ISO/IEC 17021-1 is the international standard containing principles and requirements for bodies that provide audit and certification of management systems. It addresses the competence, consistency, impartiality, structure, resources, information, certification processes, and management system of a certification body.
ISO/IEC 17021-1 covers multiple interconnected areas of certification body operation.
Impartiality A certification body needs to manage risks to impartiality and conflicts of interest.
This includes identifying, analyzing, evaluating, treating, monitoring, and documenting risks related to impartiality.
IAF guidance specifically highlights the requirement for an ongoing process for managing risks related to conflicts of interest.
Competence A certification body needs competent personnel capable of performing certification activities.
This includes establishing competence criteria, evaluating personnel, maintaining appropriate records, and ensuring competence for the relevant technical areas.
Certification Personnel The certification body needs appropriate control over auditors, technical experts, reviewers, decision-makers, and other personnel involved in certification activities.
Client and Contract Information The certification body needs controlled information concerning applicants, clients, agreements, certification scope, and relevant certification activities.
Audit Process Certification activities include planning and conducting audits, evaluating audit information, reporting results, and progressing through the certification process.
Certification Decision Certification decisions need to be made through controlled processes by appropriately authorized and competent personnel.
Certification Documents The certification body needs controlled certification information and certification documents.
Surveillance and Recertification Certification does not end when the initial certificate is issued.
Surveillance and recertification activities form part of the continuing certification process.
Complaints and Appeals The certification body needs controlled processes for handling complaints and appeals.
Records and Information Certification activities generate significant amounts of evidence and records.
These need to be appropriately controlled, protected, retained, and retrievable.
Management System The certification body also needs a management system supporting its ability to consistently fulfil the applicable requirements.
ISO describes ISO/IEC 17021-1 as addressing principles including impartiality, competence, responsibility, openness, confidentiality, responsiveness to complaints, and risk-based considerations, alongside general, structural, resource, information, process, and management-system requirements.
CABflo is certification body management software. It helps organise records and workflows across the certification cycle. It does not replace professional judgment, make certification decisions, or guarantee ISO/IEC 17021-1 conformity or accreditation.