1. Studying the Standards READY? Let’s begin! 140 minutes for 37 slides ANSI Training 2013: Webb/Krishna

2. PCAC-FR-501PCAC-FR-501PCAC Initial Assessment Report As 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) ANSI Training 2013: Webb/Krishna

3. Your decisions As you consider each standard, your decision will be: Met the requirement Non-conformity identified Opportunity for improvement Commendation ANSI Training 2013: Webb/Krishna

4. Introduction to the Standards 4 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. ANSI Training 2013: Webb/Krishna

5. Why consider the application? Copy of standards Application completed by certifying bodies Do you need both? ANSI Training 2013: Webb/Krishna

6. Counterfeits How are people trained to spot counterfeit bills? ANSI Training 2013: Webb/Krishna

7. You need to know the standards But when assessing you will be looking at the application text You 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 ANSI Training 2013: Webb/Krishna

8. 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 ME Creative 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 ANSI Training 2013: Webb/Krishna

9. 4.1 Legal entity Straightforward Clear No certifying body would ever have a problem here Or would they? Who can think of what might be wrong in 4.1? ANSI Training 2013: Webb/Krishna

10. 4.1 There’s more! BYLAWS What are bylaws? How would the assessor know if the bylaws are ______? Excellent Reasonable Minimally acceptable ANSI Training 2013: Webb/Krishna

11. Bylaws For now, see if the Certifying Body gave you a copy of the Bylaws You will see how they work as you go through other standards ANSI Training 2013: Webb/Krishna

12. 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. ANSI Training 2013: Webb/Krishna

13. Let’s split it – first the verbs The certification body shall be responsible for, shall retain authority for, and shall not delegate ANSI Training 2013: Webb/Krishna

14. 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. ANSI Training 2013: Webb/Krishna

15. Pick it apart its 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) ANSI Training 2013: Webb/Krishna

16. Evidence Provide 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? ANSI Training 2013: Webb/Krishna

17. Ideas for evidence: (your list here) ANSI Training 2013: Webb/Krishna

18. 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. ANSI Training 2013: Webb/Krishna

19. 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)justiceobjective criteriabiasprejudice Adjective: not partial or biased; fair; just: an impartial judge. (Dictionary.com)partial Impartial: treating all people and groups equally : not partial or biased (Merriam-Webster) ANSI Training 2013: Webb/Krishna

20. Use word “impartial” in a story: A dog A cheeseburger A favorite pair of jeans Snow Pick one – use word “impartial” in your story. WORK IN TWOs or THREEs Take 4 minutes ANSI Training 2013: Webb/Krishna

21. Standard? Several sections 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. ANSI Training 2013: Webb/Krishna

22. 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? ANSI Training 2013: Webb/Krishna

23. But wait, there’s more 4.3.2 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. ANSI Training 2013: Webb/Krishna

24. Hang on 4.3.5 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. ANSI Training 2013: Webb/Krishna

25. Circle Back 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. YOUR IDEAS ABOUT EVIDENCE? ANSI Training 2013: Webb/Krishna

26. 4.3.2 4.3.2 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 ANSI Training 2013: Webb/Krishna

27. 4.3.3 4.3.3 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 ANSI Training 2013: Webb/Krishna

28. 4.3.4 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. 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. ANSI Training 2013: Webb/Krishna

29. 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? ANSI Training 2013: Webb/Krishna

30. Rules of thumb What thoughts from the conversation about the previous slide could guide you in future assessments? ANSI Training 2013: Webb/Krishna

31. 4.3.5 4.3.5 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. ANSI Training 2013: Webb/Krishna

32. 4.3.6 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. 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. ANSI Training 2013: Webb/Krishna

33. 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. ANSI Training 2013: Webb/Krishna

34. … 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? ANSI Training 2013: Webb/Krishna

35. 4.3.7 4.3.7 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. ANSI Training 2013: Webb/Krishna

36. Evidence For 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 writers Trainers, if applicable Volunteers related to certification activities Certification personnel YOUR IDEAS ABOUT EVIDENCE? ANSI Training 2013: Webb/Krishna

37. ONE MORE SECTION: 4.3.8 4.3.8 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? ANSI Training 2013: Webb/Krishna

38. Evidence a) 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. ANSI Training 2013: Webb/Krishna

39. Dinner Let’s party! Get handout ANSI Training 2013: Webb/Krishna