ISO/PRF TS 21030

© ISO 2020 – All rights reserved


ISO DTS2/PRF TS 21030:YYYY(E)
CASCOISO/TC 232
/JWG 58 Secretariat: ISO/CS SAC
Date: 2023-08-15
Educational organizations - — Requirements for bodies providing
audit and certification of educational organizationsorganizations'
management systems

DTSOrganismes d'éducation/formation — Exigences pour les organismes procédant à l'audit et
à la certification des systèmes de management des organismes d'éducation/formation
FDIS stage

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ISO/PRF TS 21030:(E)
© ISO 2023
All rights reserved. Unless otherwise specified, or required in the context of its implementation, no part of this
publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical,
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Published in Switzerland
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ISO/PRF TS 21030:(E)
Contents
Foreword . vii
Introduction . viii
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 2
4 Principles . 7
5 General requirements . 7
5.1 Legal and contractual matters . 7
5.2 Management of impartiality . 7
5.3 Liability and financing. 7
6 Structural requirements . 7
7 Resource requirements . 7
7.1 Competence of personnel . 7
7.1.1 General considerations . 7
7.1.2 Determination of competence riterio . 8
7.1.3 Evaluation processes . 8
7.1.4 Other considerations . 8
7.2 Personnel involved in the certification activities . 8
7.3 Use of individual external auditors and external technical experts . 8
7.4 Personnel records . 8
7.5 Outsourcing . 8
8 Information requirements . 9
8.1 Public information . 9
8.2 Certification documents . 9
8.3 Reference to certification and use of marks . 9
8.4 Confidentiality . 9
8.5 Information exchange between a certification body and its clients . 9
9 Process requirements . 9
9.1 Pre-certification activities . 9
9.1.1 General . 9
9.1.2 Application . 9
9.1.3 Application review . 10
9.1.4 Audit programme . 10
9.1.5 Determining audit time . 10
9.1.6 Multi-site sampling . 10
9.1.7 Multiple management system standards . 11
9.2 Planning audits . 11
9.3 Initial certification . 12
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ISO/PRF TS 21030:(E)
9.4 Conducting audits . 13
9.5 Certification decision . 13
9.6 Maintaining certification . 13
9.7 Appeals . 13
9.8 Complaints . 13
9.9 Records of applicants and clients . 14
10 Management system requirements for certification bodies . 14
Annex A (normative) Determination of audit time . 15
Annex B (normative) Specific knowledge and skills for certification functions in EOMS . 19
Bibliography . 24

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ISO/PRF TS 21030:(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards
bodies (ISO member bodies). The work of preparing International Standards is normally carried out
through ISO technical committees. Each member body interested in a subject for which a technical
committee has been established has the right to be represented on that committee. International
organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO
collaborates closely with the International Electrotechnical Commission (IEC) on all matters of
electrotechnical standardization.
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular, the different approval criteria needed for the
different types of ISO documentsdocument should be noted. This document was drafted in accordance
with the editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).
Attention is drawnISO draws attention to the possibility that some of the elementsimplementation of this
document may beinvolve the subjectuse of (a) patent(s). ISO takes no position concerning the evidence,
validity or applicability of any claimed patent rights in respect thereof. As of the date of publication of
this document, ISO had not received notice of (a) patent(s) which may be required to implement this
document. However, implementers are cautioned that this may not represent the latest information,
which may be obtained from the patent database available at www.iso.org/patents. ISO shall not be held
responsible for identifying any or all such patent rights. Details of any patent rights identified during the
development of the document will be in the Introduction and/or on the ISO list of patent declarations
received (see ).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of the voluntary nature of standards, the meaning of ISO specific terms and
expressions related to conformity assessment, as well as information about ISO's adherence to the World
Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT), see
www.iso.org/iso/foreword.html.
This document was prepared by Technical Committee ISO/TC 232 Management Systems for Educational
Organization, Education and learning services, in collaboration with the ISO Committee on Conformity
Assessment (CASCO).
A list of all parts in the ISO 21001 series can be found on the ISO website.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www.iso.org/members.html.
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ISO/PRF TS 21030:(E)
Introduction
Certification of Educational Organization Management Systemsthe educational organization
management systems (EOMS) of an organization is one means of providing assurance that the
organization has implemented a system for the management of its educational services in line with its
policy.
