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Presentation to ITU Consultation on Conformity Assessment and Interoperability Testing Mr. Sean Mac Curtain Head, Confor
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Presentation to ITU Consultation on Conformity Assessment and Interoperability Testing Mr. Sean Mac Curtain Head, Confor

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  1. Presentation to ITU Consultation on Conformity Assessment and Interoperability Testing Mr. Sean Mac Curtain Head, Conformity AssessmentCASCO Secretary 20 July 2009, Geneva

  2. Contents • What is conformity Assessment • CASCO structure • Conformity assessment standards and the CASCO toolbox • CASCO working groups • Standards development • Conformity Assessment process • Mutual Recognition • CASCO projects • Conclusions

  3. What is conformity assessment? Conformity Assessment: The demonstration that specified requirementsrelating to a product,process, system, person or body are fulfilled. [Clause 2.1, ISO/IEC 17000:2004(E): Conformity assessment — Vocabulary and general principles]

  4. The 1-1-1 dream of Conformity Assessment

  5. ISO/CASCO structure 107 ISO members are represented in CASCO (71 participating members and 36 observers). Fifteen international organizations are liaison members of CASCO: BIPM, CEOC, CODEX Alimentarius, EOQ, Eurolab, IAF, IFAN, IFIA, IIOC, ILAC, IPC, IQNet, ITU-T, OIML, UILI. Both policy and technical work Continual improvement cycle CASCO Secretary acts as Secretary for ISO 9000 Advisory Group (IAG)

  6. CASCO Interpretation Panel • Need identified at CPC. Provide a uniform consistent approach to interpretation and maintenance of existing standards and guides. • Request to NMB which will where relevant be forwarded to CASCO. • Interpretation Panel within CPC will address all queries in a reasonable time. • Possibility of “quick” response or detailed response. • Response will be available on Web page.

  7. The ISO/CASCO toolbox • The CASCO toolbox consists of 25 documents covering: • Vocabulary, principles and common elements of conformity assessment. • Code of good practice. • Product, system, and persons certification. • Testing, calibration, inspection, marks of conformity. • Supplier’s declaration of conformity, accreditation, peer assessment, and mutual recognition arrangements.

  8. Components of the CASCO toolbox (1) General standards and guides

  9. Components of the CASCO toolbox (2) Technical functions For a full list of CASCO documents, visit and follow this path: Conformity Assessment > Publications and resources > List of CASCO standards and guides

  10. The “CASCO Toolbox” relationships… Terms and definitions – ISO/IEC 17000 (2001) Requirements for accreditation bodies –ISO/IEC 17011(2004) Conformity assessments of suppliers ISO/IEC 17050-1 ISO/IEC 17050-2 (2004) Requirements for testing & calibration laboratories ISO/IEC 17025 (2005) Requirements for Inspection bodies ISO/IEC 17020 (1998) Requirements for Certification bodies Persons ISO/IEC 17024 (2003) Products Revision Agreed ISO/IEC Guide 65 (2006) Management Systems Part 2 in preparations ISO/IEC 17021 (2006) Mutual Recognition ISO/IEC 17040 (2005)

  11. ISO/IEC 17011 • Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment bodies (2004) • Can also be used as a requirements document for the peer evaluation process for MRA between accreditation bodies • Competence based document • Important for the purchaser, regulator and the public to know that CABs are competent to perform their tasks. Increasing the demand for their competence to be verified. This verification is done by AB • Also important to know that the AB’s globally operate competently and that this too is verified though peer assessment to this standard

  12. ISO/IEC 17007 • Principles and guidance for drafting normative documents suitable for use for conformity assessment (FDIS) • Intended for standards developers not applying the ISO/IEC Directives – industry associations and consortia, purchasers, regulators, consumers and non-government groups, AB’s CAB’s scheme owners etc

  13. ISO/IEC 17007 continued • Contains 5 principles: • 1) Separation of specified requirements for the object of CA from specified requirements related to CA activities • 2) Neutrality towards parties performing CA activities • 3) Functional Approach to CA (selection, determination, review and attestation and surveillance) • 4) Comparability of CA results • 5) Good practice in CA

  14. ISO/IEC 17025 • General requirements for the competence of testing and calibration laboratories (2005) • Competence to carry out tests and/or calibrations including sampling based • Focused on technical issues and quality management • Applicable to all test and calibration laboratories (Generic) • Guildelines for establishing applications for specific fields – should not add additional general requirements • Revision 2010

  15. ISO/IEC 17021 • Conformity assessment – Requirements for bodies providing audit and certification of management systems • Principles and requirements for the competence, consistency and impartiality of the audit and certification of management systems of ALL types and for the bodies providing these activities • Management system – system to establish policy and objectives and to achieve those objectives

  16. ISO/IEC Guide 65 (ISO/IEC 17065) • General requirements for bodies operating product certification systems (1996) • Undergoing revision to ISO/IEC 17065 • Principles and requirements for the competence, consistency and impartiality of the certification bodies evaluating and certifying products, processes and services. • Certification of products, processes and services is a 3rd party CA activity. Therefore bodies performing this activity are 3rd party conformity assessment bodies called “certification bodies”

  17. ISO/IEC 17050 Parts 1 and 2 • Conformity assessment – Suppliers declaration of conformity P1 – general requirements • Part 2 – Supporting documentation (to substantiate a SDoC) • Purpose is to give assurance of conformity of the identified object to specified requirements to which the declaration refers and to identify who is responsible for that conformity and declaration. • May be used alone or in conjunction with another conformity assessment procedure for regulatory or non-regulatory purposes

