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*** UNCONTROLLED COPY ***Printed on: 2013-03-27

Copyright 2013 by the American National S tandards Institute, Inc. All rights reserved. No part of this publication may be produced in any form, in an electronic retrieval system or otherwise, without the prior written permission of the publisher. Publishedby American National Standards Institute, 1899 L Street, NW, Suite 1100, Washington, DC 20036

Date Issued: 2009-05-13Approved By: Lane Hallenbeck (2009-05-13)

PUBLIC GUIDANCE PCAC-GI-501Revision: 0

ANSI Guide Template ANSI/ISO/IEC 17024

Objective

Objective of this document is to provide guidance on ANSI/ISO/IEC 17024 for potential applicants for ANSI's accreditation program for personnel

certification bodies.

Definitions

None.

Guidance Template

Content that may be required Type of documentsthat may be needed

On-Site audit evaluationfocus

Data includ ed inannual report

Terminology

Certification body

4.1.1

Fair andequitable policyand procedures

Evidence that all policies andprocedures contribute to thedevelopment, oversight,evaluation, and maintenance offair and equitable certificationsand assessments.Explanations of howcertification body complies withall applicable laws andregulations, including theAmericans with Disabilities Act

Candidate handbookPolicy and proceduresOfficial documentsWritten policydocument stating thatthe certification body iscompliant with the law

Verify certification bodyscompliance with its policiesand procedures throughreview of relevant certificantsurveys feedback, logs,irregularity reportsDetermine whether therehave been complaints andhow they were handled

Changes in policiesand proceduresFormal complaintsagainst thecertification body,actions taken toresolve thecomplaints, andstatus of thecomplaints.

4.1.2

Defined policyand proceduresfor granting,maintaining,renewing,expanding,reducing scope,suspending andwithdrawing ofcertification

Policies and Procedures;J ustification and rationale forgranting, maintaining,renewing, expanding andreducing the scope,suspending and withdrawing ofcertification.

Candidate handbook,bylaws, policy andproceduresMinutes of meetings todocument change

Determine whether policyand procedures werefollowed regarding granting,maintaining, renewing,expanding and reducingscope, suspending andwithdrawing of certification

Summarize anychange in policy orprocedures as well asthe specific policy orprocedural change.

4.1.3

Requirements,evaluation and

decisions relatedto scope

Scope of certification must beclearly defined. Mustdemonstrate howrequirements, evaluation and

certification decisions relate todefined scope.

BylawsPhilosophyMissionPublished Documents:

Annual report,candidate handbook,marketing materials

Clear definition andconsistency throughoutinternal and externaldocuments

Inform accreditingbody of any change ofscope and submit thedocumented process.

Organizational Structure

4.2.1

Organizationalstructure ofcertification body

Documentation of how thebody is independent, impartial,and ethical in its decisionmakingDescription of the structure andresponsibilities of eachcomponent of the body andhow they relateDocuments establishing

Bylaws, legal entitydocumentation, articlesof incorporationPolicy and proceduresMinutes of boardmeetingsFinancial statementsand/or auditsOrganizationalaffiliations of the

Determine whether structureand responsibilities areaccording to the paperdescription

Any change instructure andresponsibilities withinthe certification body

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Terminology

certification body as legal entityor part of a legal entity

certification bodyLists of stakeholdergroups (interestedparties),Conflict of Intereststatements

4.2.2

Documentedstructure ofcertification bodyto assureimpartiality andparticipation of allinterested parties

Documentation that thestructure allows stakeholders

to have input into the policiesand principles of thecertification systemExplanation of how interestsare balanced, impartiality isassured, and changes areprocessed and approved

Bylaws, description ofgoverning bodies

Documentation ofindividuals, groups andorganizations involvedin the processConflict of interestdocumentsPolicy statementassuring impartialityPolicies definingnominating processand composition ofgoverning bodies,committees, and workgroups,Board minutes

Verify that structure andprocesses are implemented

as defined

Any change inorganizational

structure

4.2.3

Development ofschemecommittee(s)

Description of the structure andfunctions of the scheme

committee, other advisorybody, technical advisor(s),and/or testing agency composition and functions.

