evaluation

  • Surveillance

  • Certification decision


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ISO/IEC Guide 28:2004

Provides model documents

  • Checklist for selecting product requirements

  • Application for product certification

  • Contract

  • Factory inspection

  • Conformity certificate


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CASCO documents for confidence and mutual recognition

  • ISO/IEC 17011:2004 Accreditation

  • ISO/IEC 17040:2005 Peer assessment

  • ISO/IEC Guide 68:2002 Mutual recognition of conformity assessment results (MRAs)


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ISO/IEC 17011:2004

  • ISO/IEC 17011:2004, Conformity assessment - General requirements for accreditation bodies accrediting conformity assessment bodies

  • Will replace:

    • ISO/IEC Guide 58:1993, Calibration and testing laboratory accreditation systems -- General requirements for operation and recognition

    • ISO/IEC Guide 61:1996, General requirements for assessment and accreditation of certification/registration bodies

    • ISO/IEC TR 17010:1998, General requirements for bodies providing accreditation of inspection bodies


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ISO/IEC 17011 contd.

Scope

Normative references

Terms and definitions

Accreditation body

Management

Human resources

Accreditation process

Responsibilities of the accreditation body and the conformity assessment body


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ISO/IEC 17011 contd.

  • inclusion of ‘impartiality’

  • prohibition on directly undertaking other conformity assessment services or consultancy;

  • bodies related to the accreditation body may do this but must have:

    • different top management

    • different people

    • no influence

    • distinctly different name, logos and symbols

  • deliberate identification and management of relationships that have the potential for a conflict of interest;


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Process and structure

Study and policy

Chairman's Policy and Coordination Group (CPC)

WG5

WG12

WG14

CASCO

WG18

WG19

Technical work

Market Feedback Panel

(MFP)

WG21

Use and feedback

WG22

WG23

WG24

WG25

WG26

Promotion and Support Group (CAPS)

Regulators Interface Group

Promotion

and support


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Promotion and Support

  • Help in writing International Standards so that they may be used in conformity assessment

  • Promote CASCO ‘tool box’ to end users

  • Provide advice on establishment of conformity assessment systems

  • Have a specific focus on the use of CASCO documents by regulators

  • ISO Brochure on Publicising your ISO 9001 and ISO 14001 certification


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Market feedback

  • Gives interpretations on CASCO documents

  • Undertakes market research and surveys to find out how widely are the CACSO documents used and what people think of them

    • Regulators survey 2004

    • Triennial comprehensive survey of use and national adoption of CACSO documents

  • Advises CASCO on new documents and timing of revisions based on market feedback


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Thank you for your attention

Please ask questions!

Mr. Graeme Drake, ([email protected])


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