1、Designation: F3069 14Standard Guide forRequirements for Bodies that Operate CertificationPrograms in the Field of Search and Rescue1This standard is issued under the fixed designation F3069; the number immediately following the designation indicates the year oforiginal adoption or, in the case of re
2、vision, the year of last revision. A number in parentheses indicates the year of last reapproval. Asuperscript epsilon () indicates an editorial change since the last revision or reapproval.1. Scope1.1 This guide defines the organizational structure, policiesand procedures required to operate a cert
3、ification program inthe field of search and rescue.1.2 Certifications are used by authorities having jurisdictionas a component to their credentialing process, typically todemonstrate one component of an individuals ability to field.1.3 Certifications are typically provided by third party,disinteres
4、ted, providers and are commonly used to validate anindividuals, teams, or authority having jurisdictions trainingprogram in a particular area.1.4 This standard does not purport to address all of thesafety concerns, if any, associated with its use. It is theresponsibility of the user of this standard
5、 to establish appro-priate safety and health practices and determine the applica-bility of regulatory limitations prior to use.2. Referenced Documents2.1 Referenced Document:ANSI-ISO-IEC 17024 Conformity AssessmentGeneralRequirements for Bodies Operating Certification of Per-sons23. Terminology3.1 D
6、efinitions:3.1.1 candidate, napplicant who has fulfilled specifiedprerequisites, allowing his/her participation in the certificationprocess. (ANSI-ISO-IEC 17024)3.1.2 certification, na statement of record that indicatesthat a candidate has successfully completed a certificationprocess administered b
7、y a certification body and has demon-strated the relevant knowledge, skills, and abilities as definedby the standard in question.3.1.3 certification process, nall activities by which acertification body establishes that a person fulfils specifiedcompetence requirements, including application, evalua
8、tion,decision on certification, surveillance and recertification, use ofcertificates and logos/marks. (ANSI-ISO-IEC 17024)3.1.4 certification system, nset of procedures and re-sources for carrying out the certification process as per acertification scheme, leading to the issue of a certificate ofcom
9、petence including maintenance. (ANSI-ISO-IEC 17024)3.1.5 certifying body, nan organization responsible fordeveloping a certification scheme and implementing a certifi-cation system to a set standard within the relevant field andgranting a certification in the relevant field.3.1.6 credential, nthe ri
10、ght granted by the authority hav-ing jurisdiction to an individual, crew, or team to operate andrepresent the authority having jurisdiction.4. Significance and Use4.1 A Certification Body issuing certifications in the field ofsearch and rescue is required to meet the requirements identi-fied in this
11、 guide.4.2 This guide can be used by an authority having jurisdic-tion determine whether to accept a certification from a certifi-cation body.4.3 This guide can be used by an authority having jurisdic-tion to validate audit a certifying body.4.4 This guide can be used by a certifying body to validat
12、ethat its certification scheme, certification process, and certifi-cation system meets industry standards.4.5 Any certification body operating in accordance toANSI-ISO-IEC 17024 or equivalent shall be considered to be incompliance with this standard.5. Organization5.1 The certification body shall be
13、 formed as a legal entityin the country that it operates.5.2 The certification body shall comply with the statutoryrequirements for the areas in which it operates.1This test method is under the jurisdiction of ASTM Committee F32 on Searchand Rescue and is the direct responsibility of Subcommittee F3
14、2.02 on Managementand Operations.Current edition approved March 1, 2014. Published April 2014. DOI: 10.1520/F3069-14.2Available from American National Standards Institute (ANSI), 25 W. 43rd St.,4th Floor, New York, NY 10036, http:/www.ansi.org.Copyright ASTM International, 100 Barr Harbor Drive, PO
15、Box C700, West Conshohocken, PA 19428-2959. United States15.3 The certification body shall have written policies andprocedures that define its operations including but not limitedto:5.3.1 Structure5.3.2 Business operations5.3.3 Personnel5.3.4 Certification scheme, system, and process5.3.5 Candidate
16、application5.3.6 Complaint procedures5.3.7 Document compliance5.3.8 Certification revocation procedures5.3.9 Privacy and security procedures5.4 The certification body shall confine its requirements,evaluation and decision on certification to those mattersspecifically related to the scope of the desi
17、red certification.5.5 The certification body shall be structured so as to giveconfidence to interested parties in its competence, impartialityand integrity. In particular, the certification body:5.5.1 Shall be independent and impartial in relation to itsapplicants, candidates and certified persons,