BylawsPolicy and procedures

Contract with testingagency or othertechnical advisor(s); jobdescriptions; list ofstakeholders,committee minutes;qualifications ofcommittee members.Documentation of thequalifications ofcommittee members,advisors, and/or testingagency

Review minutes of schemecommittee regarding

diversity of schemecommittee members,decision-making/policyprocess

Any changes to thescheme committee.

Scheme (WRITEFROM FDIS

4.2.4

Certification bodyrequirementsregardingfinancialresources,confidentiality,objectivity andimpartiality

Financial statements indicatinghow program activities arefunded and the organization isindemnified against financiallossPolicies and procedures thatdistinguish between thecertification of persons and anyother activitiesConfidentiality policies andprocedures

Determine whetherthere is sufficientfinancial support toensure continuedoperation of programactivitiesEvaluate all activities toassure that they do notcompromise theconfidentiality,objectivity andimpartiality of itscertification system

Any changes inservices/functions ofthe certification body;financial statement forthe past year

4.2.5

Certification bodyrole in trainingservices

If training is provided, evidencethat training does NOTcompromise the certificationprocess and teach to the test;description of the training andhow it relates to thecertification program;description of procedures thatsafeguard integrity of the

certification

Policies andprocedures regardinginvolvement ofindividuals in trainingand certificationLists of individualsinvolved in thecertification programand their relationship in

developing anddelivering training

Evaluate parameters of thetraining, its relationship tothe certification content,structure, and decision-making; and its effect on thecertification process

Description oftraining/education thatwas provided and itsrelationship to thecertification process

Scope of trainingand relationship tothe certificationcontent,stakeholders, anddecision-makersmust relate ingeneral toprofessional

development andnot specifically tothe certificationprocess; studyguides areconsideredappropriate

4.2.6

Certification bodypolicies andprocedures forthe resolution of

Policy and proceduresgoverning appeals andcomplaints

Candidate handbookBrochuresDisciplinary policiesand proceduresDescription of appealsproceduresCode of conduct/ethics.

Review of files associatedwith appeals, andcomplaintsVerification that policies andprocedures were followedand were dealt with properly

List of any appealsand complaints for theyear, action taken toresolve them, andtheir current status

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Terminology

appeals andcomplaints

Correspondence andminutes of committeemeetings

4.2.7Education,training, technicalknowledge andexperience of

personnel,including contractbodies

Qualifications, credentials andjob responsibilities ofemployees and contractpersonnel as they relate totheir job responsibilities

Procedures to ensure thatpersonnel can performassigned responsibilities.

J ustification that personnelnumbers are sufficient inregard to the operations of thecertification program.

J ob descriptions,rsums,organizational chart,including contractpersonnel

Procedures forselecting, hiring,assessing and trainingemployees andcontract personnel

Interview selected personnelto determine ifresponsibilities and abilitiesare congruent and allservices are being delivered

Changes in volume,workload, personnelor qualifications ofpersonnel

Development and Maintenance

4.3.1

Definition of themethods andmechanisms tobe used toevaluatecompetence of

candidates

Formal process accepted bystakeholders regardingcompetence for entry into thefield.

J ustification for the evaluationmethods and mechanismsEvidence of continuousevaluation, validity studies and

rationale for eligibilityrequirements.Evidence that methods andmechanisms are consistentwith professionally acceptedstandards and practices andlegal requirements

Technical plans andreports or otherobjectivedocumentationRelevant minutes ofbodies that overseescheme maintenanceand updating

Validity studiesContract with testingagency

Verify that processes andprocedures are followed asdescribed and thatstandards and criteria areenforced

Any changesstandards, methodsor mechanisms usedto evaluate thecertificate at entrylevel

4.3.2

Process fordevelopment andmaintenance ofthe certificationscheme(s)

Describe the process fordeveloping certification scheme(s) and how it is maintained.

Policies andprocedures documents,contract/agreementwith testing agency;

job/practice analysisstudyCandidate handbookthat includes the testblueprint and how itrelates to the purposeof the credential.Relevant minutes of thegoverning board andcommittees

Review files fordocumentation of systematicdevelopment andmaintenance process

Any changes incertificationrequirements thatoccurred during theyear

4.3.3

Notice to schemecommitteemembers of anychanges inrequirements forcertification

Polices and procedures forchanging the scheme(s) andimplementing the changes,including notification ofstakeholders in appropriatepublications, how schemecommittee views are taken intoaccount, and how certificantsare notified of changes.