  18. Common elements • ISO/IEC International Standards and Guides on conformity assessment are written on an understanding of some basic common elements • Impartiality (ISO/PAS 17001) • Confidentiality(ISO/PAS 17002) • Complaints and appeals(ISO/PAS 17003) • Disclosure of information(ISO/PAS 17004) • Use ofmanagement systems(ISO/PAS 17005)

  19. CASCO projects in progress • ISO/IEC 17021 Part 2 (CASCO WG 21), Conformity assessment —Requirements for 3rd party certification auditing of management systems (DIS) • ISO/IEC 17007 (CASCO WG 27),Conformity assessment—Guidelines for drafting normative documents for use for conformity assessment (FDIS) • ISO/IEC 17043 (CASCO WG 28), Conformityassessment — Requirements for proficiency testing (FDIS) • ISO/IEC 17065 (CASCO WG 29), Conformity assessment— Requirements for certification bodies certifying products (including services) and processes (CD) • ISO/IEC 17020 (CASCO WG 31), Conformity assessment — General criteria for the operation of various types of bodies performing inspection (WD) • ISO/IEC 17024(CASCO WG 30),Conformity assessment — General requirements for bodies operating certification of persons (WD)

  20. CASCO Working Groups • ISO/CASCO P Members nominate to the WG. • A-Liaison members nominate to WG. D-Liaison can be established between an organization and a WG. • They are nominated as experts and required to input as experts. WG group members act as independent experts not as national delegates. • The WG develops a Working draft document (WD). It evolves into a Committee Draft (CD) document. • The CD goes to member bodies who distribute to NMC (NMC) for CASCO. • At this stage no longer the experts but the national consensus comments. • Responsible for the development of the document (Standard/Guide) (DIS and FDIS and publication).

  21. Common Structure • Following a CASCO resolution (12/2002), CASCO Standards should follow the same structure, wherever possible

  22. Conformity Assessment Standards - Standards generation ISO Standard • A normative document, developed according to consensus procedures, which has been approved by the ISO membership and P-members of the responsible committee in accordance with Part 1 of the ISO/IEC Directives as a draft International Standard and/or as a final draft International Standard and which has been published by the ISO Central Secretariat ISO/PAS Publicly available specification • A normative document representing the consensus within a working group. ISO/TS Technical specification • A normative document representing the technical consensus within an ISO committee ISO/TR Technical report • An informative document containing information of a different kind from that normally published in a normative document. International Workshop Agreement (IWA) • An IWA is an ISO document produced through workshop meeting(s) and not through the  technical committee process. ISO Guide • Guides provide guidance to technical committees for the preparation of standards, often on broad fields or topics

  23. Conformity Assessment (CASCO) • Objective of CASCO is to ensure that, wherever Conformity Assessment is used by ISO TC’s, it is used and applied in a consistent manner and the rules are the same. • We saw the majority of “rules” are contained in ISO/IEC 17007. This rules have been taken from the ISO/IEC Directives clause 6.7 • CASCO has  "rules"  for when a Technical Committee needs to use Conformity Assessment.

  24. ISO/CASCO Rule 1: Neutrality • ISO/CASCO has a neutral policy with regard to the application of standards by 1st, 2nd or 3rd parties (includes accreditation). • Standards must be written in a manner that they can be used through 1st party, 2nd party or 3rd party conformity assessment activities. • The application of 1st, 2nd or 3rd party should be decided on by the client ( or regulator) and not by the TC.

  25. ISO/CASCO Rule 2 • Sector policy is not to encourage the unnecessary proliferation of sector scheme documents but to assist where there is a real need. • Food, Motor, Telecommunications, IT • ISO 22000 is Food safety Management System and cannot contain CA procedures but can develop another document ISO/TS 22003 which is based on ISO/IEC 17021 and contains the requirements for CB that certify to ISO 22000. • There are rules for when a sector wishes to develop its own scheme. • Before a sector develops their own scheme, communication should be sought between the sector and CASCO

  26. Mutual Recognition International Accreditation Forum (IAF) International Laboratory Accreditation Cooperation (ILAC) Peer evaluation National AB - Country A ISO/IEC 17011 National AB - Country B ISO/IEC 17011 Mutual recognition Recognition & acceptance Laboratory ISO/IEC 17025 Laboratory ISO/IEC 17025 CB ISO/IEC 17021 ISO/IEC 17065 CB ISO/IEC 17021 ISO/IEC 17065 Recognition & acceptance Recognition & acceptance Company A ISO 9001/Product Company B ISO 9001/Product Test report for CB Test report for CB Recognition & acceptance

  27. CASCO Priority Projects • IAF-ISO action plan on monitoring the effectiveness of accredited management system certification • Management system annual survey • A liaisons and interaction with sectors • Changes to clause 6.7 of the Directives • Representation on CASCO WG’s • IAF mandatory documents versus CASCO generated documents • Interaction with ISO/TC’s • Relationship with intergovernmental organizations • Developing countries and CASCO and UNIDO/DEVCO/CASCO publications

  28. Conclusions on conformity assessment • A global framework for conformity assessment will increase consumer and regulator confidence by: • Providing a common interpretation of test results; • Providing a mechanism for acceptance of certificates and reports • Ensuring consistency and building confidence in products and services • Applying to the International Standards a principle of neutrality; • Defining good practices for market surveillance.

  29. Useful reading • My ISO Job – Guidance for delegates and experts • Joining in – Participating in International Standardization • ISO/IEC Directives Part 1 and 2 (mainly used by WG Convenors and Secretaries) →all these documents are available on the TC Server

  30. Useful links • Very useful information directly available on ISO Website: • ISO Standards development flowchart • ISO Standards development process and much more at:

  31. ISO Contact Thank you