АТS-UP 36 GENERAL PRINCIPLES OF IMPARTIALITY Reviewed by: Radivoje Nikoličić, Quality Manager (QM) Approved by: Prof. Aco Janićijević,PhD, Acting Director Any differences between the Serbian and English versions of this document are not intended, but if in doubt, the Serbian version should be consulted. Issue/Revision: 1/1 Date: 18.09.2017 Page: 1/7
Table of Contents: Page: 1. Scope 3 2. Reference Documents, Definitions and Acronyms 3 3. Impartiality Assessment 3 3.1 General Background 3 3.2 Manifestations of Impartiality 4 3.3 Potential Risks to Impartiality 5 3.4 Application of Procedure of Risks to Impartiality Analysis by CABs 6 3.5 Assessment activities carried out by ATS 6 4. Distribution 7 5. Annexes 7 6. Forms 7 7. Document Amendment History АТS-UP36 7 Issue/Revision: 1/1 Date: 18.09.2017 Page: 2/7
1. SCOPE This document shall contain principles related to identification, analysis and elimination of risks to impartiality and independence of conformity assessment bodies. The document was created in cooperation with the ATS temporary technical committees for inspection and certification bodies. The impartiality requirements in terms of accreditation activities i.e. conformity assessment in this document are based on the requirements set out in international standards for accreditation of conformity assessment bodies. 2. REFERENCE DOCUMENTS, DEFINITIONS AND ACRONYMS - SRPS ISO/IEC 17011:2007, Conformity assessment - General Requirements for Accreditation Bodies Accrediting Conformity Assessment Bodies; - SRPS ISO/IEC 17020:2012, Conformity assessment - Requirements for the operation of various types of bodies performing inspection; - SRPS ISO/IEC 17021-1:2015, Conformity assessment - Requirements for bodies providing audit and certification of management systems- Part 1: Requirements; - SRPS ISO/IEC 17024:2012, Conformity assessment - General requirements for bodies operating certification of persons; - SRPS ISO/IEC 17025:2006, General requirements for the competence of testing and calibration laboratories; - SRPS EN ISO/IEC 17065: 2016, Conformity assessment - Requirements for bodies certifying products, processes and services; For the purpose of this document, terms and definitions laid down in the said reference documents shall be used. For the purpose of this document the following definitions apply: АTS Accreditation Body of Serbia CAB Conformity assessment body 3. IMPARTIALITY ASSESSMENT 3.1 General Background A CAB should carry out conformity assessment activities in an impartial manner, and to this end it should take measures to ensure impartiality. The inspection body must be independent insofar as it is required in relation to the conditions under which it provides its services. Three types of inspection bodies are identified: - The type A inspection body is independent of the parties involved in designing, production, shipment, installation, purchase, ownership, delivery or maintenance of the objects to be inspected (the third party inspection body); - The Type B inspection body provides an inspection service to its parent organization and represents a separate and recognisable part of the parent organisation; - Type C inspection body provides inspection services for both its parent organization and/or other parties. For this type of inspection body adequate separation of responsibilities and powers between inspection and other activities of the organisation must be ensured. Issue/Revision: 1/1 Date: 18.09.2017 Page: 3/7
Inspection may be voluntary or mandatory (stipulated by law or a technical regulation). When inspection is mandatory, the role of the inspection bodies is defined by the appropriate technical regulation, and the activities defined by the technical regulation can predetermine the type of inspection body. NOTE: Impartiality requirements for inspection bodies are laid out in cl. 4., cl. 5.2.1 and Annex A to SRPS ISO/IEC 17020:2012. Certification Bodies shall carry out conformity assessment activities as independent third parties in the field of voluntary certification, as well as in the field of mandatory certification (e.g. designated bodies). The structure of certification bodies must be such as to enable the participation of interested parties (through committees for monitoring of impartiality/independence or other mechanisms for safeguarding of impartiality). Interested parties ensure the impartiality of certification through verification of policies and principles with regard to impartiality of certification activities, as well as monitoring the implementation thereof. NOTE: Impartiality requirements for certification bodies certifying management systems are laid out in cl. 4.2 and cl.5.2 of SRPS ISO/IEC 17021-1:2015. Impartiality requirements for certification bodies certifying persons are laid out in cl. 4.3 and cl.5.1.1 of SRPS ISO/IEC 17024:2012. Impartiality requirements for certification bodies certifying products, processes and services are laid out in cl.4.2, cl.5.1.1 and cl.5.2 of SRPS EN ISO/IEC 17065: 2016. In case of testing laboratories and calibration laboratories, primary aim of providing impartiality is ensuring independence in decision-making and integrity as regards testing/calibration activities. However, testing laboratories working as designated bodies must carry out their activities as a third independent party. NOTE: Impartiality requirements for laboratories are laid out in cl.4.1.4 and cl.4.1.5 b) of SRPS ISO/IEC 17025:2006. 3.2 Manifestations of Impartiality - Objectivity, in terms of conformity assessment, primarily, means fair and equal attitude towards all clients. - Impartiality - Financial Impartiality A CAB, as a rule, shall provide the income from their work by charging the cost of conformity assessment. Conformity assessment, as a rule, must not depend on or be financially supported by other organisation's activities. Initial funding may be needed when new activities start. A CAB must have a plan for attaining financial independence. - Operative Impartiality Issue/Revision: 1/1 Date: 18.09.2017 Page: 4/7