Documents thatdescribe the rationalefor making the change,the implementation ofthe change, internaland external notices

Review to determine thatwritten policies andprocedures are followed,changes are announced tocertificants, and appropriatefollow-up occurs to ensurethat all affected certificantsmeet the new requirements.

Any changes incertificationrequirements thatoccurred during theyear

Reasonable isdefined by theorganization withinput from theappropriatestakeholders andinterested parties.

4.3.4

Criteria againstwhich the

competence of aperson isevaluated

Descriptions of prerequisites,eligibility and otherrequirements are fair andequitable and based on data

related to the certificationscheme.J ustification thatrecognition/approval of trainingdoes not compromiseimpartiality of the certificationprocess or reduce thedemands of the certificationrequirements

Any documents relatedto the development ofcriteria against whichthe competence of a

person is evaluated-

Verify justification of thesources used in developingthe criteria

Changes in thecriteria

4.3.5

Certification notrestricted ongrounds of undue

Descriptions of prerequisites,eligibility and otherrequirements are fair andequitable and based on datarelated to the certificationscheme.

Documents and datasupporting rationale forcertificationrequirements.Minutes documentinghow decisions were

Review any studiesregarding eligibilityrequirements

Any changes thatoccurred inrequirements forcertification in theyearDescription of how

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Terminology

financial or otherlimiting conditions

J ustification thatrecognition/approval of trainingdoes not compromiseimpartiality of the certificationprocess or reduce thedemands of the certificationrequirements

madeBrochures,advertisements, website content

J ob/practice analysis

changes wereimplemented.

4.3.6

Evaluation of themethods forexamination ofcandidates

Processes and procedures for

regular evaluation ofexaminations to ensure thatexaminations are fair, valid andreliable, including whenexaminations are given in otherlanguages. .

Documents describing

how examinations areevaluated on at leastan annual basis

Technical analyses andreports, annual reports;validity studies,adverse impact studies

Review documents that

substantiate the evaluationof the examinations, andactions taken to correctdeficiencies

Summary of

evaluation results andactions taken

Management System

4.4.1

Management ofthe certificationbody

A description of themanagement system thatensures effectiveimplementation of therequirements in this clause ofthe standard

Management manual,internal workingpapers, minutes ofmeetings,organizational charts,

job descriptions

Determine if the policies andobjectives are beingimplemented by thecertification body

Any changes in thepolicy or objectives

4.4.2

Establishmentandimplementation ofa managementsystem

Evidence that the managementsystem adheres to its policiesand procedures and isunderstood at all levels of theorganization

Policy manuals,evidence of staffeducation, minutes ofmeetings

Interviews with managementand interviews with staff atvarious levels

Any changes in themanagement system

4.4.3

Documentcontrol, audit andmanagementreview systems

System for control ofdocuments and records,management review system,audits and documentation ofcontinual improvements madeincluding both corrective andpreventive actions

Documents detailingprocedures fordocuments/recordcontrolResults of auditsDocuments indicatingactions takenPoliciesMinutes of meetings

Verify changes made as aresult of managementsystem review

Any changes made asa result of themanagement systemreview

Subcontracting

4.5.1

Development ofagreement(s)withsubcontractors

Documentation and detaileddescription of an agreementrelated to the specific work thecertification body is contractingout

The agreementbetween thecertification body andoutside agency such astesting agencydelineating roles andresponsibilitiesDocuments signed byall parties to includeconfidentiality andconflict of interest andsecurity policies toensure proper securityregarding thecertification process.

