CHECKLIST for ISO/IEC 17024:2012

General Requirements for bodies

operating certification of persons
Date/s of evaluation
Assessor/s & Observers
Certification Body Name Segacy IT Cert Center
Area / field of operation Certification of persons
Certification Body Representative
(s)

CERTIFICATION BODY REQUIREMENTS

Certificate: Re-
Initial X Surveillance
certification

This report covers the following (scope):

Implement
Document Document
ation on
Review Review and X Other
Site Visit
only Site Visit
only

REQUIREMENTS & COMMENTS

Comment below on adequacy of how requirements have been addressed, documented and/or implemented.
The order of assessment need not follow the order of the checklist. Assessors are expected to know & have
the standard. This checklist is designed as guidance to prompt detailed recording of the process.
REFER TO ISO/IEC 17024:2012 FOR MORE DETAIL

C; NC
ISO/IEC 17024 ITEM TO BE CHECKED
or NA

SECTION 4: GENERAL REQUIREMENTS.................................................................................................................3

4.1 Legal Matters................................................................................................................................................3
4.2 Responsibility for decision on certification...................................................................................................3
4.3 Management of impartiality.........................................................................................................................3
4.4 Finance and liability......................................................................................................................................3
SECTION 5: STRUCTURAL REQUIREMENTS...........................................................................................................5
5.1 Management and organization structure.....................................................................................................5
5.2 Structure of the certification body in relation to training.............................................................................5
SECTION 6: RESOURCE REQUIREMENTS...............................................................................................................6
6.1 General personnel requirements..................................................................................................................6
6.2 Personnel involved in the certification activities..........................................................................................6
6.3 Outsourcing..................................................................................................................................................7
6.4 Other resources............................................................................................................................................7
SECTION 7: RECORDS AND INFORMATION REQUIREMENTS.................................................................................8
7.1 Records of applicants, candidates and certified persons..............................................................................8
7.2 Public information........................................................................................................................................8
 7.3 Confidentiality..............................................................................................................................................8
7.4 Security.........................................................................................................................................................8
SECTION 8: CERTIFICATION SCHEMES.................................................................................................................10
8.1 Does the CB have a certification scheme for each category it certifies persons to?...................................10
8.2 Does each certification scheme contain the following elements:...............................................................10
8.3 Does each certification scheme include the following certification process requirements:.......................10
8.4 Does the CB have documents that demonstrate that, in the development and review of certification
schemes, the following are included;...............................................................................................................10
8.5 Has the CB ensured that each certification scheme is reviewed and validated on an ongoing and
systematic basis?..............................................................................................................................................10
8.6 In cases where the CB is not the scheme owner of the certification scheme it implements, does the CB
ensure that the requirements contained in this clause (Clause 8) are met?....................................................10
SECTION 9: CERTIFICATION PROCESS REQUIREMENTS.......................................................................................11
NB - Requirements of Clause 9.1 to Clause 9.7 are covered in SANAS checklist F178....................................11
9.8 Appeals against decisions on certification..................................................................................................11
9.9 Complaints..................................................................................................................................................11
SECTION 10: MANAGEMENT SYSTEM REQUIREMENTS....................................................................................13
10.1 General.....................................................................................................................................................13
10.2 General management system requirements............................................................................................13
Additional / General Comments.........................................................................................................................14
SECTION 4: GENERAL REQUIREMENTS
4.1 Legal Matters
Is the certification body (CB) a legal entity, or a defined part of a legal entity, such that it
C
can be held legally responsible for its certification activities?
Records evaluated and comments
Segacy’s act and statute with all changes included
SFIA Foundation License

4.2 Responsibility for decision on certification

Does the CB take responsibility and authority for its decisions related to granting
C
certification, recertifying, expanding and reducing, suspending or withdrawing certification?
Records evaluated and comments

Proceso de certificación – rol comité del centro. Se deben asociar los roles de ppt de estructura con la ppt donde
se describe el proceso.

