ISO/IEC 17021 REQUIREMENT MATRIX

AUTHORITY: EFFECTIVE DATE: DOCUMENT NUMBER:

ACCREDITATION MANAGER 02 JUNE 2009 CL 3000.06

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ISO/IEC 17021 & IAF Annexes Conforms AB Comments CB Response (to AB Comments)
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5.1.1 Legal entity.

5.1.2 Certification agreement.
5.1.3 Responsibility for certification decisions.
5.2.1 Publicly accessible statement by top management
regarding impartiality.
5.2.2 Impartiality analysis and review by the impartiality
committee.
5.2.3 Not offering certification when relationships that
threaten impartiality cannot be eliminated or minimized.
5.2.4 Not certifying another CB for management systems.

5.2.5 No management systems consultancy.

5.2.6 No internal audits of certified clients.
5.2.7 Not certifying a client when the CB’s relationship with
a management systems consultancy poses an
unacceptable threat to impartiality.
5.2.8 Not outsourcing audits to a management system
consultancy organization.
5.2.9 No CB marketing linked to management systems
consultancy.
5.2.10 Ensuring no conflict of interest of personnel.
5.2.11 Response to any threats to impartiality.
5.2.12 Personnel, internal and external, and committees,
shall act impartially.
5.2.13 Requiring personnel, internal and external, to reveal
any potential conflict of interest.
5.3.1 Risk and liability analysis.
5.3.2 Evaluation of finances and sources of income for
threats to impartiality, and review by the impartiality
committee.
6.1.1 Organizational structure, including duties,
responsibilities and authorities for personnel and
committees; and relationships to any other parts of the
organization.
6.1.2 Top management authority and responsibility.
6.1.3 Rules for committees.

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6.2.1 Impartiality committee

6.2.2—6.2.3 Documented composition, terms of reference,
duties, authorities and competence of members, and
responsibilities of the impartiality committee.
7.1.1—7.1.2 Processes for determining and demonstrating
competence of all personnel involved in certification.
7.1.3 Access to technical expertise.
7.2.1 Competence of personnel managing audit programs.
7.2.2 Access to sufficient auditors.
7.2.3 Informing each person of their duties, responsibilities
and authorities.
7.2.4 Defined processes for selecting, training, authorizing
and monitoring of auditors, and selection of experts,
including the observation of an on-site audit for initial
competence evaluation.
7.2.5 Documented processes for demonstrating effective
auditing, including the use of auditors with generic
auditing knowledge and skills and knowledge and skills
for auditing in specific technical areas. Based on ISO
19011.
7.2.6 Ensuring auditors/experts familiar with requirements
and access to up-to-date documented procedures and
instructions.
7.2.7 Use of auditors/experts with demonstrated
competence.
7.2.8 Providing specific training of auditors, experts and
others, as needed.
7.2.9 Knowledge and experience of person(s) taking
certification decisions.
7.2.10—7.2.12 Documented procedures for monitoring and
measurement of performance and competence of
personnel involved in audit and certification activities,
including on-site observation.
7.3 Written agreement for external auditors/experts.
7.4 Personnel records.
7.5.1 Process and enforceable arrangements for
outsourcing.
7.5.2 Not outsource the certification decision.
7.5.3 CB responsibility for outsourced certification activities.
7.5.4 Documented procedures for qualification and
monitoring of bodies providing outsourced services;
records of the qualification of auditors.
8.1—8.1.4 Publicly accessible information.
8.2—8.2.3 Certification documents.
8.3 Directory of certified clients.
8.4.1 CB policy governing any mark it authorizes certified