18、and shall take allpossible steps to assure ethical operations.5.5.2 Shall be responsible for its decisions relating to thegranting, maintaining, renewing, expanding and reducing thescope, or suspending and withdrawing the certification.5.5.3 Shall identify the management group(s) or person(s)which s
19、hall have overall responsibility for:5.5.3.1 Evaluation, certification and surveillance as definedin this International Standard, the applicable competencestandards and other relevant documents;5.5.3.2 The formulation of policies relating to the operationof the certification body, with regard to cer
20、tification of persons;5.5.3.3 Decisions on certification;5.5.3.4 The implementation of its policies and procedures;and5.5.3.5 The delegation of authority to any committees orindividuals to undertake defined activities on its behalf.5.6 The certification body shall have a documented structurewhich sa
21、feguards impartiality, including provisions to assurethe impartiality of the operations of the certification body. Thisstructure shall enable the participation of all parties signifi-cantly concerned in the development of policies and principlesregarding the content and functioning of the certificat
22、ionsystem, without any particular interest predominating.5.7 The certification body shall assure that the activities ofbodies related to it do not compromise the confidentiality andimpartiality of its certification.6. Certification6.1 The certification body shall define policies and proce-dures for
23、granting, maintaining, renewing, expanding andreducing the scope of the desired certification, and suspendingor withdrawing the certification.6.2 The certification body shall not offer or provide training,or aid others in the preparation of such services, unless itdemonstrates how training is indepe
24、ndent of the evaluation andcertification of persons to ensure that confidentiality andimpartiality are not compromised.6.3 The certification body shall define policies and proce-dures (e.g., code of conduct) for the resolution of appeals andcomplaints received from applicants, candidates, certified
25、per-sons and their employers, and other parties about the certifi-cation process and criteria, as well as policies and proceduresfor the performance of certified persons. These policies andprocedures shall ensure that appeals and complaints are re-solved independently, in an unbiased manner.7. Certi
26、fication Scheme7.1 The certification body shall define the methods andmechanisms to be used to evaluate the competence ofcandidates, and shall establish appropriate policies and proce-dures for the initial development and continued maintenance ofthese methods and mechanisms.7.2 The certification bod
27、y shall define a process for thedevelopment and maintenance of certification schemes thatincludes the review and validation of the scheme by the schemecommittee.7.3 The certification body shall identify which standard orstandards to which the certification applies.7.4 Successful completion of an app
28、roved training coursemay be a requirement of a certification scheme, butrecognition/approval of training courses by the certificationbody shall not compromise impartiality, or reduce the demandsof the evaluation and certification requirements.7.5 The certification body shall evaluate the methods for
29、examination of candidates. Examinations shall be fair, validand reliable.Appropriate methodology and procedures (such ascollecting and maintaining statistical data) shall be defined toreaffirm, at least annually, the fairness, validity, reliability andgeneral performance of each examination and all
30、identifieddeficiencies corrected.8. Records8.1 The certification body shall maintain a record systemappropriate to its particular circumstances and to comply withregulations, including a means to confirm the status of acertified person.8.2 The records shall demonstrate that the certificationprocess
31、has been effectively fulfilled, particularly with respectto application forms, evaluation reports, surveillance activitiesand other documents relating to granting, maintaining,renewing, expanding and reducing the scope, and suspendingor withdrawing certification.8.3 The records shall be identified,
32、managed and disposedof in such a way as to ensure the integrity of the process andthe confidentiality of the information.8.4 The records shall be kept for an appropriate period oftime to demonstrate continued confidence for at least one fullcertification cycle, or as required by recognition arrangem
33、ents,contractual, legal or other obligations.9. Personnel9.1 The certification process shall define the competencerequirements for volunteer, employed or contracted personsinvolved in the certification process.F3069 1429.2 The certification body shall require its volunteer, em-ployed or contracted p