Requisitos de certificacion.docx (need work): revisar si doc contiene todo el texto que esta publicado en el sitio y
homologarlo con la Info publicada en el sitio

4.3 Management of impartiality

4.3.1 Has the CB documented its impartiality structure, policies and procedures to manage C
impartiality associated certification activities?
How has the CB ensured that top management is committed to impartiality of its
certification activities?
How has the CB made its impartiality statement publicly accessible? C
Does this statement indicate that the CB understands the importance of impartiality,
manages conflict of interest and ensures the objectivity of its certification activities?
Does the CB act impartially in relation to the its applicants, candidates and certified
4.3.2 persons?
Are policies and procedures of the CB for certification of persons fair among all applicants,
4.3.3 candidates and certified persons?
Has the CB ensured that certification is not restricted on the grounds of undue financial or
other limiting conditions such as membership of an association or group?
Has the CB also ensured that procedures are not used to impede or inhibit access by
4.3.4 applicants and candidates?
Has the CB established measures to ensure that commercial, financial or other pressures do
4.3.5 not compromise impartiality?
Has the CB identified risks (arising from its activities, relationships or relationships of its
4.3.6 personnel) to its impartiality on certification and is this happening on an ongoing basis?
Has the CB ensured that it analyses, documents, eliminate or minimizes potential conflict of
interest arising from certification activities and are measures in place to such threats and
control other potential sources of interests within the CB, its activities of other persons,
4.3.7 bodies or organizations?
Has the CB ensured that certification activities are structured and managed so as to
safeguard impartiality, and does this include the balanced involvement of interested
4.3.8 parties?
Records evaluated and comments
Se deben trabajar los puntos. Existe la declaración de imparcialidad, pero no esta finalizada.
Declaration of inpartiality need to be published on center WWW site
4.4 Finance and liability
Does the certification body have the financial resources necessary for the operation of a
certification process and have adequate arrangements (e.g. insurance or reserves) to cover C
associated liabilities?
Records evaluated and comments
Bank account, credit card, credit line, work capital
SECTION 5: STRUCTURAL REQUIREMENTS
5.1 Management and organization structure
5.1.1 Structure and management of CB activities to safeguard impartiality (4.3.8) C
Documented organizational structure, describing duties, responsibilities, and authorities of
management, other certification personnel and any committees. Structure addresses line of C
5.1.2 authority and relationship within the legal entity (4.1)
Responsibilities assigned to parties or individuals for: C
a) policies and procedures relating to the operation of the certification body; C
b) implementation of the policies and procedures; C
c) finances of the certification body; C
d) resources for certification activities; C
e) development and maintenance of the certification schemes; C
f) assessment activities; C
g) decisions on certification, granting, maintaining, recertifying, expanding, reducing,
suspending or withdrawing of the certification; C
h) contractual arrangements C
Records evaluated and comments
5.1.2 – documented in ppt, partially address line of authority and relationship, no esta finalizado.

