ISO Information Session

ISO CERTIFICATION
CASRO Annual Meeting
October 14, 2010
What is the CASRO Institute for Research Quality
(CIRQ) ?
• A certification body established as a non-profit subsidiary
of CASRO
– Independently audited once each year
• Managed by a team of 3 Directors who report to a CIRQ
Advisory Committee (which in turn reports to the
CASRO Board):
– Certification Director
– Operations Director
– Technical Director
• Rigorously trained team of Auditors who are experienced
researchers
What is the Current State of ISO Certification?
• Globally about 250 research companies are certified to ISO 20252
• Some foreign national research associations have mandated
certification for their members
• Certification to ISO 26362 exists primarily in the Netherlands and
Australia
• One North American (U.S.) company certified to this point
• 30 + North American companies have expressed interest in
pursuing certification with CIRQ
• International interest in certification via CIRQ has also surfaced
• Certification authorities are lacking in some parts of the world
What are ISO Quality Standards ?
• Frameworks for building a quality program
• Don’t always mandate the specifics of each process.
• Recognized internationally as quality control standards
for market, opinion and survey research project
management processes
• Focus on those business activities that impact:
(a) The quality of service delivery to the client
(b) The integrity of the project outcome
• Two standards specific to research businesses and their
quality management systems
What are the ISO Quality Standards for Research?
• ISO 20252 :
– Quality standard for market, opinion, social research
– Compliments existing national standards and sets a
common level of quality for market research globally
– Development driven by the global market research
industry and professional and trade associations,
including AAPOR, CASRO, ESOMAR, MRQSA (UK),
MRIA (Canada)
– Released in 2006
What are the Key Components of ISO 20252?
• Quality Management System Requirements:
•Organization & Responsibilities
•Confidentiality
•Documentation Requirements
•Competence & Training
•Subcontracting
•Reviewing Effectiveness of the System
•Managing the Executive Elements of Research
•Data Collection
•Data Management & Processing
•Reporting on Research Projects
What are the ISO Quality Standards for Research?
• ISO 26362 :
– Quality standard for Access Panels in market, opinion,
social research
– Provides criteria against which access panel providers
and the quality of access panels can be assessed
– Applies to all types of access panels
• Recruited and used online (e.g. via internet)
• Offline (e.g. via telephone, post or face-to-face interaction)
– Development driven by same entities as 20252
– Released in 2009
What are the Key Components of ISO 26362?
•About 60-70% of ISO 20252 applies, plus:
•Recruitment of New Panel Members
•Panel Structure and Size
•Panel Management
•Panel Usage
•Client Reporting
•Professional Rules of Conduct
How does ISO Certification fit in our industry?
Standards of Ethics
and Law
CASRO Code of Standards
Professional Codes
National & Global
Regulations
ISO 20252
ISO 26362
Standards of Process for
Research Project
Management
Social Science
Statistical Applications
Information Technology
Standards of Practice
Other Standards and Certifications
• SAS 70
• ISO 27001
Other Standards and Certifications – SAS 70
• SAS 70 (the Statement on Auditing Standards No. 70) defines the
standards an auditor must employ in order to assess the
contracted internal controls of a service organization.
• Applies to a variety of industries which can include hosted data
centers, insurance claims processors and credit processing.
• Focus on outsourcing of services
• SAS 70 Type 2 is of most value (includes report of actual audit)
• Not research specific
• Client audience: Typically Procurement, Information Technology
• Not a replacement or substitute for ISO 20252 or 26362
Other Standards and Certifications – ISO 27001
• ISO/IEC 27001 specifies a management system intended to bring
Information Security under explicit management control. Being a
formal specification, it mandates specific requirements.
Organizations that have successfully adopted ISO/IEC 27001 can
be formally audited and certified as compliant with the standard.
• Applies to multiple industries
• Not research specific
• Client audience: Typically Compliance, Information
Technology/Information Security, Procurement, Information
Technology
• Not a replacement or substitute for ISO 20252 or 26362
How Can ISO Certification Benefit Research
Companies?
• Internationally recognized standard for research business quality
in project management
• Identifies operating inefficiencies, which when addressed can
help:
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Reduce operating costs
Reduce rework
Improve quality
Establish greater transparency
Increase client satisfaction
• A very useful employee on-boarding and training tool
• A credential that can help companies win and renew business,
especially in industries partial to standardized processes
• It can enhance global competitiveness
How do You Prepare for ISO Certification?
Purchase ISO Standard (ISO 20252 and/or 26362)
Appoint a quality manager or quality team
Review standard to define clauses that apply to your business
(highlighting “shall” – “procedure” – “document” – “record”)
How do You Prepare for ISO Certification?
Purchase ISO Standard (ISO 20252 and/or 26362)
Appoint a quality manager or team
Review standard (highlighting “shall” – “procedure” – “document” – “record”)
Identify gaps between ISO requirements and company processes
Determine how the gaps will be addressed: what, how, who
Develop Quality Management System: Quality Manual, Procedures,
Documents, Internal audit system, etc.
How do You Prepare for ISO Certification?
Purchase ISO Standard (ISO 20252 and/or 26362)
Appoint a quality manager or team
Review standard (highlighting “shall” – “procedure” – “document” – “record”)
Identify gaps between ISO requirements and company processes
Determine how the gaps will be addressed: what, how, who
Develop Quality Management System: Quality Manual, Procedures,
Documents, Internal audit system, etc.
Consider CASRO resources or external consultants:
• ISO information on CASRO website
• CASRO ISO Research Tools (guidelines, checklists, templates)
• CASRO educational webinars
How do You Prepare for ISO Certification?
