ISO/IEC 17020:2012
Conformity assessment – Requirements for the operation of various types of bodies performing inspection
Presentation on the new standard
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The aim of this presentation is to support all interested parties concerned by the implementation of this new standard, e.g. conformity assessment bodies, accreditation bodies, industries with general information and contribute to an harmonized transition. This is an open presentation without any copyrights and can be used by anyone. We welcome any proposals for improvement of this presentation or translation in national languages.
ISO CASCO Secretary Sean MacCurtain
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ISO CASCO Convenor WG 31 Marcus Schmid
Table of content Key activities of inspection History of inspection History of ISO/IEC 17020 Transition period of ISO/IEC 17020:2012 ISO/IEC 17020 / WG 31 - Maintenance Group Aim of the revision The main changes and improvements: • • • • • • • • •
Content Obligatory requirements of ISO/PAS Impartiality and independence Competence of inspectors Subcontracting Inspection schemes Commodity inspections Inspection reports and certificates Management system requirements
Cross reference 17020:1998 – 17020:2012 Cross reference 17020:2012 – 17020:1998
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Key activities of inspection (1)
The main objective of the Standard is to promote confidence in bodies performing inspection.
Inspection bodies carry out assessments on behalf of private clients, their parent organizations, or authorities, with the objective of providing information about the conformity of inspected items with regulations, standards, specifications, inspection schemes or contracts.
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Key activities of inspection (2)
safety, fitness for purpose,
quality,
quantity,
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Inspection parameters
continued safety compliance of installations or systems in operation.
Key activities of inspection (3)
examination of materials, products, installations, plants, processes, work procedures or services,
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determination of their conformity with requirements and subsequent reporting of results activities to clients, when required, to authorities.
Inspection activities of inspection bodies
Key activities of inspection (4)
Inspection can concern all stages during the lifetime of these items, including the design stage.
Inspection normally requires the exercise of professional judgement in performing inspection, in particular when assessing conformity with general requirements.
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History of inspection
Inspection has a long history. With the industrialisation in the 18th century based on the use of steam engines and the accident risk associated the first inspection bodies were established.
These bodies named steam boiler inspection bodies were independent of the companies operating the steam engines and their professional judgement resulted in short time in considerable reduction of accidents.
Independent inspection is today used in a wide variety of industrial sectors and other branches.
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History of ISO/IEC 17020 (1)
The inspection standard was originally developed by the European Standardisation Organisations CEN/CENELEC as EN 45004 published in March 1995.
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This standard was taken over by ISO/CASCO without changes as ISO/IEC 17020 and published 1998.
In 2008 the CASCO Working Group 31 was established to revise the existing ISO/IEC 17020. After 5 meetings the WG finished in July 2011
The final ballot was positive. The revised standard (2nd edition) was published in March 2012.
History of ISO/IEC 17020 (2)
Stage
Revision
Ballot
WD1: WD2: CD: DIS: FDIS:
2009-06-03 2010-03-01 2010-05-17 2011-01-13 2011-09-21
- - 2010-08-27 2011-06-13 2012-01-17
Result
Comments 444 316
81 % 81 % 92 %