5.2 Structure of the certification body in relation to training

5.2.1 Where training is a specified requirement of a certification scheme (8.3), has the CB ensured
that the recognition or approval of this training does not compromise impartiality or reduce
assessment and certification requirements?
5.2.2 Where education and training are used as pre-requisites for being eligible for certification,
has the CB provided information regarding these and ensured that there are no statements
C
or implications that certification would be simpler, easier or less expensive if any specified
education/training services are used?
5.2.3 Where training and certification are offered within the same legal entity, which constitutes a
threat to impartiality, has the CB:
a) Identified and documented the associated threats to impartiality? is this happening
on an ongoing basis?, and is there a documented process that demonstrates how the CB
eliminates or minimizes such threats?
b) Demonstrated that all its processes are independent of training to ensure that
confidentiality, information security and impartiality are not compromised?
c) Not given the impression that the use of both services would provide any advantage
to the applicant?
d) Not required the candidates to complete the CB’s own education or training as an
exclusive prerequisite when alternative education or training with an equivalent outcome
exists?
e) Ensured that personnel do not serve as an examiner of a specific candidate they have
trained for a period of two years from the date of the conclusion of the training activities?
Records evaluated and comments
5.2.1 – definir como
5.2.2 – Requisitos de certificacion.docx
5.2.3 – definir mecanismo de gestión de conflicto de interés e imparcialidad
SECTION 6: RESOURCE REQUIREMENTS
6.1 General personnel requirements
Does the CB ensure that it manages and takes responsibility for the performance of all
6.1.1 personnel involved in the certification process? C
Does the CB have sufficient personnel available with the necessary competence to perform
6.1.2 certification functions to the type, range and volume of work performed? C
Are competence requirements defined for personnel involved in the certification process
6.1.3 and are these for specific tasks and responsibilities?
Have personnel duties and responsibilities been documented and are these kept up-to-
C
6.1.4 date?
Are personnel records kept up-to-date (including qualifications, training, experience,
6.1.5 professional affiliations and status, competence and known conflict of interest?
Is confidentiality of all information obtained by personnel acting on behalf of the CB
6.1.6 maintained? C
Has the CB made provision for personnel to sign a document(s) by which they commit
themselves to comply with its rules, including those relating to confidentiality, impartiality
6.1.7 and conflict of interest?
Has the CB established procedures to adopt in cases where it certifies personnel under its
6.1.8 employment?
Records evaluated and comments
6.1.1 y 6.1.2 – estructura organizacional ppt
6.1.4 – Estructura del centro.pptx. Need to be formally defined and approved.
6.1.5 – Implementar a través de CV de cada uno + declarer conflictos de interés y guardarlos en la carpeta del
centro (Teams/SP) Actualizacion realizar a través de reunión anual.
6.1.6 – NDA doc
6.1.7 – NDA doc, revisar contratos Segacy, para ver si hay cláusula de NDA
6.1.8 - definir

6.2 Personnel involved in the certification activities

Has the CB made provision for its personnel to declare any potential conflict of interest in
6.2.1 any candidate up for certification?
6.2.2 Requirements for examiners
6.2.2.1 Do the CB’s selection and approval processes ensure that examiners:
a) Understand the relevant certification scheme?
b) Are able to apply the examination procedures and documents?
c) Have competence in the field to be examined?
d) Are fluent, both in writing and orally, in the language of examination?
e) Have identified any known conflicts of interest to ensure impartial judgements are
made?
f) Are procedures in place to ensure that the validity of the examination is not affected
in circumstances where an interpreter or a translator is used?
Does the CB monitor the performance of examiners and the reliability of their judgements?
6.2.2.2 Are corrective actions taken where deficiencies are found?
Does the CB undertake measures to ensure that confidentiality and impartiality of the
examination are not compromised in cases where the examiner has a potential conflict of
6.2.2.3 interest in the examination of a candidate? And are these measures recorded?
6.2.3 Requirements for the other personnel involved in the assessment
Does the CB have a documented description of the responsibilities and qualifications of
6.2.3.1 other personnel involved in the assessment process (e.g. invigilators)?
Does the CB undertake measures to ensure that confidentiality and impartiality of the
examination are not compromised in cases where other personnel involved in the
assessment process have potential conflicts of interest in the examination of a candidate?
6.2.3.2 And are these measures recorded?
Records evaluated and comments
6.2.1 – definir para los proctors y el resto
6.2.2 – definir
6.2.2.1 – definir (si están acreditados con CHV – ok, definir perfil – competencias y examen de
evaluación/certificación + material de entrenamiento). Para proctors esté definido entrenamiento, faltan los
criterios (ver propuestas para Corfo/sence).
También se necesita definir para el resto de los puntos.

