ISO 17020:2012 Checklist

This ISO 17020:2012 Checklist can be used by inspection bodies to assess compliance with standards for impartiality, inspection methods and resources.

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ISO 17020:2012 Checklist

4.1 Impartiality And Independence

9. 4.1.6.b - Does the inspection body meet the type B requirements of Clause A.2, which applies only to first-party inspections, second-party inspections, or both, and forms a separate and identifiable part of an organization involved in the design, manufacture, supply, installation, use, or maintenance of the items it inspects, supplying inspection services only to its parent organization (in-house inspection body)?

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10. 4.1.6.c - Does the inspection body meet the type C requirements of Clause A.3, which applies only to first-party inspections, second-party inspections, or both, and forms an identifiable but not necessarily a separate part of an organization involved in the design, manufacture, supply, installation, use, or maintenance of the items it inspects, supplying inspection services to its parent organization, to other parties, or to both?

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4.2 Confidentiality

1. 4.2.1 Is the inspection body responsible for the management of all information obtained or created during the performance of inspection activities, through legally enforceable commitments? Does the inspection body inform the client, in advance of the information it intends to place in the public domain? Except for information that the client makes publicly available, or when agreed between the inspection body and the client (e.g. for the purpose of responding to complaints), all other information is considered proprietary information and shall be regarded as confidential.

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5.1 Administrative Requirements

5.2 Organization And Management

9. 5.2.5 Does the inspection body have one or more person(s) available as technical manager(s) who have overall responsibility to ensure that the inspection activities are carried out in accordance with this International Standard? Is (Are) the person(s) fulfilling this function technically competent and experienced in the operation of the inspection body? Are specific responsibilities of each manager defined and documented where the inspection body has more than one technical manager?

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11. ILACP15 5.2.5n2 In order to ensure that the inspection activities are carried out in accordance with ISO/IEC 17020, do the technical manager(s) and any deputy(ies), have the technical competence necessary to understand all significant issues involved in the performance of inspection activities?

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6.1 Personnel

4. 6.1.2 Does the inspection body employ, or have contracts with a sufficient number of persons with the required competencies, including, where needed, the ability to make professional judgments, to perform the type, range, and volume of its inspection activities?

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17. 6.1.8 Do personnel familiar with the inspection methods and procedures monitor all inspectors and other personnel involved in inspection activities for satisfactory performance? Are results of monitoring used as a means of identifying training needs (see 6.1.7)?

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23. 6.1.13 Does all inspection body personnel, including sub-contractors, personnel of external bodies, and individuals acting on the inspection body's behalf, keep confidential all information obtained or created during the performance of the inspection activities, except as required by law?

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6.2 Facilities And Equipment

12. ILAC P15 6.2.7n1 According to ILAC P10 it is possible to perform in-house calibration of equipment used for measurements. If applicable, does the accreditation body have a policy to ensure that such in-house calibration services are performed in accordance with the relevant criteria for metrological traceability in ISO/IEC 17025?

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13. 6.2.8 Are reference standards of measurement used by the inspection body used for inspection only and for no other purpose? Are reference standards of measurement inspected by a competent body that can provide traceability to a national or international standard of measurement?

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24. 6.2.14 Are there documented procedures for dealing with defective equipment? Is defective equipment removed from service by segregation, prominent labeling, or marking? Does the inspection body examine the effect of defects on previous inspections and, when necessary, take appropriate corrective action?

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6.3 Subcontracting

2. If the inspection body subcontracts any part of the inspection, does it ensure and is it able to demonstrate that its subcontractor is competent to perform the service in question and where applicable, complies with the relevant criteria stipulated in this international standard or in other relevant conformity assessment standards?

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6. ILACP15 6.3.4n2 Does the inspection body ensure that the scope of the subcontractor’s accreditation covers the activities to be subcontracted if the evaluation of the competence of the subcontractor is based partly or in full on its accreditation, the inspection body?

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7.1 Inspection Methods And Procedures

4. 7.1.2 Are adequate documented instructions available and used by the inspection body regarding inspection planning and standard sampling and inspection techniques, where the absence of such instructions could jeopardize the effectiveness of the inspection process?