764 539 63
Publication : 2012-03-01 (english and french) 2012-07-01 DIN EN ISO/IEC (german version)
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Transition period of ISO/IEC 17020:2012 ILAC resolution 2012-07-18: • “The ILAC membership agrees to a threeyear transition period for the implementation of ISO/ IEC 17020: 2012 from the date of publication of the English language version of the standard. The standard was published on 1 March 2012, therefore the three year transition period will conclude on 1 March 2015.” Page 11
ISO/IEC 17020 / WG 31 - Maintenance Group
Maintenanc e Group
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Keith Mowry (Certification body side) Lal Ilan (accreditation side) Tommy Scriven (Industry) Dr. Monika Wloka (standard development side) • Marcus Schmid (convenor) • • • •
Aim of the revision Initiated by the result of the systematic review 2008
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The main changes and improvements Content
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The main changes and improvements Obligatory requirements of ISO/PAS
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The main changes and improvements Impartiality and independence (1)
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The main changes and improvements Impartiality and independence (2)
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The main changes and improvements Competence of inspectors (1)
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The main changes and improvements Competence of inspectors (2)
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The main changes and improvements Subcontracting
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The main changes and improvements Inspection schemes
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The main changes and improvements Commodity inspections
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The main changes and improvements Inspection reports and certificates
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The main changes and improvements Management system requirements
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Cross reference 17020:1998 – 17020:2012 (1) 17020:1998
17020:2012
1.1 1.2
1 Introduction, 4. paragraph
1.3 1.4 2.1 2.2
Introduction, 5. paragraph Introduction, 6. paragraph 3.1 3.5
3 3.1 3.2 3.3
5.1 5.1.1 5.1.2 5.1.3
3.4 3.5 3.6
5.1.4 5.1.5
4.1 4.1 1st sentence 4.1 2nd sentence 4.2
4.1.2 to 4.1.5 4.1.2 6.1.12 4.1.6
4.2.1 4.2.2 4.2.3
4.1.6 a) 4.1.6 b) 4.1.6 c)
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remark Applies to Type A, B, C and any stage
Note 2: restriction to examination possible
Not included PAS 17001 included Partly covered
Cross reference 17020:1998 – 17020:2012 (2)
17020:1998
17020:1998
5 6 6.1
4.2 5.2 5.2.2
6.2 1st sentence 6.2 2nd sentence 6.3 6.4 6.5 6.6 7 7.1 7.2 7.3 7.4 7.5 7.6 7.7 7.8 7.9 8 8.1 8.2 8.3
5.2.3 5.2.4 5.2.5 6.1.8 5.2.6 5.2.7 8 8.2.1 8.1.1 8.2.1 8.2.3 8.2.3 8.3 8.6 8.7 8.5 6.1 6.1.2 6.1.3 6.1.5/6.1.6/6.1.7
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17020:1998
PAS 17002 included
Supervision replaced by monitoring
PAS 17005 included
Cross reference 17020:1998 – 17020:2012 (3)
17020:1998 8.4 8.5 8.6 9 9.1 9.2 9.3 9.4 9.5 9.6 9.7 9.8 9.9 9.10 9.11 9.12 9.13 9.14 9.15 10 10.1 Page 27
17020:1998
17020:1998
6.1.10 Not included 6.1.11 6.2 6.2.1 6.2.2 6.2.3 6.2.4 6.2.5 6.2.6 6.2.7 6.2.8 6.2.9 6.2.10 6.2.11 6.2.12 6.2.13 6.2.14 6.2.15 7.1 7.1.1
Cross reference 17020:1998 – 17020:2012 (4) 17020:1998
17020:1998
10.2
7.1.2
10.3
7.1.3
10.4
7.1.4
10.5
7.1.5
10.6
7.1.7
10.7
7.1.8
10.9
7.1.9
11
7.2
11.1
7.2.1
11.2
7.2.3
11.3
7.2.2
11.4
7.2.4
12.1
7.3.1
12
7.3
12.2
7.3.1
12.3
8.4.2
13
7.4/Annex B
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17020:1998
Extended based on IAF/ILAC A4 guidance
Cross reference 17020:1998 – 17020:2012 (5)
17020:1998
17020:1998
17020:1998
13.1
7.4.1
13.2 1st sentence
7.4.2
13.2 1st/2nd sent.
7.4.4
13.3
7.4.2 e)
13.4
7.4.5
14
6.3
14.1
6.3.1 1st sentence
14.2 1st sentence
6.3.1 2nd sentence
14.2 3rd sent.