6.3 Outsourcing
Does the CB have a legally enforceable agreement covering the arrangements,
confidentiality and conflict of interests, with each body that provides outsourced work
6.3.1 related to the certification process?
6.3.2 When the CB outsources work related to certification, does it ensure that:
a) It takes full responsibility for all outsourced work?
b) It ensures that the body conducting outsourced work is competent and complies
with the applicable provisions of this international standard?
c) It assesses and monitors the performance of the bodies conducting outsourced work
in accordance with its documented procedures?
d) It has records to demonstrate that the bodies conducting outsourced work meet all
requirements relevant to the outsourced work?
e) It maintains a list of the bodies conducting outsourced work?
Records evaluated and comments
Contract with Kevin for VS service
Tambien al respecto de las colaboraciones con las universidades

6.4 Other resources

Has the CB defined the adequacy of the premises, examination sites, equipment and
resources it uses for carrying out certification activities?
Records evaluated and comments
Esta descrito en la propuesta para Temuco -> rescatarlo y general el doc de descripción de la infraestructura para
los perfiles – se debe hacer por perfil, diferentes perfiles pueden requerir diferentes infraestructuras
SECTION 7: RECORDS AND INFORMATION REQUIREMENTS
7.1 Records of applicants, candidates and certified persons
Does the CB maintain records of applicants, candidates and certified persons and do these
7.1.1 records include a means to confirm the status of a certified person?
Do these records demonstrate that the certification or recertification process has been
effectively fulfilled, particularly with respect to application forms, assessment reports (which
includes examination records) and other documents relating to granting, maintaining,
recertifying, expanding and reducing the scope, and suspending or withdrawing
certification?
7.1.2 Appropriate identification of records, retention and handling
Does the CB have enforceable arrangements in place that require the certified person to
inform the CB, without delay, of matters that can affect the capability of the certified person
7.1.3 to continue to fulfil certification requirements?
Records evaluated and comments

7.2 Public information

Does the CB have means to verify and provide information, upon request, as to whether an
7.2.1 individual holds a current, valid certification and the scope of that certification? C
Has the CB made information regarding the scope of the certification scheme and a general
7.2.2 description of the certification process, publicly available? C
7.2.3 Are all pre-requisites of the certification scheme listed and made publicly available? C
7.2.4 Is the information provided by the CB, including advertising, accurate and not misleading? C
Records evaluated and comments
7.2.1 – revisar si proceso de validación esta descrito en algún doc y como se gente entera sobre esto.
El resto esta publicado en el sitio

7.3 Confidentiality
Has the CB established documented policies and procedures for the maintenance and
7.3.1 release of information?
Does the CB have legally enforceable agreements to keep all information obtained during
7.3.2 the certification process confidential? And do these agreements cover all personnel? C
Does the CB ensure that information obtained during the certification process, or from
sources other than the applicant, candidate or certified person, is not disclosed to an
unauthorized party without the written consent of the individual (applicant, candidate or
7.3.3 certified person)? C
Does the CB ensure that the person concerned is notified as to what information is to be
7.3.4 provided when the CB is required by law to release confidential information? C
7.3.5 Does the CB ensure that the activities of related bodies do not compromise confidentiality? C
Records evaluated and comments
7.3.3, 7.34 – esta en NDA
El resto se debe definir – hay elementos en NDA, revisarlos

