ISO/IEC 17021 – Management System Certification Bodies
Introduction
ISO/IEC 17021 is the internationally recognized standard that defines the requirements for bodies providing audit and certification of management systems. It ensures that certification bodies operate with competence, consistency, and impartiality when assessing organizations against standards such as ISO 9001, ISO 14001, ISO 45001, and others.
For an accreditation body such as Universal Standards Assessment Forum, ISO/IEC 17021 serves as the primary framework for evaluating and accrediting certification bodies. Accreditation to this standard demonstrates that a certification body has the capability to conduct audits in a reliable, transparent, and globally accepted manner, ensuring confidence in issued certificates.
The standard emphasizes impartial decision-making, auditor competence, structured audit processes, and effective management systems, forming the backbone of credible certification practices worldwide.
Key Requirements of ISO/IEC 17021
1. General Requirements
- Legal responsibility for certification activities
- Commitment to impartiality and independence
- Management of conflicts of interest
- Confidentiality of client information
2. Structural Requirements
- Defined organizational structure and governance
- Safeguarding impartiality (e.g., impartiality committee)
- Clear allocation of roles and responsibilities
- Confidentiality of client information
3. Resource Requirements
- Competent auditors and technical experts
- Defined competence criteria for personnel
- Processes for training, evaluation, and monitoring of auditors
- Adequate infrastructure and audit resources
4. Information Requirements
- Publicly available information on certification services
- Clear communication of certification process and requirements
- Control of documented information and records
5. Process Requirements
- Application and contract review
- Audit planning and audit program management
- Stage 1 and Stage 2 audits
- Certification decision-making (independent of audit team)
- Surveillance audits and recertification
- Handling complaints, appeals, and disputes
- Management of nonconformities
6. Management System Requirements
- Documented management system (aligned with ISO 9001 principles)
- Internal audits and management reviews
- Corrective actions and continual improvement
- Risk-based thinking
Documentation Requirements
A certification body seeking accreditation under ISO/IEC 17021 must maintain comprehensive documented information, including:
Auditor and Personnel Records
Certification Scheme Documentation
Public Information
Operational Records
Procedures
Accreditation Process for ISO/IEC 17021
For certification bodies seeking accreditation from Universal Standards Assessment Forum, the process typically includes:
- Submission of application with scope of certification (e.g., ISO 9001, ISO 14001)
- Provision of documented management system
- Evaluation of policies, procedures, and records
- Identification of gaps against ISO/IEC 17021-1 requirements
- On-site or remote assessment of head office
- Review of implementation of management system
- Observation of certification body conducting an audit at client site
- Evaluation of auditor competence and audit practices
- Identification of nonconformities
- Submission and verification of corrective actions
- Independent review by accreditation committee
- Granting of accreditation if requirements are fulfilled
- Periodic surveillance assessments (usually annually)
- Monitoring ongoing compliance
- Full reassessment at defined cycle (typically every 3–5 years)
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