Conformity assessment activities shall not be related to other activities or organisation services that may affect impartiality, e.g. through common prices, marketing, sales or procurement. - Impartiality of Organisational Structure A CAB must be impartial in conducting procedures related to conformity assessment activities. Within the CAB organisation, it can not be located in the place or management line so that it can affect the impartiality of the activities it performs (for example, the type B inspection body). - Internal Impartiality Encompasses various functions within the organisation and the mode in which they are separated so as not to jeopardise the impartiality of inspection, testing and / or certification. - External Impartiality includes performing other (prohibited) activities outside of the organisation (provision of consulting services, drafting technical documentation, production, procurement, installation, servicing, ownership, etc.). Threat of one's own interests and checking one's own work are linked to financial or other conflicts of interest such as direct or indirect interest for the client, excessive dependence on fees paid by the client, fear of losing a client, link between the salary and the number/results of contracted jobs. The threat due to the great interconnectedness (or loss of objectivity) Too long a contractual relationship with the client or too close a relationship with clients can lead to an unacceptably close relationship with the client or to excessive confidence in the information provided by the client, or to the loss of objectivity. Threat of exerting pressure an influential client can exert pressure or threaten. 3.3. Potential Risks to Impartiality Risks to impartiality, given below, are noted during the assessment in accreditation procedures and can be considered potential risks. Risks detected in inspection bodies: - other different tasks of the organisation and staff (provision of consulting services, designer services drafting technical documentation for the subject of inspection, production/servicing/ maintenance of the subject that is being inspected); - ownership (e.g. an inspection body formed as a separate legal entity the owner of which is a designer/producer/servicer of products subject to inspection); - contracts (on cooperation, e.g. with the organisation carrying out maintenance, that performs designing and/or drafting documentation for products that are being inspected etc.); - arrangements with subcontractors (unclear division of responsibilities). Issue/Revision: 1/1 Date: 18.09.2017 Page: 5/7
Risks detected in certification bodies: - training (in accordance with the client s needs); - the use of external resources and the interests of these persons; - consulting services; - costs associated with new clients; - conducting internal checks for the client. Risks detected in laboratories: - other employee activities in case when one person has several tasks-responsibilities; - pressures generated by other organisational units (e.g. from production, sales, etc.); - pressures by the client; - in connection with subcontracting; - status of industrial laboratories in official control. Analysis of risk to impartiality must start from the level of organisation (separate organisation, joint management, management chain, organisational structure), through individual levels (other tasks, interests, etc.) to the operational level (the relationship between other tasks and activities that require impartiality). Equal treatment of clients is closely related to impartiality. When performing certification activities it is required that interested parties participate in the analysis of risk to impartiality. 3.4 Application of Procedure of Risks to Impartiality Analysis by CABs The key principle of assessing impartiality is the identification and risk analysis carried out only by the CABs. By identifying the risk, a CAB shows that it has identified the basic risks that affect the impartiality of its work. After identifying the risks, it is determined whether the risk associated with impartiality can be considered acceptable or it is necessary to take actions to eliminate or reduce the risk to the minimum. If the analysis shows that it is necessary to take actions to eliminate the risk or reduce the risk, the decision on the actions is made and implementation thereto is started. In case of certification bodies, all information and analyses relating to the risks to the impartiality of the CABs work must be available to the mechanism for safeguarding impartiality/impartiality committee. All activities related to the identification of the risk to impartiality, analysis thereof and decisions made on the basis of the analysis must be documented. Monitoring and evaluating the effects of the actions taken can only be done by the CAB or external experts services can be used (preferably in case of very small organisations). CABs must have a mechanism that ensures that all risks to impartiality are constantly monitored, and which may result from changes in its activities and relations or relations of its staff. Issue/Revision: 1/1 Date: 18.09.2017 Page: 6/7
3.5 Assessment activities carried out by ATS During the assessment, the ATS will assess the risk analysis made by the CAB. The ATS shall assess whether all risks/potential risks have been identified and whether adequate measures have been prescribed and taken to eliminate and/or minimise the risks. In the case of certification bodies, the ATS will assess whether the impartiality mechanism/ impartiality committee has been made available / has considered the information and analyses relating to identified risks to impartiality and assess whether the impartiality mechanism/impartiality committee was composed of relevant interested parties. АТS shall also assess whether a CAB continuously identifies risks to impartiality. 4. DISTRIBUTION This document shall be used by everyone involved in the carrying out of accreditation procedure as well as CABs. 5. ANNEXES None. 6. FORMS None. 7. DOCUMENT AMENDMENT HISTORY - АТS-UP36 Issue/ Revision Issue/ Revision date 1/0 26.05.2014. 1/1 18.09.2017 Issue/Revision: 1/1 Date: 18.09.2017 Page: 7/7