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clients to use.
8.4.2 CB shall not permit its marks to be applied to
laboratory test, calibration or inspection reports.
8.4.3 CB’s requirements of the client organization regarding
reference to certification.
8.4.4 CB ownership of marks and reports and control of
use and references.
8.5—8.5.7 Policy and arrangements to safeguard
confidentiality.
8.6.1 Information provided by the CB to its clients.
8.6.2 Notice to clients of changes by the CB.
8.6.3 Notice to the CB of changes by a client.
9.1.1 Audit program for initial, surveillance and
recertification. Three year certification cycle.
Adjustments to audit program.
9.1.2 CB requirements for audit planning.
9.1.3 Documented process for selecting and appointing
audit teams for competence needed.
9.1.4 Documented procedures for determining auditor time,
justification and records.
9.1.5 Program for multi-site sampling.
9.1.6 Communicating the defined tasks of the audit team to
the audit team and client.
9.1.7 Providing information about audit team members to
provide the client sufficient time to object.
9.1.8 Audit plan and dates communicated to client.
9.1.9 Documented procedure(s) for conducting on-site
audits.
9.1.10 Written audit report for each audit.
9.1.11 CB requirements for client to analyze cause and
describe correction and corrective actions within a
defined time.
9.1.12 CB review of correction and corrective action by
client.
9.1.13 Informing the client of CB’s actions for verifying
effective correction and corrective action.
9.1.14 Certification decision by person(s) different from
those that carried out the audits.
9.1.15 Prior to granting initial certification, satisfactory
correction and corrective action for “major”
nonconformities and acceptable plans for minor
nonconformities.
9.2.1 Required application information.
9.2.2.1 Application review by the CB.
9.2.2.2 Based on the application review, determination of
competence needed for the audit team and certification

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decision.
9.2.2.3 Appointment of an audit team with needed
competences.
9.2.2.4 Appointment of person(s) to make certification
decision with needed competences.
9.2.3 Initial certification audit in two stages.
9.2.3.1.1 Stage 1 audit expectations.
9.2.3.1.2 Stage 1 audit findings and concerns
communicated to the client.
9.2.3.1.3 Consideration of stage 2 audit arrangements
based on stage 1 audit findings.
9.2.3.2 Stage 2 audit.
9.2.4 Analysis of stage 1 and stage 2 audits for initial
certification audit conclusions.
9.2.5—9.2.5.2 Information for the initial certification
decision.

9.3.1.1—9.3.1.2 Surveillance program

9.3.2.1 Surveillance audit content
9.3.2.2 Surveillance audits conducted at least once a year.
9.3.3 Maintaining certification
9.4.1.1 Recertification audit planned to evaluate continued
fulfillment and effectiveness of the management
system.
9.4.1.2 Recertification audit plan shall consider
performance over the period of certification, including
review of surveillance audit reports.
9.4.1.3 For recertification audit planning consideration of
the need for a stage 1 for significant changes.
9.4.1.4 For recertification audit planning consideration of
multiple sites or multiple management system standards.
9.4.2.1 Recertification audit shall include an on-site audit
that addresses effectiveness, improvement, and
achievement of policies and objectives.

9.4.2.2 For nonconformities from the recertification audit,

the CB shall define time limits for correction and corrective
action to be implemented prior to expiration of certification.

9.4.3 Decisions on renewing certification based on the

review of the recertification audit plus results over the
period of certification plus complaints from users.
9.5.1 Special audits for extensions to scope.
9.5.2 CB documented process for short notice audits in
response to complaints or suspension.

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ISO/IEC 17021 & IAF Annexes Conforms?
& Attachments
Identify specific AB Comments CB Response (to AB Comments)
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Yes No
document for text detail. sections, as
applicable

9.6—9.6.7 Suspending, withdrawing or reducing

certification

9.7—9.7.8 Appeals
9.8—9.8.10 Complaints
9.9—9.9.4 Records on clients and applicants
10.1 Management system requirements options
10.2—10.2.5 Management system requirements in
accordance with ISO 9001
10.3—10.3.8 General management system requirements
IAF Mandatory Documents
IAF MD 1 - Certification of Multiple Sites Based on
Sampling
IAF MD 2 - Transfer of Accredited Certification of
Management Systems
IAF MD 3 - Advanced Surveillance and Recertification
Procedures (ASRP)
IAF MD 4 - Use of Computer Assisted Auditing Techniques
("CAAT") for Accredited Certification of Management
Systems
IAF MD 5 - Duration of QMS and EMS Audits

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