7.4 Security
Has the CB developed and documented policies and procedures necessary to ensure
security throughout the entire certification process, and are measures in place to take
7.4.1 corrective actions when security breaches?
Do security policies and procedures include provisions to ensure the security of examination
7.4.2 materials, taking into account the following:
 a) The location of the materials (e.g. transportation, electronic delivery, disposal,
storage, examination centre)?
b) The nature of the materials (e.g. electronic, paper, test equipment)?
c) The steps in the examination (e.g. development, administration, results reporting)?
d) The threats arising from repeated use of examination materials?
7.4.3 Does the CB ensure that it prevents fraudulent examination practices by, at least:
Requiring candidates to sign a non-disclosure agreement or other agreement indicating
their commitment not to release confidential examination materials or participate in
fraudulent test-taking practices?
a) Requiring an invigilator or examiner to be present? C
b) Confirming the identity of the candidate? C
c) Implementing procedures to prevent any unauthorized aids from being brought into
the examination area? C
d) Preventing candidates from gaining access to unauthorized? C
e) Monitoring examination results for indications of cheating?
Records evaluated and comments
Documentar como estamos hacienda esto.
SECTION 8: CERTIFICATION SCHEMES
8.1 Does the CB have a certification scheme for each category it certifies
persons to? C
8.2 Does each certification scheme contain the following elements: C
a) Scope of certification? C
b) Job and task description? C
c) Required competence? C
d) Abilities (where applicable, e.g. vision, hearing and mobility)? C
e) Pre-requisites (where applicable)? C
f) Code of conduct (where applicable, e.g. ethical and behavioural aspects)?
8.3 Does each certification scheme include the following certification
process requirements:
a) Criteria for initial certification and recertification? C
b) Assessment methods for initial certification and recertification? C
c) Surveillance methods and criteria (if applicable)? C
d) Criteria for suspending and withdrawing certification? C
e) Criteria for changing the scope or level of certification (if applicable)? N/A
8.4 Does the CB have documents that demonstrate that, in the
development and review of certification schemes, the following are
included;
The involvement of appropriate experts?
a) The use of an appropriate structure that fairly represents the interest of all parties
significantly concerned, without any interest predominating?
b) The identification and alignment of pre-requisites, if applicable, with the
competence requirements?
c) The identification and alignment of the assessment mechanisms with the
d) A job or practice analysis that is conducted and updated to
- Identify the tasks for successful performance?
- Identify the required competence for each task?
- Identify prerequisites (if applicable)?
- Confirm the assessment mechanisms and examination content?
- Identify the recertification requirements and interval?
8.5 Has the CB ensured that each certification scheme is reviewed and
validated on an ongoing and systematic basis?
8.6 In cases where the CB is not the scheme owner of the certification
scheme it implements, does the CB ensure that the requirements
contained in this clause (Clause 8) are met? N/A
Records evaluated and comments
8.2 – debemos referencial a codigo de ética IEEE/ACM
8.3 – debemos determinar los criterios de re-certificacion
8.4 – desarrollar por completo con el proceso de desarrollo de la esquema e instrumento de certificación
8.5 - desarrollar
SECTION 9: CERTIFICATION PROCESS REQUIREMENTS
NB - Requirements of Clause 9.1 to Clause 9.7 are covered in SANAS
checklist F178
9.8 Appeals against decisions on certification
9.8.1 Does the CB have a documented process to receive, evaluate and make decisions on appeals?
Does the appeals-handling process include, at least, the following elements and methods:
a) The process for receiving, validating and investigating the appeal, and for deciding
what actions are to be taken in response to it, taking into account the results of
previous similar appeals?
b) Tracking and recording appeals, including actions undertaken to resolve them?
c) Ensuring that, if applicable, appropriate corrections and corrective actions are taken?
Do the CB’s policies and procedures ensure that all appeals are dealt with in a constructive,
9.8.2 impartial and timely manner?
9.8.3 Is the CB’s description of the appeals-handling process publicly accessible?
9.8.4 Are responsibilities assigned for all decisions at all levels of the appeals-handling process?
Does the CB ensure that the decision-making personnel engaged in the appeals-handling
process are different from those who were involved in the decision being appealed?
Does the CB ensure that submission, investigation and decision on appeals do not result in
9.8.5 any discriminatory actions against the appellant?
Does the CB acknowledge receipt of appeal and provides appellant with progress reports and
9.8.6 outcomes?
9.8.7 Does the CB give formal notice to appellant at the end of appeals-handling process?
Records evaluated and comments
Todo - profundizar el proceso y desarrollarlo completo -> se pueden usar los puntos para desarrollo del proceso
completo

