ISO-IEC 17020 Checklist

NATIONAL ASSOCIATION OF TESTING AUTHORITIES, AUSTRALIA
ACN 004 379 748
INSPECTION ACCREDITATION PROGRAM : ISO/IEC 17020
ISO/IEC 17020
REVIEW CHECKLIST
The ISO/IEC 17020 Review Checklist is designed to help you review your own system
documentation to ensure that it complies with all relevant clauses of ISO/IEC 17020. The
checklist should be used as preparation tool for all initial assessment and reassessment visits.
Assessment team members can also use it during the assessment visit to facilitate the
collection of relevant data.
The checklist includes all ISO/IEC 17020 clauses from clause 3 onwards. Clauses 1 and 2
have been omitted as they are informative clauses only.
In the checklist, the major relevant issue of each clause is summarised in a few words as an
aide memoire. There is provision for you to note the reference point in your own system
covering the issue and/or explanatory comment. You should consult ISO/IEC 17020 and
NATA’s Inspection Accreditation Requirements for details of each clause and its intended
application.
Some sections of this document may not apply to all inspection bodies. Please contact your
NATA accreditation officer if you require any assistance.
Applicant Inspection Bodies are requested to complete and return this Review Checklist as
this information is vital to the Document Review process. You should provide as much detail as
possible and to return it as part of the overall submission.
To:
At:
By:
ISO/IEC 17020 Review Checklist – Inspection I2.7 / Issue 6 / November 2009 page 1 / 13
INSPECTION ACCREDITATION PROGRAM ACCREDITATION NO:
ISO/IEC 17020 SURVEILLANCE CHECKLIST
No Clause issue summarised Your system reference Other comment

N/A Job number: ____________
0.1 Reviewing Officer :
0.2 Date:
0.3 Document list: Issue no. Date
(e.g. quality manual and associated procedures)
0.4 Website address:
Date checked:
Is the reference to NATA Accreditation in the

Facility’s website appropriate?:
Comments:
Registration of business on the ASIC Website

( www.asic.gov.au )
Date checked:
0.5 Document system structure
No Clause Issue summarised Your system Other comment including

reference
complies / not complies
3 Administrative requirements
3.1 legally identifiable

ABN _______________________
3.2 identifiable within a parent
organisation
3.3 documentation describing functions,
technical scope of activity
List key functions
Consider
- Does the facility hold Corporate
NATA accreditation?
(Note the date of the previous quality
manual review and field which
conducted it)
3.4 adequate liability insurance

Insurance Insurer Policy No Value Expiry
Prof. indemnity
Public Liability
Other
3.5 terms and conditions of business
3.6 independently audited accounts
4 Independence, Impartiality and

Integrity
4.1 conflict of interest and improper
influence
4.2 independent to the extent that is

contractually required
4.2.1 Type A Inspection Body
fully independent of all consulting,

manufacturing involvement
4.2.2 Type B Inspection Body

a separate and identifiable part of an
organisation, established to supply
inspection services to its parent
organisation only

reference
4.2.3 Type C Inspection Body
a separate and identifiable part of an
organisation, may supply inspection
services to other parties not being its
parent organisation
5 Confidentiality
confidentiality and proprietary rights
6 Organisation and Management

6.1 technical capability
6.2 responsibilities and reporting

structure, the relationship between
functions/divisions must be clearly
defined when also supplying
certification and/or testing services
6.3 technical manager (however named)

qualified and experienced, a
permanent employee
6.4 effective supervision by persons

familiar with the inspection methods
and procedures
Consider
- Participation in proficiency programs
(See APLAC MR001 3.3.2)
- changes to the facility:
 Key staff
 Methods and procedures
 Significant items of equipment
6.5 deputising arrangements
6.6 position descriptions including the

requirements for education, training,
technical knowledge and experience

reference
7 Quality System
7.1 define and document policy and
quality objectives and commitment to
quality, ensure that policy is
understood, implemented and
maintained at all levels
7.2 operate an effective quality system
appropriate to the type, range and
volume of work performed
7.3 fully documented, containing the
information required by this standard
7.4 designated person with defined
authority and responsibility for quality
assurance, direct access to top
management on quality issues
7.5 quality system maintained relevant
and current
7.6 document control ensuring:

current issues available at all relevant
locations, to all relevant staff;
changes are covered by the correct
authorisation, processed in a timely
manner ensuring availability at the
appropriate location;
superseded documents removed, one
copy is filed;
other parties notified as necessary
Consider
-hard copy,
-electronic copy
-Manuals, procedures, reference
materials, standards, codes,
regulations, forms records, photos
-Documents on laptops / PDA
7.7 internal audits, personnel performing
the audits shall be suitably qualified
and independent from the functions
being audited
7.8 feedback and corrective action
7.9 management review

reference
8 Personnel
8.1 sufficient number of permanent
personnel with the range of expertise
to carry out its normal functions
8.2 qualifications, training, experience
8.3 documented training system,

establish the necessary stages of
training for each personnel:
induction;
supervised working period;
continuation training throughout

employment
Note: this may include appropriate

records if utilising a delegated system
of approvals
8.4 records of academic or other

qualifications, training and experience
maintained.
8.5 guidance for the conduct of its staff
8.6 remuneration shall not directly

depend on the number of inspections
carried out or the results of
inspections

reference
9 Facilities and equipment
9.1 suitable and adequate facilities and
equipment
Consider
-workshop, office, vehicles
-Sampling equipment
-Measuring equipment
-Tools
-Recording equipment
-Other equipment
9.2 clear rules for the access to and the

use of specified facilities and
equipment
9.3 ensure the continued suitability of the

facilities and equipment
9.4 properly identified equipment
9.5 properly maintained equipment
9.6 equipment is calibrated before being

put into service and then according to
an established calibration and check
program
9.7 calibration program designed and

operated so that applicable
measurements are traceable to
national and international standards
of measurement
9.8 reference standards used for

calibration only, demonstrated
traceability to national or international
standard of measurement

reference
9.9 in-service checks between regular re-
calibrations
9.10 reference materials traceable to

national or international standard
reference materials
9.11 where applicable, procedures for:
selection of qualified suppliers;
issuing purchasing documents;
inspection of received materials;
ensuring appropriate storage facilities
9.12 stored items assessed at appropriate

intervals to detect deterioration
9.13 computers / automated equipment

used in connection with inspections
require:
validated computer software;
data integrity protected;
computer and automated equipment
maintained;
data security maintained
Back-ups?
9.14 procedures for dealing with defective

equipment including examining the
effect of defects on previous
inspections
9.15 equipment identification, calibration

and maintenance records

reference
10 Inspection Methods and
Procedures
10.1 ready access to and use of current
edition methods and procedures
10.2 documented instructions on

inspection planning, standard
sampling and inspection techniques,
if required sufficient knowledge of
statistical techniques
10.3 non-standard inspection methods fully

documented
10.4 instructions, standards or written

procedures, worksheets, check lists
and reference data maintained up-to-
date and readily available
10.5 contract review and contract/work

order control system:
work is within available expertise,

adequate resources;
adequately defined contract, special

conditions understood, unambiguous
instructions issued to staff;
regular review;
completed work reviewed to confirm

that contractual requirements met
10.6 observations and/or data recorded in

a timely manner

reference
10.7 calculations and data transfers
appropriately checked
10.8 documented instructions regarding

inspection safety

reference
11 Handling Inspection Samples and
Items
11.1 unique identification of inspection
items
Map workflow noting document

interfaces and filing
11.2 apparent abnormalities recorded

before starting the inspection, consult
the client about doubts before
proceeding
11.3 necessary preparation received, or

preparation to be undertaken or
arranged by the inspection body
11.4 documented procedures and

appropriate facilities to avoid
deterioration or damage to inspection
items
12 Records
12.1 record system to suit particular
circumstances and comply with
applicable regulations
12.2 sufficient information to permit

satisfactory evaluation of the
inspection result
12.3 records stored, held secure and in