Verify that expectedactivities are specified inagreementInterview outside personnelto review implementation ofthe roles and responsibilitiesas outlined in theagreement. How Anyrequired security proceduresand clearances aremonitored.Review any internal auditsor evaluation of thesubcontracted activity

Any changes toagreements withcontractor(s)

4.5.2

Certification body

responsibility forsubcontractedwork

Description of how thecontracted work is monitoredand evaluated

Description of the managementsystem used by the contractedservice providerDescription of relationshipbetween certification body andcontracted service providersList of contracted providers andthe work they are performing

Agreement(s)Minutes of meetingsEvaluation documents

Reports on internalaudits, Organizationalcharts showingrelationships withoutside agencyBylawsPolicies andproceduresWeb site contentQualifications ofcontracted personnel

Evaluate the relationshipbetween contractor andcertification body

Verify how subcontractedactivity is monitoredInterview personnelresponsible for contractedactivities

Any change in therelationship betweensubcontractors and

certification body

Records

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Terminology

4.6.1

Certification bodyrecord system

Description of the recordsystem in sufficient detail toinclude types of records.Reports to stakeholdersregarding summary data suchas number of candidates takingexamination(s) and pass rates.

Copy of the document(s) that describes therecord system

Review of records todetermine if records areaccurate and up-to-date andfollows the written policiesand procedures

4.6.2

Recordsmanagement

Description of how records are

managed and rationale for howlong they are kept

Document control

manual or otherappropriate documentsto include candidateapplication forms,score reports, re-certification documents,disciplinary records,exam statistics, passrates, etc.

Verify that records are being

managed in the mannerdescribed according topolices, procedures, andregulatory or otherrecognition requirements

Any changes in

recordkeeping system

Recognition

arrangementsmay be with astate, federal,regional or othertype of agency.

Confidentiality

4.7

Confidentiality ofInformation

Description of confidentialitypolicies and procedures and/orregulatory requirements.Description of howconfidentiality is assured at alllevels of the organization to

include external bodies orindividuals. Description of howconfidentiality is maintainedwith individuals involved in theexamination process and thecandidates taking theexamination.Evidence of denial of requestsfor information if appropriateDocumentation of howinformation about an certificateis released and circumstancesin which it may be releasedwithout specific consent of thecertificate

Policies andprocedures manualPublished documentsInternal auditsregardingconfidentiality

Management manualConfidentialityagreementsNon-disclosureagreements foraffected staff,volunteers, contractorsCandidate handbooksincluding theresponsibilities of thecandidate.Information releasepolicyWritten consent formsfor release ofinformation

Verify that policy andprocedures or regulatoryrequirements re followed asdescribedReview any files and/oragreements where

information has beenreleased regarding aparticular applicant,candidate or certified person

Any changes inconfidentiality policiesand procedures

4.8

Security

Documentation describingwhere examinations arelocated, proctoringarrangements and how theirsecurity is maintainedDescription of how exams aretransported to and from testsites and handled during testadministration Information onsecurity breaches and howthey are handled. Proceduresto detect whether test itemshave t been compromised.

Policies andprocedures, contractswith subcontractors

Interviews with personnelresponsible for securityprocedures.If appropriate and feasible,review of storage facilitiesWitness use of securitycodes for computerdatabases. Confirm whetherstaffing (proctor and/orexaminers) for the mode oftesting, number ofcandidates, room size andconfiguration is adequate.

Descriptions of anysecurity breaches thatoccurred in the pastyear and thecorrective actionstaken

Personnel Requirements

5.1.1

Competencerequirements for

personnel of thecertification body

Description of the personnelincluding contract personnelinvolved in the certificationprocess and their qualifications

to perform the assignedresponsibilities; documentationof approval by relevantcommittee(s). This includesindividuals such as test centersupervisors and proctors.

J ob descriptions board, committee, staff,contract personnel;process documents

indicating who doeswhat, includes anyoutsourced personnel,minutes of board andcommittee meetings,contracts; vitae andrsums

Interview personnel todetermine their ability tocarry out their assignedresponsibilities.

