studying the standards

Studying the StandardsREADY?Let’s begin!140 minutes for 37 slides

ANSI Training 2013: Webb/Krishna

PCAC-FR-501PCAC Initial Assessment ReportAs you review an application, there is a form

that has 3 columns. The first column contains abbreviated text from the standard. (You don’t alter the column – it was populated for you.)

The middle column is where you enter “Evidence Examined,” which reminds you that the Certifying Body must show evidence

The rightmost column is a check-box, where you indicate your decision (for each standard)


Your decisionsAs you consider each standard, your

decision will be:Met the requirementNon-conformity identifiedOpportunity for improvementCommendation


Introduction to the Standards4 General requirements

4.1 Legal matters The certification body shall be a legal entity,

or a defined part of a legal entity, such that it can be held legally responsible for its certification activities. A governmental certification body is deemed to be a legal entity on the basis of its governmental status.

Provide a copy of the certification body’s articles of incorporation and bylaws.


Why consider the application?Copy of standardsApplication completed by certifying bodiesDo you need both?


CounterfeitsHow are people trained to spot counterfeit

bills?


You need to know the standardsBut when assessing you will be looking at

the application textYou will use your knowledge of the

standard to consider the Certifying Body’s text

The text is there to guide you to the evidence

If there is no evidence, the assessor must request evidence


4.1 Legal matters . The certification body shall be a legal entity, or a defined part of a legal entity, such that it can be held legally responsible for its certification activities. A governmental certification body is deemed to be a legal entity on the basis of its governmental status. Provide a copy of the certification body’s articles of incorporation and bylaws.

Sample text on application: “The Certification Board is a legal entity and

incorporated in the state of Virginia.”

Assessor thinks: SHOW MECreative writing in the application should

not be your basis for considering each standard

For each standard, your choices are: Met the standard, Opportunity for improvement, Non-conformity, Commendation


4.1 Legal entityStraightforwardClearNo certifying body would ever have a

problem hereOr would they?Who can think of what might be wrong in

4.1?


4.1 There’s more!BYLAWSWhat are bylaws?How would the assessor know if the bylaws

are ______?ExcellentReasonableMinimally acceptable


BylawsFor now, see if the Certifying Body gave

you a copy of the BylawsYou will see how they work as you go

through other standards


4.2 4.2 Responsibility for decision on

certification The certification body shall be responsible

for, shall retain authority for, and shall not delegate, its decisions relating to certification, including the granting, maintaining, recertifying, expanding and reducing the scope of the certification, and suspending or withdrawing the certification.


Let’s split it – first the verbsThe certification body shall be responsible

for, shall retain authority for, and shall not delegate


Second, What?its decisions relating to certification,

including the granting, maintaining, recertifying, expanding and reducing the scope of the certification, and suspending or withdrawing the certification.


Pick it apartits decisions relating to certification

(usually yes/no)including the Granting (certify or not), Maintaining (keeping it, usually gradual)Recertifying (usually time-determined), Expanding and reducing the scope of the

certification (making a big change) Suspending or withdrawing the certification

(making rules known)


EvidenceProvide evidence that the certification body

has the authority and does not delegate its decisions relating to certification including the granting, maintaining, recertifying, expanding and reducing the scope of the certification, and suspending or withdrawing the certification.

Creative writing is insufficient; it must direct the assessor to evidence

What kind of evidence could a Certifying Body submit?


Ideas for evidence:(your list here)


4.3 Management of impartiality 4.3.1 The certification body shall document its

structure, policies and procedures to manage impartiality and to ensure that the certification activities are undertaken impartially. The certification body shall have top management commitment to impartiality in certification activities. The certification body shall have a statement publicly accessible without request that it understands the importance of impartiality in carrying out its certification activities, manages conflict of interest and ensures the objectivity of its certification activities.


What is it?Impartiality (also called evenhandedness

or fair-mindedness) is a principle of justice holding that decisions should be based on objective criteria, rather than on the basis of bias, prejudice, or preferring the benefit to one person over another for improper reasons. (Wikipedia)

Adjective: not partial or biased; fair; just: an impartial judge. (Dictionary.com)

Impartial: treating all people and groups equally : not partial or biased (Merriam-Webster)


Use word “impartial” in a story:A dogA cheeseburgerA favorite pair of jeansSnow

Pick one – use word “impartial” in your story.

WORK IN TWOs or THREEsTake 4 minutes


Standard? Several sections4.3.1 The certification body shall document its

structure, policies and procedures to manage impartiality and to ensure that the certification activities are undertaken impartially. The certification body shall have top management commitment to impartiality in certification activities. The certification body shall have a statement publicly accessible without request that it understands the importance of impartiality in carrying out its certification activities, manages conflict of interest and ensures the objectivity of its certification activities.


Application asks for:a) Provide documentation to show that the

certification body is structured to operate in an impartial manner.

What could be shown? b) Provide a copy of the publicly accessible

statement that shows that the certification body is committed to impartiality.

What could be shown?


But wait, there’s more4.3.2 The certification body shall act impartially

in relation to its applicants, candidates and certified persons.