9.9 Complaints
9.9.1 Is there a documented process to receive, evaluate and make decisions on complaints?
9.9.2 Is the description of the complaints-handling process publicly accessible? C
Do policies and procedures in place ensure that complaints are handled and processed in a
9.9.3 constructive, impartial and timely manner?
Does the complaint handling process include, at least, the following elements and methods:
a) An outline of the process for receiving, validating, investigating the complaint and
deciding what actions are to be taken in response to it?
b) Tracking and recording complaints, including actions undertaken in response to
them?
c) Ensuring that, if applicable, appropriate corrections and corrective actions are taken?
Does the CB, upon receipt of a complaint, confirm whether the complaint relates to
9.9.4 certification activities for which it is responsible, and if so, does it respond appropriately?
Does the CB (wherever possible) acknowledge receipt of the complaints and provide the
9.9.5 complainant with progress reports and the outcome?
Does the CB validate (gather and verify all necessary information about the complaint) upon
9.9.6 receipt?
Does the CB give formal notice to the complainant at the end of the complaints-handling
9.9.7 process?
Does any substantiated complaint about a certified person referred to that certified person in
9.9.8 question by the CB at an appropriate time?
Is the complaints-handling process also subjected to requirements of confidentiality, as it
9.9.9 relates to the complainant and to the subject of the complaint?
Does the CB ensure that the decision to be communicated to the complainant is made by,
9.9.10 reviewed and approved by, personnel not previously involved in the subject of the complaint?
Records evaluated and comments
9.9.2 – sitio www del centro
El resto definir completamente – proceso es similar al punto 9.8, posiblemente se puede hacer un proceso
SECTION 10: MANAGEMENT SYSTEM REQUIREMENTS
10.1 General
Established, documented, implemented and a maintained management system – Option A
(according to 10.2 of the standard) or Option B
10.2 General management system requirements
10.2.1 General
Documented policies and objectives for its activities established by top management
(including evidence of commitment, level of understanding, implementation, reporting
representative appointed etc.)
10.2.2 Management system documentation
Applicable requirements of the International Standard are documented and available to all
personnel.
10.2.3 Control of documents C
Established procedures for control of documents (internal and external) pertaining to the
standard and includes: document approval, review and update, current revisions, availability
at point of use, legibility and identification, documents of external origin identified and
controlled, removal of obsolete documentation to prevent unintended use
10.2.4 Control of records C
Procedures to define control, storage, protection, retrieval, retention period, confidentiality
arrangements and accessibility etc.
10.2.5 Management review
10.2.5.1 General
Procedures established by top management to review its management system at planned
intervals to ensure its continuing suitability, adequacy and effectiveness, including the stated
policies and objectives related to the fulfillment of this International Standard.
10.2.5.2 Review input
Information input to management review such as: internal and external audit results,
feedback, safeguarding impartiality, status of preventative and corrective actions, follow-up
actions previously reviewed, achievement of objectives, changes, appeals and complaints
10.2.5.3 Review output
Management review output addressing improvements and effectiveness of management
system, fulfillment of this international standard, resource needs etc.
10.2.6 Internal audits
Procedures for internal audits to verify the management system is effectively implemented
10.2.6.1 and maintained
10.2.6.2 Audit programme available (including important processes and areas to be audited, results)
Internal audit frequency within 12 month cycle and proven suitability for effective
10.2.6.3 implementation of this international standard
Requirement for internal audits: conducted by competent personnel, no subjectivity,
personnel of audited area informed of outcome, actions taken timeously and areas of
10.2.6.4 improvement identified
10.2.7 Corrective Actions
Procedures for identification and management of corrective actions for non-conformities
including actions to prevent re-occurrence.
Procedures define requirements to identify nonconformities, causes thereof, corrections,
evaluating, action implementation, recording of results and review of corrective actions
10.2.8 Preventative actions
Procedures for preventive actions to eliminate the causes of potential nonconformities which
includes their identification, evaluation, implementation of the action, recording of results
and review of effectiveness
Records evaluated and comments
Existe proceso de gestion documental, pero el resto se debe definir y desarrollar
10.2.6: Ver procedimiento de auditoría interna de Morpho para cubrir este requerimiento
Additional / General Comments
This space may also be used to expand on comments in specific sections
Section/
Comment
Clause