6.3.2
14.3
6.3.4
14.4
6.3.3
15
7.5/7.6
16
5.2.2 Note
Annex A
Annex A.1
Based on IAF/ILAC guidance A4
Annex B
Annex A.2
Based on IAF/ILAC guidance A4
Annex C
Annex A.3
Based on IAF/ILAC guidance A4
Annex D
8
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Note 1 added based on IAF/ILAC guidance A4
PAS 17003 included
Cross reference 17020:2012 – 17020:1998 17020:2012
17020:1998
Introduction, 4. paragraph
1.2
Introduction, 5. paragraph Introduction, 6. paragraph
1.3 1.4
1 2 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 4.1 4.1.1 4.1.2 4.1.3 4.1.4 4.1.5
1.1
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Remark
Applies to Type A, B, C and any stage Normative references not included
2.1 New definition New definition New definition 2.2 New definition New definition New definition New definition New definition 4 4.1 1st sentence
PAS 17001 included PAS 17001 included PAS 17001 included PAS 17001 included PAS 17001 included
Cross reference 17020:2012 – 17020:1998 (2) 17020:2012 4.1.6 4.1.6 a) 4.1.6 b) 4.1.6 c) 4.2 5.1 5.1.1 5.1.2 5.1.3 5.1.4 5.1.5 5.2 5.2.1 5.2.2 5.2.2 Note 5.2.3 5.2.4 5.2.5 5.2.6 5.2.7 Page 31
17020:1998 4.2 4.2.1 4.2.2 4.2.3 5 3 3.1 3.2 3.3 3.4 3.5 6
Remark
PAS 17002 included
PAS 17001 included 6.1 16 6.2 1st sentence 6.2 2nd sentence 6.3 6.5 6.6
Cross reference 17020:2012 – 17020:1998 (3)
17020:2012 6.1 6.1.1 6.1.2 6.1.3 6.1.4 6.1.5 6.1.6 6.1.7 6.1.8 6.1.9 6.1.10 6.1.11 6.1.12 6.1.13 6.2 6.2.1 6.2.2 6.2.3 6.2.4 6.2.5 Page 32
17020:1998
Remark
8 8.1 8.2 8.3 8.3 8.3 6.4 8.4 8.6 4.1 2nd sentence 5 9 9.1 9.2 9.3 9.4 9.5
Supervision replaced by monitoring Based on IAF/ILAC guidance A4
PAS 17001 included PAS 17002 included
Cross reference 17020:2012 – 17020:1998 (4)
17020:2012
17020:1998
6.2.6 6.2.7
9.6 9.7
6.2.8
9.8
6.2.9
9.9
6.2.10
9.10
6.2.11
9.11
6.2.12
9.12
6.2.13
9.13
6.2.14
9.14
6.2.15
9.15
6.3
14
6.3.1 1st sentence
14.1
6.3.1 2nd sentence
14.2
6.3.1 Note
Based on IAF/ILAC guidance A4
6.3.2
14.2 3rd sentence
6.3.3
14.4
6.3.4
14.3
7.1
10
7.1.1
10.1
7.1.2
10.2
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Remark
Cross reference 17020:2012 – 17020:1998 (5) 17020:2012
17020:1998
7.1.3
10.3
7.1.4
10.4
7.1.5
10.5
Remark
7.1.6 7.1.7
10.6
7.1.8
10.7
7.1.9
10.8
7.2
11
7.2.1
11.1
7.2.2
11.3
7.2.3
11.2
7.2.4
11.4
7.3
12
7.3.1
12.1/12.2
7.3.2 7.4
13
7.4.1
13.1
7.4.2
13.2 1st sentence
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Extended based on IAF/ILAC A4 guidance
Cross reference 17020:2012 – 17020:1998 (6)
17020:2012 7.4.2 e)
17020:1998
Remark
13.3
7.4.3 7.4.4
13.2 2nd/3rd sentence
7.4.5
13.4
7.5
15
PAS 17003 included
7.6
15
PAS 17003 included
8
7/Annex D
PAS 17005 included
8.1.1 8.1.2
7.2
8.1.3 8.2.1 8.2.2 8.2.3 8.2.4 8.3
PAS 17005 included PAS 17005 included 7.1/7.3 7.4/7.5 7.6
8.4 8.4.2
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12.3
Cross reference 17020:2012 – 17020:1998 17020:2012
17020:1998
8.5
7.9
8.6
7.7
8.7
7.8
Remark
8.8 Annex A.1
Annex A
Based on IAF/ILAC guidance A4
Annex A.2
Annex B
Based on IAF/ILAC guidance A4
Annex A.3
Annex C
Based on IAF/ILAC guidance A4
Annex B
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Based on IAF/ILAC A4 guidance
Presentation preapared by: Marcus Schmid is Director Management Systems Voith Turbo GmbH & Co KG, and Director Quality Management Voith Turbo Rail Division. Mr. Schmid is Convenor of ISO/CASCO working group WG 31, which developed ISO/IEC 17020. He is also member of the DIN Quality Management, Statistics and Certification Standards Committee, and chairs the DIN mirror committee to WG 31. Tel. +49 (0) 7321 37-8155 Marcus.Schmid@voith.com
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Gerd-Hinrich Schaub is a consultant of the Association of the TĂœV (VdTĂœV) and technical advisor of the International Confederation of Inspection and Certification Organisations (CEOC). His main focus is conformity assessment, product marking and accreditation. He is a member of several ISO/CASCO working groups and committees of accreditation associations (ILAC and EA). Tel. +49 (0) 201-49 39 22 g.hinrich.schaub@gmx.de