Requirements for an EOMS can originate from a number of sources. This Technical
Specificationdocument has been developed to assist in the certification of EOMS that fulfil the
requirements of ISO 21001. The contents of this Technical Specificationdocument can also be used to
support certification of EOMS that are based on other sets of specified EOMS requirements.
This Technical Specificationdocument is intended for use by bodies that carry out audit and certification
of EOMS by providing generic requirements for such bodies. Such bodies are referred to as certification
bodies. This wording is not intended to be an obstacle to the use of this Technical Specificationdocument
by bodies with other designations that undertake activities covered by the scope of this Technical
Specification.document. This Technical Specificationdocument is intended to be used by anybody
involved in the audit of EOMS. It can also be used to support other types of Educational
Organizationeducational organization certifications based on a combination of ISO/IEC 17021-1,
ISO/IEC 17024 and ISO/IEC 17065.
Certification activities involve the audit of an organization’s EOMS. The form of attestation of conformity
of an organization’s EOMS to a specific EOMS standard (e.g. ISO 21001) or other specified requirements
is normally a certification document or a certificate.
It is for the organization being certified to develop its own management systems (e.g. EOMS in accordance
with ISO 21001, other sets of specified EOMS requirements, quality management systems, environmental
management systems or occupational health and safety management systems) and, other than where
relevant legislative requirements specify to the contrary, it is for the organization to decide how the
various components of these will be arranged. The degree of integration between the various
management system components will vary from organization to organization. It is, therefore, appropriate
for certification bodies that operate in accordance with this Technical Specification,document to consider
the culture and practices of their clients with respect to the integration of their EOMS in the organization.
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ISO/PRF TS 21030:(E)
Educational organizations - — Requirements for bodies providing
audit and certification of educational organizationsorganizations'
management systems
1 Scope
This Technical Specificationdocument defines the rules applicable forto the audit and
Certificationcertification of Educational Organization Management Systemseducational organization
management systems (EOMS) complying withconforming to the requirements given in ISO 21001 (or
other sets of specified EOMS requirements). It also provides the necessary information and confidence to
customers about the way certification of their suppliers has been granted.
Certification of EOMS is a third-party conformity assessment activity (as described in
ISO/IEC 17000:2020, 4.5), and bodies performing this activity are third-party conformity assessment
bodies.
NOTE 1 This Technical Specificationdocument can be used as a criteria document for the accreditation or peer
assessment of certification bodies which seek to be recognized as being competent to certify that an EOMS complies
withconforms to ISO 21001. It is also intended to be used as a criteria document by regulatory authorities and
industry consortia which engage in direct recognition of certification bodies to certify that an EOMS complies
withconforms to ISO 21001. Some of its requirements could also be useful to other parties involved in the
conformity assessment of such certification bodies, and in the conformity assessment of bodies that undertake to
certify the compliance of EOMS with criteria additional to, or other than, those in ISO 21001.
NOTE 2 Certification of an EOMS according to ISO 21001 is a management system certification, not a product
certification.
NOTE 3 ISO 21001 is a standalone management system standard, not a sector application of ISO 9001.
The concepts and requirements of this Technical Specificationdocument can be used to support
certification schemes in other standards for education, such as EQAVET (European Quality Assurance in
Vocational Education and Training),) and ENQA-ESG (European Association for Quality Assurance in
Higher Education, Standards and guidelines for quality assurance in the European Higher Education
Area), among others .).
2 Normative references
The following referenced documents, are referred to in wholethe text in such a way that some or in part,
are normatively referenced inall of their content constitutes requirements of this document and are
indispensable for its application. For dated references, only the edition cited applies. For undated
references, the latest edition of the referenced document (including any amendments) applies.
ISO ISO/IEC 17000:2020, Conformity assessment — Vocabulary and general principles
ISO/IEC 17021-1:2015, Conformity assessment — Requirements for bodies providing audit and
certification of management systems — Part 1: Requirements
ISO 21001:2018, Educational organizations — Management systems for educational organizations —
Requirements with guidance for use
ISO/IEC 17000:2020, Conformity assessment — Vocabulary and general principles
ISO/IEC 17021-1:2015, Conformity assessment — Requirements for bodies providing audit and
certification of management systems – Part 1: Requirements
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ISO/PRF TS 21030:(E)
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 17000, ISO/IEC 17021-1,
and ISO 21001 and the following, apply.
