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Surveillance and Reassessment

PUBLIC PROCEDURE PCAC-PR-516 Issued: 2017-5-5, Revision: 4

References PCAC-FR-504: Application for ANSI Accreditation Under ANSI/ISO/IEC 17024
PCAC-PL-502: Operating Policy of the Personnel Certification Accreditation Committee (PCAC)
PCAC-PR-515: Application and Initial Assessment Process
PCAC-PR-519: Conditions for Granting, Maintaining, Extending, Reducing, Suspending or Placing on Probation and Withdrawing Accreditation
PCAC-PR-522: Fees - Accreditation of Personnel Certification Bodies
ISO/IEC 17011:2017, Conformity assessment - General requirements for accreditation bodies accrediting conformity assessment bodies
ISO/IEC 17024:2012, Conformity assessment - General requirements for bodies operating certification of persons
1.1The objective of this document is to establish the procedures for surveillance and reassessment of certification bodies (herein, CBs) under ISO/IEC 17011:2004, Conformity assessment - General requirements for accreditation bodies accrediting conformity assessment bodies.
CB: Certification Body. ETG: Evaluation Task Group. NCR: nonconformity.
3Continuing Accreditation (Surveillance)
3.1Continuing accreditation assessment activities (surveillance) shall commence no later than 12 months from the date of initial accreditation, as indicated on the ANSI certificate of accreditation. The purpose of these activities shall be to:
a)determine that the program continues to operate in conformity with ANSI requirements and the requirements of ISO/IEC 17024;
b)determine that the program continues to operate as described in the documentation governing the program;
c)determine if any major changes reported have affected the conformity of the program to ANSI/ISO/IEC 17024 or ANSI requirements.
3.2Continuing accreditation activities shall include but not be limited to:
a)assessments needed to confirm that the program is in conformance as set forth in the program documents approved by ANSI and in accordance with ANSI requirements;
b)submission of an annual surveillance self-report.
3.3The CB shall submit an annual surveillance self-assessment report on a date to be determined by ANSI staff but prior to the initial anniversary accreditation date.
3.3.1ANSI staff shall notify the CB regarding the due date for the submission of the annual self assessment report. The CB must submit a completed surveillance application by the due date. The CB can request an extension that is subject to approval by the ANSI Program Director.
3.3.2The surveillance self-report shall be submitted to ANSI in three hard copies or electronically. ANSI staff shall review the report for completeness and if necessary, request clarification from the CB.
3.3.3After staff review, the copies of the report are forwarded to the two selected assessors for their document review.
3.3.4The CB shall have the opportunity to approve or reject the assessment team based on conflict of interest, if there is any change in the assessment team.
3.3.5Failure to submit a complete annual surveillance self-assessment report may result in ANSI administrative action(s) and / or the PCAC accreditation action(s), including withdrawal of accreditation.
3.4If additional materials are needed to determine if a requirement is met, the same timelines and consequences regarding the submission of materials as listed in PCAC-PR-515 shall apply.
3.5During the first and third year after the year in which the CB was accredited or reaccredited, ANSI surveillance onsite assessment shall be conducted in addition to document review. During other years, surveillance shall be limited to document review unless ANSI determines that an unscheduled onsite assessment is necessary in order to ascertain compliance of the accredited CB with the ANSI and ISO/IEC 17024 requirements.
3.6All nonconformities must be closed within 90 days. PCAC may grant additional time to close a nonconformity based on its severity and corrective action implementation target date.
3.7All premises where the CB performs key certification activities should be assessed within an accreditation cycle. Sampling (if applicable) should ensure proper evaluation of the competence of the CB.
3.8The assessors shall submit a surveillance report to ANSI. This report shall be reviewed for accuracy using a review similar to the initial assessment process. The report shall include statements on compliance of the CB with each clause of the standard as well as all identified nonconformities (herein, NCRs).
3.9Surveillance report, including the implemented corrective actions or the proposed plan for their implementation by the accredited CB is reviewed by the PCAC Evaluation Task Group (herein, ETG). The ETG in turn makes recommendation to PCAC which makes decision in accordance with PCAC-PR-519 and PCAC-PL-502.
3.10ANSI staff shall notify the accredited CB of the PCAC decision in writing.
4.1The accredited CB shall undergo full reassessment every five years.
4.2The reassessment process follows the application and initial assessment process almost entirely with the following exceptions:
a)no preliminary application stage is required;
b)no application fee is due.
c)assessment team shall consider the findings from previous years in making their assessment decisions;
4.3All nonconformities identified during the reassessment must be closed within 90 days of their finalization in ANSICA. PCAC may grant additional time to close a nonconformity based on its severity and corrective action implementation target date.