34、ersons to sign a document by which theycommit themselves to comply with the rules defined by thecertification body, including those relating to confidentialityand those relating to independence from commercial and otherinterests, and from any prior and/or present link with thepersons to be examined
35、that would compromise impartiality.9.3 Clearly documented instructions shall be available to thevolunteer, employed or contracted persons describing theirduties and responsibilities.9.3.1 These instructions shall be kept up to date.9.3.2 All personnel involved in any aspect of certificationactivitie
36、s shall possess appropriate education, experience andtechnical expertise.10. Requirements for Evaluators/Examiners10.1 Evaluators/Examiners shall meet the requirements ofthe certification body based upon applicable competence stan-dards and other relevant documents.10.2 The certification body shall
37、ensure that the evaluators/examiners are:10.2.1 Familiar with the certification scheme, system, andprocess;10.2.2 Have a thorough understanding of the relevant ex-amination process and documents;10.2.3 Have appropriate confidence in the field being tested;and10.2.4 Are free from any interest to ensu
38、re impartial andnon-discriminatory judgments and assessments.10.3 If an examiner has a potential conflict of interest in theexamination of a candidate, the certification body shall under-take measures to ensure that confidentiality and impartiality ofthe examination is not compromised (see 6.2). The
39、se measuresshall be recorded.11. Certification Process11.1 The certification body shall on request provide thecandidate with a document that that defines the certificationprocess. This document shall provide the requirements forcertification, the applicants rights, and the duties of a certifiedperso
40、n which includes a code of conduct, if applicable.11.2 The certification body shall require the completion ofan application, signed by the applicant seeking certification,which includes:11.2.1 The desired certification;11.2.2 Astatement that the person agrees to comply with therequirements for certi
41、fication and to supply any informationneeded for the evaluation;11.2.3 Details of relevant qualifications, confirmed andsupported by evidence; and11.2.4 General information on the applicant, for examplename, address and other information required to identify theperson.12. Evaluation12.1 The certific
42、ation body shall examine competence,based on the requirements of the scheme, by written, oral,practical, observational or other means.12.2 Examinations shall be planned and structured in amanner which ensures that all scheme requirements are objec-tively and systematically verified, with sufficient
43、documentedevidence produced to confirm the competence of the candidate.12.3 The certification body shall adopt reporting proceduresthat ensure the performance and results of the evaluation aredocumented in an appropriate and comprehensible manner,including the performance and results of examinations
44、.13. Decision on Certification13.1 The decision on certification of a candidate shall bemade solely by the certification body on the basis of theinformation gathered during the certification process.13.1.1 When possible those who make the certificationdecision shall not have participated in the exam
45、ination ortraining of the candidate.13.2 The certification body shall provide a certificate to allcertified persons. The certification body shall maintain soleownership of the certificates. The certificate may take the formof a letter, card or other medium, signed or authorized by aresponsible offic
46、er of the certification body.13.3 Certificates shall contain, as a minimum, the followinginformation:13.3.1 The name of the certified person and a uniqueidentifier;13.3.2 The name of the certification body;13.3.3 A reference to the competence standard or otherrelevant documents, including issue, on
47、which the certificationis based; and13.3.4 The scope of the certification, including validityconditions and limitations effective date of certification anddate of expiry.14. Recertification14.1 The certification body shall define recertification re-quirements according to the competence standard and
48、 otherrelevant documents, to ensure that the certified person contin-ues to comply with the current certification requirements.14.2 The certification body shall have procedures and con-ditions for the maintenance of certification in accordance withthe certification scheme. The conditions shall be ad
49、equate toensure that there is impartial evaluation to confirm the con-tinuing competence of the certified person.15. Use of Certificates, Logos, and Marks15.1 A certification body that provides a certification markor logo shall document the conditions for use and shallappropriately manage the rights for usage and representation.15.2 The certification body shall require that a certifiedperson sign an agreement:15.2.1 To comply with the relevant provisions of the certi-fication;15.2.2 To make claims regarding certification only withrespect to the scope for which certification