ISO and IEC maintain terminologicalterminology databases for use in standardization at the following
addresses:
— — ISO Online browsing platform: available at https://www.iso.org/obp
— — IEC Electropedia: available at https://www.electropedia.org/
3.1
virtual Sitesite

Digitaldigital space where an educational organization performs work or provides educational products
and services using an online environment allowing persons, irrespective of their locations, to execute
processes.
Note 1 to entry: Where the processes are executed in a physical environment, e.g.,for example physical testing and
computing laboratories, libraries, sports facilities, dormitories, or food service, the site cannot be considered as a
virtual site.
Note 2 to entry: An example of such a virtual site is a learning management platform with all employees performing
work located remotely, working in a cloud environment.
Note 3 to entry: A virtual site (e.g. learning management system, organization intranet) is considered a single site
for the calculation of Auditaudit time.
[SOURCE: Adapted from IAF MD5:20152019]
3.2
organization
person or group of people that has its own functions with responsibilities, authorities and relationships
to achieve its objectives
Note 1 to entry: The concept of organization includes, but is not limited to, sole-trader, company, corporation, firm,
enterprise, authority, partnership, charity or institution, or part or combination thereof, whether incorporated or
not, public or private.
[SOURCE: ISO 21001:2018, 3.1]
3.3
effectiveness
extent to which planned activities are realized and planned results are achieved
[SOURCE: ISO 21001:2018, 3.6]
3.4
objective
result to be achieved
Note 1 to entry: An objective can be strategic, tactical, or operational.
Note 2 to entry: Objectives can relate to different disciplines (such ase.g. educational, financial, health and safety,
and environmental goals) and can apply at different levels (such ase.g. strategic, organization-wide, project, product
and, process).
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ISO/PRF TS 21030:(E)
Note 3 to entry: An objective can be expressed in other ways, e.g.for example as an intended outcome, a purpose, an
operational criterion, as an EOMS objective, or by the use of other words with similar meaning (e.g. aim, goal, or
target).
Note 4 to entry: In the context of EOMS, EOMS objectives are set by the organization, consistent with the EOMS
policy, to achieve specific results.
[SOURCE: ISO 21001:2018, 3.8]
3.5
risk
effect of uncertainty
Note 1 to entry: An effect is a deviation from the expected —– positive or negative.
Note 2 to entry: Uncertainty is the state, even partial, of deficiency of information related to, understanding of or
knowledge of, an event, its consequence, or likelihood.
Note 3 to entry: Risk is often characterized by reference to potential “events” (as defined in ISO Guide 73:2009,
3.5.1.3) and “consequences” (as defined in ISO Guide 73:2009, 3.6.1.3), or a combination of these.
Note 4 to entry: Risk is often expressed in terms of a combination of the consequences of an event (including
changes in circumstances) and the associated “likelihood” (as defined in ISO Guide 73:2009, 3.6.1.1) of occurrence
[SOURCE: ISO 21001:2018, 3.9]
3.6
competence
ability to apply knowledge and skills to achieve intended results
Note 1 to entry: The ability to apply knowledge and skills means that the learner demonstrates appropriate
attitudes and behaviour in different contexts or situations with responsibility and autonomy.
[SOURCE: ISO 21001:2018, 3.10]
3.7
documented information
information required to be controlled and maintained by an organization and the medium on which it is
contained
Note 1 to entry: Documented information can be in any format and media, and from any source.
Note 2 to entry: Documented information can refer to:
— — the management system, including related processes;
— — information created in order for the organization to operate (documentation);
— — evidence of results achieved (records).
[SOURCE: ISO 21001:2018, 3.11]
3.8
performance
measurable result
Note 1 to entry: Performance can relate either to quantitative or qualitative findings.
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ISO/PRF TS 21030:(E)
Note 2 to entry: Performance can relate to the management of activities, processes, products (including services),
systems or organizations.
[SOURCE: ISO 21001:2018, 3.13]
3.9
educational organization
organization whose core business is the provision of educational products and educational services
Note 1 to entry: This can include an educational organization within a larger organization whose core business is
not education, such as a professional training department.
[SOURCE: ISO 21001:2018, 3.22]
3.10
educational service
process that supports acquisition and development of learners' competence through teaching, learning
or research
NOTE Note 1 to entry: The service provided in a school library is an educational service when utilized in an
educational context where learning how to obtain information and resources from a library is part of the curricula.
