ISO 17021 Documents and Manual: Best Practices for a Smooth Accreditation Journey

Achieving ISO 17021 certification is a significant milestone for any organization that wants to demonstrate its competence in certifying management systems. For accreditation bodies, one of the most important aspects of this process is having comprehensive, well-organized ISO 17021 documents and a clear, compliant manual. This article should guide you through the best practices for preparing and maintaining these critical documents to ensure a smooth and successful accreditation journey.

What is ISO 17021 and Why Are Documents and Manuals Important?

ISO 17021 is the international standard that specifies requirements for bodies providing audit and certification of management systems. It outlines the procedures that certification bodies must follow to ensure their activities are credible, impartial, and consistent.

For accreditation bodies to maintain their ISO 17021 certification, they must establish and maintain a comprehensive set of documents and a detailed manual. These documents guide the certification process, provide clear instructions, and ensure compliance with both internal and external requirements. The manual, on the other hand, is the backbone of the entire accreditation process, containing the organization’s policies, procedures, and guidelines for certification activities.

Best Practices for ISO 17021 Documents

1. Thorough Documentation of Procedures and Policies

The first step in preparing ISO 17021 documents is ensuring that all procedures and policies are thoroughly documented. This includes a detailed description of:

• Certification Process: The steps involved in certifying a management system, from initial application through to the final audit.

• Audit and Assessment Procedures: How audits are conducted, what standards and criteria are used, and how findings are communicated to clients.

• Non-conformance Handling: The procedures for identifying, reporting, and resolving non-conformities found during the audit process.

2. Regular Updates and Reviews

ISO 17021 documents must be living documents. As standards and best practices evolve, so should your internal documentation. This includes:

Reviewing for Compliance: Regular audits of your documents to ensure they remain in line with ISO 17021 requirements, as well as any changes in regulatory or industry standards.

Adapting to Feedback: After each audit, gather feedback from auditors and clients, and make necessary revisions to procedures and documents to improve the certification process.

By updating your documentation regularly, you demonstrate your commitment to continuous improvement, a core principle of ISO standards.

3. Ensuring Clarity and Accessibility

ISO 17021 documents should be easy to understand and accessible to all relevant parties. This is particularly important for staff who will be using the documents during audits and assessments. Here’s how to ensure clarity and accessibility:

• Clear Language: Avoid technical jargon that might confuse non-experts. The language should be simple, precise, and easy to follow.

• Organized Structure: Documents should be organized logically, with sections clearly marked for easy navigation. This can include dividing documents by process (e.g., application process, audit process, post-certification).

• Control: Maintain version control to track updates and changes. This way, you’ll always have an audit trail to refer back to in case of discrepancies or queries.

4. Include Necessary Templates and Forms

ISO 17021 certification often involves repetitive processes such as audits, assessments, and the handling of non-conformities. One of the best practices is to create standardized templates and forms that can be used throughout the certification process. This includes:

• Audit Reports: Templates for audit findings, including criteria, observations, and recommendations.

• Non-conformance Reports: Standardized forms for reporting and tracking non-conformities and their resolution.

• Client Feedback Forms: To assess client satisfaction and gather useful feedback for continuous improvement.

These templates not only help streamline operations but also ensure consistency in how information is documented and communicated.

Best Practices for the ISO 17021 Manual

The ISO 17021 manual is the foundational document that outlines your organization’s approach to certification. It is essential for ensuring that all staff members are aligned with the goals and policies of the certification body. Here are some best practices for creating and maintaining an ISO 17021 manual:

1. Comprehensive Scope of Operations

Your manual should clearly define the scope of your certification body’s operations. This means detailing the types of management systems you certify (e.g., quality, environmental, occupational health and safety management systems) and any exclusions or limitations to the scope of your services.

For example, if you specialize only in certifying environmental management systems (ISO 14001), your manual should specify this limitation to avoid confusion.

2. Clearly Defined Roles and Responsibilities

The manual should also include a section detailing the roles and responsibilities of key personnel involved in the certification process. This should cover:

• Auditors and their responsibilities, including preparation, conducting audits, and reporting findings.

• Management and their role in ensuring quality control, overseeing audits, and maintaining compliance with ISO 17021.

• Support Staff who assist with administrative tasks, documentation, and client communication.

Defining these roles ensures accountability and helps streamline the certification process.

3. Conflict of Interest and Impartiality Policies

Impartiality is a core principle in ISO 17021. Therefore, your manual must include policies on how conflicts of interest are avoided. This involves:

• Identifying Potential Conflicts: Ensure that auditors are not involved in certifying organizations where they have financial or personal interests.

• Managing Impartiality: Establish clear protocols to avoid or address any potential conflicts, ensuring objectivity and integrity in the certification process.

4. Risk-Based Approach

ISO 17021 encourages certification bodies to adopt a risk-based approach in their operations. This means assessing potential risks associated with:

• Auditor Competence: Ensure auditors are regularly trained and assessed for competence in conducting audits.

• Client Risk: Assess the risk that a client’s management system may not meet ISO standards and take appropriate steps to mitigate this risk.

By documenting a risk management approach in the manual, you ensure that risks are proactively managed and mitigated.

Conclusion

For any organization pursuing ISO 17021 certification, establishing clear, thorough documents and a well-structured manual is paramount. By following the best practices outlined above, including regular updates, ensuring clarity, and adopting a risk-based approach, you can streamline your path to successful accreditation. These steps not only ensure compliance with ISO 17021 standards but also enhance the overall quality and reliability of the certification process, fostering trust and credibility with clients and stakeholders.