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9. 7.1.5.b - Is there a contract or work order control system that ensures the requirements of those seeking the inspection body's services are adequately defined and that special conditions are understood, so that unambiguous instructions can be issued to personnel performing the duties?

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12. LACP15 7.1.5n2 In situations where verbal work orders are acceptable, does the inspection body keep a record of all requests and instructions received verbally? Where appropriate, are the relevant date and the identity of the clients representative recorded?

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7.2 Handling Inspection Items And Samples

3. 7.2.3 Are any apparent abnormalities notified to or noticed by the inspector recorded before the commencement of the inspection? Is the client consulted before proceeding with the inspection if there is any doubt as to the item’s suitability for inspection to be carried out, or where the item does not conform to the description provided?

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7.3 Inspection Records

7.4 Inspection Reports

7.5 Complaints And Appeals

7.6 Complaints And Appeals Process

8.1 Options - General - Option A

Option B

1. 8.1.3 Has the inspection body established and maintained a management system in accordance with the requirements of ISO 9001 that is capable of supporting and demonstrating the consistent fulfillment of the requirements of this International Standard (fulfillment of the management system clause requirements (see 8.2 to 8.8))?

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8.2 Management System Documentation (Option A)

1. 8.2.1 Has top management of the inspection body established, documented, and maintained policies and objectives for the fulfillment of this International Standard and does it ensure that policies and objectives are acknowledged and implemented at all levels of the inspection body's organization?

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4. 8.2.3.a - Does the inspection body's top management appoint a member of management who has responsibility and authority for ensuring that processes and procedures needed for the management system are established, implemented, and maintained, irrespective of other responsibilities?

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8.3 Control Of Documents (Option A)

8.4 Control Of Records (Option A)

1. 8.4.1 Does the inspection body have documented procedures to define the controls needed for the identification, storage, protection, retrieval, retention time, and disposition of its records related to the fulfillment of this International Standard?

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8.5 Management Review (Option A)

1. 8.5.1.1 Does the inspection body have documented procedures to review its management system at planned intervals, in order to ensure its continuing suitability, adequacy, and effectiveness, including the stated policies and objectives related to the fulfillment of this International Standard?

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8.6 Internal Audits (Option A)

8.7 Corrective Actions (Option A)

8.8 Preventive Actions (Option A)

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ISO 17020:2012 Checklist

This ISO 17020:2012 Checklist can be used by inspection bodies to assess compliance with standards for impartiality, inspection methods and resources.

1. 4.1.1 Are inspection activities carried out impartially?

2. 4.1.2 Does the inspection body bear responsibility for the impartiality of its inspection activities and ensure the absence of commercial, financial, or other pressures that can compromise impartiality?

3. 4.1.3 Does the inspection body identify risks to its impartiality on an ongoing basis?

4. This shall include those risks that arise from its activities, relationships, and the relationships of its personnel.

5. 4.1.4 Does the inspection body demonstrate how it eliminates or minimizes risk to impartiality if such is identified?

6. 4.1.5 Does the inspection body have a commitment from top management to impartiality?

7. 4.1.6 - Is the inspection body independent to the extent required with regard to the conditions under which it performs its services? Depending on these conditions, does it meet the minimum requirements outlined below?

8. 4.1.6.a - Does the inspection body meet the type A requirements of Clause A.1, which applies to third-party inspection bodies only?

2. 4.2.2 Is the client or individual concerned notified by the inspection body when the inspection body is required either by law or authorized by contractual commitments to release confidential information?

3. 4.2.3 Is information about the client, when obtained from sources other than the client, treated as confidential?

1. 5.1.1 Is the inspection body a legal entity, or a defined part of a legal entity, such that it can be held legally responsible for all its inspection activities?

2. 5.1.2 Is the inspection body which is part of a legal entity involved in activities other than inspection identifiable within that entity?

3. 5.1.3 Does the inspection body have documentation describing the activities for which it is competent?

4. 5.1.4 Does the inspection body have adequate provisions (e.g. insurance or reserves) to cover liabilities arising from its operations?

5. 5.1.5 Does the inspection body have documentation describing the contractual conditions under which it provides the inspection, except when it provides inspection services to the legal entity of which it is a part?

1. 5.2.1 Is the inspection body structured and managed in order to safeguard impartiality?