[SOURCE: ISO 21001:2018, 3.23, modified – note— Note to entry added.]
3.11
educational product
learning resource
tangible or intangible goods used in pedagogical support of an educational service
Note 1 to entry: Educational products can be either physical or digital and can include textbooks, workbooks,
worksheets, manipulatives (e.g. blocks, beads), flashcards, educator workshops, non-fiction, books, posters,
educational games, applications, websites, software, online courses, activity books, graphic novels, reference books,
DVDs, CDs, magazines and periodicals, study guides, educator guides, laboratories, models, movies, televisions
shows, webcasts, podcasts, maps and atlases, standards, technical specifications and case studies.
Note 2 to entry: Educational products can be produced by any parties, including learners.
[SOURCE: ISO 21001:2018, 3.24]
3.12
learner
beneficiary acquiring and developing competence using an educational service
[SOURCE: ISO 21001:2018, 3.25]
3.13
educator
person who performs teaching activities
Note 1 to entry: In different contexts, an educator is sometimes referred to as a teacher, a trainer, a coach, a
facilitator, a tutor, a consultant, an instructor, a lecturer or a mentor.
[SOURCE: ISO 21001:2018, 3.27]
3.14
staff
persons who work for and within an organization
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ISO/PRF TS 21030:(E)
Note 1 to entry: Staff can be referred by different terms, such as personnel, collaborator, intern, apprentice,
consultant, or volunteer, etc.
Note 2 to entry: In educational organizations, staff can be clustered according to the nature of their job roles.
Examples:, for example teaching, researcherresearching and non-teaching staff; administrative and support staff.
Note 3 staff to entry: Staff can be permanent or non-permanent, .
Note 4 non to entry: Non-permanent staff can be:
a) seasonal (e.g. a part-time teacher who only teaches in the first semester, a janitor who only works
during the academic months, but not on the holidays period,during holiday periods, a volunteer
during the registration period, data entry operators)); or
b) temporary (e.g. an invited lecturer to a given one timeonce-off masterclass;, a consultant
subcontracted to help the organization to implement a new management system, apprenticeships,
traineeships, internships, fellowships) .).
Note 5 staff to entry: Staff can be full-time or part-time (e.g. a cook who only works mornings in the food service; a
teacher who only teaches half of a teachers schedule)).
Note 6 staff to entry: Staff can have different formal agreements with the educational organization (e.g. employment
contract of a teacher or a clerk, client-supplier contract of a trainer, consultant, house keeperhousekeeper;
memorandum of understanding for aan intern/, apprentice/, trainee/, fellow or volunteer, etc.)).
[SOURCE: adapted ISO 21001:2018, 3.36, modified — Notes to entry added.]
3.15
vision
aspirations of an organization in relation to its desired future condition and duly aligned with its mission
[SOURCE: ISO 21001:2018, 3.30]
3.16
mission
reason for being, mandate and scope of an organization, translated into the context in which it operates
[SOURCE: ISO 21001:2018, 3.31]
3.17
course
distinct set of teaching and learning activities, designed to meet defined learning objectives or learning
outcomes
Source[SOURCE: ISO 21001:2018, 3.33, modified – the original NOTE— Note to entry has been deleted
as the term “credit unit” has multiple meanings in different contexts which can create confusion from a
conformity assessment perspective removed.]
3.18
educational programme
Course (3.17) course or consistent set of courses leading to recognition
NOTE Note 1 to entry: Recognition can take the form of a degree, a certificate of completion, participation or
achievement, a badge, diploma and other forms.
[SOURCE: ISO 21001:2018, 3.34, modified — Term and definition revised.]
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ISO/PRF TS 21030:(E)
3.19
skill
set of know-how that allows a person to master an activity and succeed in accomplishing a task
NOTE Note 1 to entry: Skill can be cognitive, emotional, social or psychomotor.
[SOURCE: ISO 21001:2018, 3.41]
33.20
knowledge
facts, information, principles or understanding acquired through experience, research or education
[SOURCE: ISO/IEC TS 17027:2014, 2.56, modified — The word “truths” has been removed after
“information” and the word “research” has been added after “experience”.Definition revised.]
3.21
verification
confirmation, through the provision of objective evidence, that specified requirements have been fulfilled
[SOURCE: ISO 9000:2015, 3.8.12, modified — Notes to entry have
...