Any change ofpersonnel and theresponsibilitiesassigned to that

individual

5.1.2

Certification bodypersonnelcommitment tothe rules

Documents regardingconfidentiality and conflict ofinterest or any other formsused by employees andvolunteer sector; description ofprocedures associated withthese forms

Confidentiality, conflictof interest and anyother forms thatindicate how personnelwill follow appropriaterules of the body

Determine that forms signedby all personnel are on fileand up-to-date (annualrenewal); have policies andprocedures been followed

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Terminology

Employee handbook ifappropriate

5.1.3

Up-to-datedescriptions ofduties andresponsibilities of

personnel

Descriptions of duties andresponsibilities of all personnelinvolved and all trainingreceivedDescription of orientationprogram for personnel

Documents frompersonnel files asneeded - jobdescriptionstraining/educationalrecords, orientation

booklet

Review information frompersonnel files, includingtraining/education records tobe reviewedInterview personnel todetermine their knowledge

regarding assignedresponsibilities

Training/educationalactivities conductedduring the yearChanges indescriptions of dutiesand responsibilities

5.1.4

Informationregardingcertification bodypersonnel

Description of how personnelrecords are maintained andwhat information is placed ineach file. Listing of allpersonnel associated with thecertification body

Documents from thepersonnel files asneeded, policies andprocedures regardingpersonnel matters; staffroster and resumes

Information from personnelfiles to be review during theaudit to ensure requiredinformation is beingmaintained

Examiners

5.2.1

Requirements ofexaminers

Description of the criteria,qualifications andresponsibilities of examinersand how they are selected

Contracts, jobdescriptions associatedwith examinersConflict of interestdocumentsConfidentialitydocumentsRsums/vitaeAny relevant officialdocuments

Determine if examiners areproperly selected and ableto perform assigned tasksDetermine that properdocuments have beencompleted

Examiner is anindividual whoactually evaluatesa candidate orscores acandidatesperformance ofproduct (not aproctor).

5.2.2

Examiner conflictof interest

Procedures and criteria todetermine and monitor conflictof interest.If examiner has potentialconflict of interest. indication ofhow the confidentiality andimpartiality of exams are notcompromised

Policy and proceduresmanualsExamples of signedconflict of intereststatementsRecords of anypotential conflict ofinterest and how it washandled

Verification that policieshave been followed

Any complaints filedregarding conflict ofinterest and how itwas resolved

Application

6.1.1

Description ofcertificationprocess

Description of all documentsgiven to an applicant, including

description of theassessments, assessmentcontent outlines/blueprint andre-certification requirements.

All publisheddocuments, including

brochures, candidatehandbook, certificationhandbook, applicationforms and instructions,documents related torecertification

Any changes topublished documents

6.1.2

Application forindividualsseekingcertification

Description of the applicationprocess and rationale forrequesting information onapplication. If an electronicapplication, how is theapplication handled to includesignatureDescription of how applicationinformation is verified.Experience and education thatis required for taking theexamination will be verified by

qualified individuals.Attestations signed bycandidates indicating theirresponsibilities to submitaccurate and truthfulinformation on their applicationand their obligation not toreveal the contents of the test.

Application forms,policies andprocedures for reviewof application to ensurethe applicant isqualified, legal review,confidentialitystatement forapplicants; attestationstatement

Random review of candidatefiles to determine if allapplicants were eligible tobe certified.

Any changes in therequirements for theapplication

Evaluation

6.2.1

Review of

Description of applicationreview process and proceduresand how decisions aredetermined regarding the

Documents used toevaluate applicationsPolicies andprocedures that

Review applications todetermine whether they areevaluated according tocriteria, policies and

Any changes inapplication processing

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Terminology

certificationapplication

application materials, includingindividuals with special needsDescription of how languageissues are addressedDescription of the qualificationsof the individuals reviewing theapplications

determine eligibilitycriteriaForms associated withaccommodations ofspecial needsAny relevantcorrespondencePublished documents

procedures, including issuesassociated with specialneeds

6.2.2

All competencecriteria covered inexamination

Description of how knowledge,skills, and abilities areevaluated in the certificationprocessReports on validity andreliability studies conducted.

Practice analysisresultsAssessment blueprintValidity studiesStatistical reports onthe total exam,components, andconstructsReliability studies

Review ofexamination/assessmentdevelopment process by apsychometrician to ensuregenerally acceptedexamination developmentstandards have been met

Any changes inknowledge, tasks andabilities and how theyare evaluated

6.2.3

Examinationbased onrequirements ofthe scheme

Delineation of methods used toevaluate specific knowledge,skills and abilitiesRationale for specificassessment mechanism(s)used. Rationale for anyrevision of the requirements orthe examination and how these

revisions reflect the current jobrequirements. .