2. 5.2.2 Is the inspection body organized and managed in order to maintain the capability to perform its inspection activities?

3. ILACP15 5.2.2n1 Is the size, structure, composition, and management of the inspection body, taken together, suitable for the competent performance of the activities within the scope for which the inspection body is accredited?

4. ILACP15 5.2.2n2 To maintain the capability to perform the inspection activities, does the inspection body take steps to keep it appropriately informed about applicable technical, scheme, and/or legislative developments concerning its activities?

5. ILACP15 5.2.2n3 Does the inspection body maintain its capability and competence to carry out inspection activities performed infrequently (normally with intervals longer than one year)?

6. 5.2.3 Does the inspection body define and document the responsibilities and reporting structure of the organization?

7. ILACP15 5.2.3n1 Does the inspection body maintain an up-to-date organizational chart or documents clearly indicating the functions and lines of authority for staff within the inspection body?

8. 5.2.4 Does the inspection body define the relationship between other activities and inspection activities where the inspection body forms a part of a legal entity performing other activities?

10. ILACP15 5.2.5n1 In order to be considered as “available”, is the person either employed or otherwise contracted?

11. ILACP15 5.2.5n2 In order to ensure that the inspection activities are carried out in accordance with ISO/IEC 17020, do the technical manager(s) and any deputy(ies), have the technical competence necessary to understand all significant issues involved in the performance of inspection activities?

12. 5.2.6 Does the inspection body have one or more person(s) who will deputize in the absence of any technical manager responsible for ongoing inspection activities?

13. 5.2.7 Does the inspection body have a job description or other documentation for each position category within its organization involved in inspection activities?

14. ILACP15 5.2.7n2 Does the job description or other documentation detail the duties, responsibilities, and authorities for each position category referred to.?

1. 6.1.1 Does the inspection body define and document the competence requirements for all personnel involved in inspection activities, including requirements for education, training, technical knowledge, skills, and experience?

2. ILACP15 6.1.1n1 Where appropriate does the inspection, does the body define and document competence requirements for each inspection activity?

3. ILACP15 6.1.1n4 When professional judgment is needed to determine conformity, is this considered when defining competence requirements?

4. 6.1.2 Does the inspection body employ, or have contracts with a sufficient number of persons with the required competencies, including, where needed, the ability to make professional judgments, to perform the type, range, and volume of its inspection activities?

5. ILACP15 6.1.2n1 In the case the inspection body utilizes contract personnel, do all requirements of ISO/IEC 17020 apply equally for both employed and contracted persons?

6. 6.1.3 Does the personnel responsible for inspection have appropriate qualifications, training, experience, and a satisfactory knowledge of the requirements of the inspections to be carried out?

7. Does the personnel responsible for inspection have relevant knowledge of the technology used for the manufacture of the products inspected, the operation of processes, and the delivery of services?

8. Does the personnel responsible for inspection have relevant knowledge of the way in which products are used, processes are operated, and services delivered?

9. Does the personnel responsible for inspection have relevant knowledge of any defects that may occur during the use of the product, any failures in the operation of the process, and any deficiencies in the delivery of services?

10. Do they understand the significance of deviations found with regard to the normal use of the products, the operation of the processes, and the delivery of services?

11. 6.1.4 Does the inspection make clear to each person their duties, responsibilities, and authorities?

12. 6.1.5 Does the inspection body have documented procedures for selecting, training, formally authorizing, and monitoring inspectors and other personnel involved in inspection activities?

13. 6.1.6.a - Has the inspection body established the necessary stages of training for each of its personnel, which may include an induction period?

14. 6.1.6.b - Has the inspection body established the necessary stages of training for each of its personnel, which may include a mentored working period with experienced inspectors?

15. 6.1.6.c - Has the inspection body established the necessary stages of training for each of its personnel, which may include continuation training throughout employment, to keep pace with developing technology and inspection methods?

16. 6.1.7 Does the training required depend on the ability, qualifications, and experience of each inspector and other personnel involved in inspection activities, and upon the results of monitoring (see 6.1.8)?

17. 6.1.8 Do personnel familiar with the inspection methods and procedures monitor all inspectors and other personnel involved in inspection activities for satisfactory performance? Are results of monitoring used as a means of identifying training needs (see 6.1.7)?