4.3.3 Policies and procedures for certification of persons shall be fair among all applicants, candidates and certified persons.

4.3.4 Certification shall not be restricted on the grounds of undue financial or other limiting conditions, such as membership of an association or group. The certification body shall not use procedures to unfairly impede or inhibit access by applicants and candidates.


Hang on4.3.5 The certification body shall be responsible

for the impartiality of its certification activities and shall not allow commercial, financial or other pressures to compromise impartiality.

4.3.6 The certification body shall identify threats to its impartiality on an ongoing basis. This shall include those threats that arise from its activities, from its related bodies, from its relationships, or from the relationships of its personnel. However, such relationships do not necessarily present a body with a threat to impartiality.


Circle Back4.3.1 The certification body shall document its

structure, policies and procedures to manage impartiality and to ensure that the certification activities are undertaken impartially.

The certification body shall have top management commitment to impartiality in certification activities.

The certification body shall have a statement publicly accessible without request that it understands the importance of impartiality in carrying out its certification activities, manages conflict of interest and ensures the objectivity of its certification activities.

YOUR IDEAS ABOUT EVIDENCE?


4.3.24.3.2 The certification body shall act

impartially in relation to its applicants, candidates and certified persons.

Provide evidence that the certification body implements its policies and procedures impartially in relation to its applicant, candidates, and certified persons.

YOUR IDEAS ABOUT EVIDENCE


4.3.34.3.3 Policies and procedures for

certification of persons shall be fair among all applicants, candidates and certified persons.

Provide evidence that the certification body implements its policies and procedures in a fair manner among all applicants, candidates, and certified persons.

YOUR IDEAS ABOUT EVIDENCE


4.3.44.3.4 Certification shall not be restricted on the

grounds of undue financial or other limiting conditions, such as membership of an association or group. The certification body shall not use procedures to unfairly impede or inhibit access by applicants and candidates.

a) Does the certification body require that the applicant holds membership in any organization to take the certification examination? If yes, provide a rationale.

b) List your certification fee structure including application fee, examination registration fee, and maintenance fee.

c) Does the certification body charge different examination fees for different groups such as members and non-members? If so, provide the rationale for the fee differences.


Your thoughts?Is it a non-conformity if a Certifying Body

charges “members” a lower fee than “non-members”? Why or why not?

What if the price for members is $300 and the price for non-members is $400?

What if the price for member is $300 and the price for non-members is $3,000?


Rules of thumbWhat thoughts from the conversation about

the previous slide could guide you in future assessments?


4.3.54.3.5 The certification body shall be

responsible for the impartiality of its certification activities and shall not allow commercial, financial or other pressures to compromise impartiality.

(application says): No information is required here as the information provided under 4.3.6 is used to evaluate compliance under this requirement.


4.3.64.3.6 The certification body shall identify threats to

its impartiality on an ongoing basis. This shall include those threats that arise from its activities, from its related bodies, from its relationships, or from the relationships of its personnel. However, such relationships do not necessarily present a body with a threat to impartiality.

NOTE 1 A relationship that threatens the impartiality of the body can be based on ownership, governance, management, personnel, shared resources, finances, contracts, marketing (including branding) and payment of a sales commission or other inducement for the referral of new applicants, etc.


There is more….NOTE 2 Threats to impartiality can be either

actual or perceived. NOTE 3 A related body is one which is linked

to the certification body by common ownership, in whole or part, and has common members of the board of directors, contractual arrangements, common names, common staff, informal understanding or other means, such that the related body has a vested interest in any certification decision or has a potential ability to influence the process.


…Provide a list of all the related bodies and

describe its relationship with the certification body.

b) Provide an impartiality threat analysis report for all the related bodies and steps taken by the certifying agency to eliminate/minimize them. Let’s create some examples. Can you think

of some “related bodies?”What might a threat analysis look like?


4.3.74.3.7 The certification body shall analyse,

document and eliminate or minimize the potential conflict of interests arising from its certification activities. The certification body shall document and be able to demonstrate how it eliminates, minimizes or manages such threats. All potential sources of conflict of interest that are identified, whether they arise from within the certification body, such as assigning responsibilities to personnel, or from the activities of other persons, bodies or organizations, shall be covered.


EvidenceFor each of the following groups that are involved

with the certification activities, provide documentation to demonstrate how the certifying agency eliminates or minimizes conflict of interests.Certification board and/or scheme committee

members Examination committee members including item

writersTrainers, if applicableVolunteers related to certification activitiesCertification personnel

YOUR IDEAS ABOUT EVIDENCE?


ONE MORE SECTION: 4.3.84.3.8 Certification activities shall be

structured and managed so as to safeguard impartiality. This shall include balanced involvement of interested parties (see definition 3.21).

Who can find the definition?


Evidencea) List the certification body’s interested

parties. b) Provide documentation on the process to

identify the certification body’s interested parties (key stakeholder groups)

c) Document how interested parties participate in or represent on the advisory committee/ certification board/scheme committee.


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studying the standards

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