Assessment instrument(s), blueprintassociated withassessment instrument(s), and detailedtechnicaldocumentation of theirdevelopment and

psychometric analysisData to support theselection ofassessmentinstruments, anypublished documents

Review technicaldocumentation ondevelopment and evaluationof instruments to determinethat the procedures used todevelop them andperformance results provideevidence of technical

soundness

Any changesassociated withspecific instrumentsand how theyevaluate specificknowledge, skills, orabilities

Observational isobserving specificskills or behaviorswhen no finalproduct isinvolved ordesired

6.2.4

Documentation ofperformance andresults of theevaluation

Description of howexamination/assessmentresults are recorded andreported and maintainedIndication of any outsiderequirements or regulationrequiring specific reportingprocedures. Quality controlprocesses that minimize thepossibility of scoring errors.Policies and proceduresrelated to when re-testing maybe required.

Policies andproceduresForms associated withreportsRecords, databases,memos or copies ofdocuments that requirespecific reportingproceduresContract with testingagencyInternal audit ofreporting scores

Review records todetermine whether resultsare recorded andmaintained according topolicies and procedures

Decision on Certification

6.3.1

Certificationdecision

Description of how certificationdecisions are determined andwho makes the determinationDescription of procedures inplace to prevent errorregarding decision oncertification of a candidate

Criteria, policies andproceduresContract with outsideagency that may beinvolved in dataregarding the decisionPublished documents

Determine whethercertificants that are certifiedhave met the requirements

6.3.2

Certificateawarded

Certificate issued to allcertificants

Certificate and anycopyright associatedwith it thatdemonstratesownership of certificate

6.3.3

Information oncertificate

Submit the issued certificate

with all the informationprovided on the certificate

Certificate with all of

the requiredinformation on it,candidate brochures,candidate handbook

Review documentation that

all certificants have receiveda certificate or hasrequested the return of thecertificate if certification iswithdrawn from theindividual

Report any changes

to the certificate

Surveillance

6.4.1 & 6.4.2

Surveillance

Description of how surveillanceis accomplished ( i.e.,description of how certificantsare monitored proactively todetermine whether certificate

Published documentsproviding informationon how to reportindividuals who are notcomplying with currentcertification

Review files associated withmonitoring certificantsInterview individualsassociated with surveillanceactivities

Any changes in thesurveillance programActions taken duringthe past year

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Terminology

complies with currentcertification requirements

requirementsSurveys of certificants,employers, etc.Disciplinary actionPolicies andproceduresCode of ethics

Recertification

6.5.1 & 6.5.2

Recertification

Identify recertificationrequirements and show howrequirements relate toidentified competencies.Describe process fordetermining whetherrecertification requirementshave been met

Procedures and formsassociated with re-certificationPolicy and proceduremanualsCandidate andpublished informationdocuments

Review of random files todetermine if certificateshave met requirements forrecertification and determinethat appropriate actionshave been taken whencertificants have not metrecertification requirements

Any changes inrecertificationrequirements orprocedures

Use of Certificates and Logos

6.6.1

Managing therights of mark orlogo

Description of the use of thecertification mark and how it isprotected

Policies andprocedures for usingthe certification markDocuments from theU.S. Patent and

Trademark Office

License agreementswith outside agencies

Review use of certificationmark within and outside thecertification body

Change in certificationmark or its use

6.6.2

Agreementsigned bycertified person

Copy of agreement thatincludes requirements of thisclause

Agreement documentCode of ethicsdocumentDisciplinary actiondocuments

Determine existence ofsigned agreement incertificate record

6.6.3

Inappropriatereferences tocertification

Description of how anyinappropriate references tocertification have beenaddressed and what correctiveactions were taken ifappropriateDescription of how this ismonitored

Documentation relatedto corrective actionsassociated withinappropriatereferences or actionstoward the certificationprocess or bodyRandom audits ofcertificants

Review actions taken or nottaken regardinginappropriate reference tothe certification or use ofcertificates, marks or logos

Report any incidentduring the year andhow it was handled

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