confidence to the client

reference
13 Inspection Reports and Inspection
Certificates
13.1 retrievable copy of the inspection
report and/or inspection certificate
13.2 inspection report/certificate includes
results, information needed to
understand and interpret them,
subcontractors results clearly
identified, including
a) Title *
b) Identification of issuing body *
c) Report ID on each page *
d) Number of pages *
e) Client identification
f) Identification of items *
g) Dates of inspection *
h) location of inspection #
i) Inspection procedure
j) Use of subcontractors * #
k) Inspection results *
i) reference to specification
ii) Non-compliances identified
l) Declaration of conformity * #
m) Sampling details * #
n) Conditions during inspection #
o) Omissions identified * #
p) Reference to subcontractors
reports) * #
q) Identification of non-endorsed
data * #
r) Name & signature of approved
signatory *
s) Date of issue of report *
t) Correct endorsement *
u) Any other information required by
client *
* Required in shorter certificates
# Where appropriate
13.3 inspection reports and/or certificates
signed or otherwise approved by
authorised staff (Approved
Signatories)
13.4 correction, withdrawal, re-issue of
inspection reports/certificates

reference
14 Subcontracting
14.1 policy regarding sub-contracting work
out (not sub-contracting staff in)
14.2 subcontractor competency, complies
with ISO/IEC 17020 or 17025 (as
appropriate), advise the client,
subcontractor acceptable to the client
14.3 competence and compliance of
subcontractors recorded, sub-
contracting register
14.4 subcontracting specialised activities,
access to qualified and experienced
person able to form an independent
assessment of the results
15 Complaints
15.1 documented procedures for dealing
with complaints
15.2 documented procedures for the
consideration and resolution of
appeals against the results of its
inspections, where these are carried
out under legally delegated authority
15.3 record of all complaints, appeals and

the actions taken by the inspection
body
16 Cooperation
participating in and keeping up-to-
date with relevant industry
developments

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NATIONAL ASSOCIATION OF TESTING AUTHORITIES, AUSTRALIA

ACN 004 379 748

INSPECTION ACCREDITATION PROGRAM : ISO/IEC 17020

No Clause issue summarised Your system reference Other comment

0.1 Reviewing Officer :

0.4 Website address:

Is the reference to NATA Accreditation in the

Registration of business on the ASIC Website

0.5 Document system structure

No Clause Issue summarised Your system Other comment including

3.1 legally identifiable

3.4 adequate liability insurance

3.6 independently audited accounts

4 Independence, Impartiality and

4.2 independent to the extent that is

4.2.1 Type A Inspection Body

fully independent of all consulting,

4.2.2 Type B Inspection Body

No Clause Issue summarised Your system Other comment including

6 Organisation and Management

6.2 responsibilities and reporting

6.3 technical manager (however named)

6.4 effective supervision by persons

6.5 deputising arrangements

6.6 position descriptions including the

No Clause Issue summarised Your system Other comment including

7.6 document control ensuring:

7.8 feedback and corrective action

7.9 management review

No Clause Issue summarised Your system Other comment including

8.2 qualifications, training, experience

8.3 documented training system,

supervised working period;

continuation training throughout

Note: this may include appropriate

8.4 records of academic or other

8.5 guidance for the conduct of its staff

8.6 remuneration shall not directly

No Clause Issue summarised Your system Other comment including

9.2 clear rules for the access to and the

9.3 ensure the continued suitability of the

9.4 properly identified equipment

9.5 properly maintained equipment

9.6 equipment is calibrated before being

9.7 calibration program designed and

9.8 reference standards used for

No Clause Issue summarised Your system Other comment including

9.10 reference materials traceable to

selection of qualified suppliers;

issuing purchasing documents;

inspection of received materials;

ensuring appropriate storage facilities

9.12 stored items assessed at appropriate

9.13 computers / automated equipment

9.14 procedures for dealing with defective

9.15 equipment identification, calibration

No Clause Issue summarised Your system Other comment including

10.2 documented instructions on

10.3 non-standard inspection methods fully