18. Is each inspector observed on-site (unless there is sufficient supporting evidence that the inspector is continuing to perform competently)?

19. the inspector is continuing to perform competently)?

20. 6.1.10 Does the inspection body maintain records of monitoring, education, training, technical knowledge, skills, experience, and authorization of each member of its personnel involved in inspection activities?

21. 6.1.11 Is personnel involved in inspection activities not remunerated in a way that influences the results of inspections?

22. 6.1.12 Do all inspection body personnel, either internal or external, that could influence the inspection activities, act impartially?

23. 6.1.13 Does all inspection body personnel, including sub-contractors, personnel of external bodies, and individuals acting on the inspection body's behalf, keep confidential all information obtained or created during the performance of the inspection activities, except as required by law?

1. 6.2.1 Are there suitable and adequate facilities and equipment available to permit all activities associated with the inspection services that are carried out in a competent and safe manner?

2. 6.2.2 Do rules exist for access to and the use of specified facilities and equipment used to perform inspections?

3. 6.2.3 Does the inspection body ensure the continued suitability of the facilities and the equipment mentioned in 6.2.1 for their intended use?

4. ILACP15 6.2.3n1 - If controlled environmental conditions are needed, e.g. for the correct performance of the inspection, do inspection bodies monitor these and record the results?

5. 6.2.4 Is all such equipment having a significant influence properly defined, and where appropriate uniquely identified?

6. 6.2.5 Is all such equipment (see 6.2.4) properly maintained in accordance with the inspection body’s documented procedures and instructions?

7. 6.2.6 Is measurement equipment having a significant influence on the results of the inspection inspected before being put into service and thereafter according to an established program?

8. ILACP15 6.2.6n1 IS the justification for not calibrating equipment that has a significant influence on the outcome of inspection (see clause 6.2.4) recorded.

9. If appropriate (normally for the equipment covered by clause 6.2.6), does the definition shall include the required accuracy and measurement range?

10. 6.2.7 Is the inspection program for equipment designed and operated to ensure that wherever applicable measurements made by the inspection body are traceable to national and international standards of measurement, where available?

11. Where traceability to national or international standards of measurement is not applicable, the inspection body shall maintain evidence of correlation or accuracy of inspection results.

13. 6.2.8 Are reference standards of measurement used by the inspection body used for inspection only and for no other purpose? Are reference standards of measurement inspected by a competent body that can provide traceability to a national or international standard of measurement?

14. 6.2.9 Is equipment subjected to in-service checks between regular re-inspections, where relevant?

15. ILACP15 6.2.9n1 Is the frequency and acceptance criteria defined where equipment is subjected to in-service checks between regular re-calibrations?

16. 6.2.10 Are reference materials, where possible, traceable to national or international standard reference materials?

17. 6.2.11.a - Does the inspection body have procedures for the selection and approval of suppliers where relevant to the outcome of inspection activities?

18. 6.2.11.b - Does the inspection body have procedures for the verification of incoming goods and services where relevant to the outcome of inspection activities?

19. 6.2.11.c - Does the inspection body have procedures for ensuring appropriate storage facilities where relevant for the outcome of inspection activities?

20. 6.2.12 Is the condition of stored items assessed at appropriate intervals to detect deterioration, where applicable?

21. 6.2.13.a - If the inspection body uses computers or automated equipment in connection with inspections, does it ensure that the computer software is adequate for use?

22. 6.2.13.b - If the inspection body uses computers or automated equipment in connection with inspections, does it ensure that procedures are established and implemented to protect the integrity and security of data?

23. 6.2.13.c - If the inspection body uses computers or automated equipment in connection with inspections, does it ensure that the computer and automated equipment are maintained to ensure proper functioning?

25. 6.2.15 Is relevant information on the equipment recorded, which normally includes identification, inspection, and maintenance?

1. 6.3.1 Does the inspection body normally perform the inspections which it contracts to undertake?

3. 6.3.2 Does the inspection body inform the client of its intention to subcontract any part of the inspection?

4. 6.3.3 Does the inspection body take the responsibility of determining the subcontractor’s conformity with the requirements?

5. 6.3.4 Does the inspection body record and retain details of its investigation of the competence and compliance of its subcontractors? Does the inspection body maintain a register of all subcontracting?