Purchase ISO Standard (ISO 20252 and/or 26362)
Appoint a quality manager or team
Review standard (highlighting “shall” – “procedure” – “document” – “record”)
Identify gaps between ISO requirements and company processes
Determine how the gaps will be addressed: what, how, who
Develop Quality Management System: Quality Manual, Procedures,
Documents, Internal audit system, etc.
Consider CASRO resources or external consultants:
• ISO information on CASRO website
• CASRO ISO Research Tools (guidelines, checklists, templates)
• CASRO educational webinars
Implement quality management system (procedures; documents; records)
Submit Application for Audit and Certification Services to CIRQ
What is CIRQ’s Role in Your Certification Process ?
•Application submitted to CIRQ
CLIENT & CIRQ
ASSESSMENT of CLIENT
QUALITY SYSTEM
CIRQ INITIAL
CERTIFICATION
PROCESS
SURVEILLANCE AUDITS &
RE-CERTIFICATION AUDIT
•Client and CIRQ work together to determine
scope of certification
•Client submits self assessment & Quality
Manual to CIRQ
•Pre-assessment provided to client by CIRQ
•Audit is planned and scheduled, and agreed to with
client
•Audit undertaken (client headquarters and other locations)
•Follow up completed, as needed, and recommendations
made
•Certification finalized
•Surveillance audits (in each of subsequent 2 years)
- Always include hdqtrs and sample of other sites
•Re-certification audit after 3 years
•All sites audited over each 3-year cycle
What Resources are Available to Help with ISO
Implementation ?
• See hand-out
The Real Deal:
1.Why did your company choose ISO
20252 certification?
2.What benefits have been realized?
3.What advice could you offer?
Q&A
Myths About ISO Certification
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Too expensive
Not needed, quality is a given
Takes too much time/requires too much documentation
Limits innovation
Others?
Quality is not expensive
it is priceless
.
What is the Investment Required?
• Preparing Your Quality Management System
– Internal commitment and support -- CEO, Senior Mgmt.,
Quality Manager
– Staff time
– ISO preparation tools from CASRO if necessary
– ISO consultants if necessary
– Implementation of quality system within your organization
• Audit Cost: Varies from company to company:
– Number of employees
– Number of locations
– Scope of services to be certified
NOTE: Well run research companies will have much of
what’s required already in place
Some Examples of Audit & Certification Costs
• For the very small companies (< 10 people and 1 location):
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Application Fee ($300)
Pre-assessment Fee ($1600)
1 audit day ($1600) + travel time and expenses
Report writing ($400)
Issuance of Certificate & Annual Management Fee ($200)
Total initial certification cost = $4100
Each Surveillance audit would be about 50% of this cost
Re-certification audit would be about 75% of this cost
Some Examples of Audit & Certification Costs
• For Tier 2 companies (21-50 people and 1 location):
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Application Fee ($750)
Pre-assessment Fee ($1600)
2 audit days ($3200) + travel time and expenses
Report writing ($400)
Issuance of Certificate & Annual Management Fee ($550)
Total initial certification cost = $6500
Each Surveillance audit would be about 50% of this cost
Re-certification audit would be about 75% of this cost
Some Examples of Audit & Certification Costs
• For Tier 3 companies (51-125 people and 2 locations):
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Application Fee ($750)
Pre-assessment Fee ($1600)
3 audit day ($4800) + travel time and expenses
Report writing ($550)
Issuance of Certificate & Annual Management Fee ($550)
Total initial certification cost = $8550
Each Surveillance audit would be about 50% of this cost
Re-certification audit would be about 75% of this cost
Return on Investment - Internal
• Provides a useful tool for employee on-boarding and training
• Helps to optimize project management tasks and decrease the
amount of rework
• Can identify operating inefficiencies, and when addressed:
-- Help reduce operating costs
• Helps improve business management:
-- Documentation and record-keeping requirements allow for
consistency, measurability, and support internal auditing
• Provides traceability to address questions/issues regarding projects
• Provides documentation of data protection and security for EU
Data Directive/US Safe Harbor as well as other privacy regulations
Return on Investment - External
• Provides an internationally-recognized infrastructure for
quality in research project management, and can result
in:
-- Very effective mechanism to address current quality
concerns
-- Better communication with your clients
-- Better communication and clearer understanding of
processes among international or domestic research
partners
• It can help win and renew business, especially in
industries partial to standardized processes
Return on Investment - External
• With clients (particularly, international clients, government
agencies, manufacturing clients, etc.), it is a respected
“credential” that demonstrates your company’s commitment to:
-- Consistency and accountability in research project
management
-- Process documentation, record-keeping, and data security
-- Transparency in procedures
-- Continuous improvement of your quality management system
-- Increasing and maintaining client satisfaction
• Your company will be differentiated in the marketplace with this
unique and respected credential
Food for Thought
"Companies should manage quality
as a customer experience, address
quality issues with sophisticated risk
management approaches, and
transform the quality function to
become a source of strategic value."
By Joachim Ebert, Vijay Natarajan, Andrew Newsom, David Qu, A.T.
Kearney, Industry Week (3 part series)
"Tomorrow's leaders will be
distinguished by their risk
management and many will address
risk management through the quality
function."
By Joachim Ebert, Vijay Natarajan, Andrew Newsom, David Qu,
A.T. Kearney, Industry Week (3 part series)
"Quality is like motherhood
and apple pie: something
that everyone can support."
By Joachim Ebert, Vijay Natarajan, Andrew Newsom, David Qu, A.T.
Kearney, Industry Week (3 part series)