ASC-PCS-001_2017_Revision_1_Training.pptx

This training provides an in-depth understanding of ASC-PCS-001:2017, the Lean Six Sigma Personnel Certification Standard developed by the American Standardization Council (ASC).
Participants learn the complete accreditation requirements for certification bodies operating Lean Six Sigma programs, including clauses on governance, resources, certification schemes, assessment, quality management systems, and compliance.

Through detailed clause-by-clause coverage, the session equips certification body leaders, quality managers, and auditors with the knowledge to implement, maintain, and demonstrate conformity to ASC accreditation requirements, ensuring the highest standards of competence, impartiality, and consistency in Lean Six Sigma certification.

1. ASC AMERICAN STANDARDS COUNCIL Advancing Excellence in Professional Certification ASC-PCS-001:2017 Lean Six Sigma Personnel Certification Standard Requirements for Accreditation of Bodies Certifying Persons in Lean Six Sigma Methodologies REVISION 1 TRAINING

2. Training Agenda Standard Requirements Introduction & Scope General Requirements (Clause 4) Structural Requirements (Clause 5) Resource Requirements (Clause 6) Records & Information (Clause 7) Certification Schemes (Clause 8) Certification Process (Clause 9) Recertification Requirements Implementation & Compliance Management System (Clause 10) ASC Accreditation Process (Clause 11) Noncompliance & Corrective Actions (Clause 12) Key Strictness Points Implementation Timeline Summary & Next Steps Training Duration: Full Day (8 hours) | Effective Date: July 1, 2017 | Target Audience: Certification Body Leadership & Quality Managers

3. Introduction to ASC-PCS-001:2017 Purpose of the Standard ASC-PCS-001:2017 establishes mandatory requirements for organizations seeking accreditation to certify Lean Six Sigma personnel. This standard ensures credibility, consistency, and the highest standards of quality and impartiality in LSS certification. Relationship to ISO/IEC 17024 This standard is based on the principles of ISO/IEC 17024:2012 (Conformity assessment — General requirements for bodies operating certification of persons), with specific and stringent requirements tailored for the Lean Six Sigma field. Key Principle: Compliance with all requirements is mandatory for accreditation. No deviations or alternative approaches are permitted unless explicitly stated.

4. Scope and Certification Levels ASC-PCS-001:2017 applies to all organizations providing certification for Lean Six Sigma personnel. This revision covers four certification levels only : Certification Level Minimum Training Hours Assessment Type Project Requirement Yellow Belt 24 hours Written Exam (100 questions, 80%) Participate in 1 LSS project Green Belt 40 hours Written Exam (150 questions, 80%) + Defense Lead 1 DMAIC project ($50K savings) Black Belt 120 hours Written Exam (200 questions, 85%) + Defense Lead 2 DMAIC projects ($100K each) Master Black Belt 80 hours (post-BB) Written Exam (250 questions, 90%) + Oral Lead 5 projects ($200K each) + Mentor 5 BBs NOT INCLUDED IN REVISION 1 White Belt certification is not covered in this revision. LSS Champion and Project Manager certifications are also excluded and will be addressed in future revisions.

5. General Requirements Clause 4 Legal Entity The certification body shall be a legal entity or defined part of a legal entity such that it can be held legally responsible for all certification activities. Documented organizational structure required Must demonstrate independence Safeguards impartiality mandatory Impartiality Management Formal impartiality committee consisting of at least five members representing diverse stakeholder groups. Quarterly meetings mandatory Review threats to impartiality Minutes maintained for 10 years Financial Requirements Professional liability insurance with minimum coverage of $2,000,000 USD per occurrence. Annual financial audits required Independent CPA certification Statements submitted to ASC Certification Decisions Certification body solely responsible for all decisions relating to granting, maintaining, recertifying, suspending, or withdrawing certification. No delegation to external parties Complete decision authority retained Full accountability maintained CRITICAL: Complete separation between training and certification functions required. Personnel involved in training candidates SHALL NOT participate in certification decisions for those candidates for at least 2 years.

6. Resource Requirements (Clause 6) Personnel Requirements Minimum Staffing Levels Master Black Belts: Minimum 2 full-time Black Belts: Minimum 4 full-time Administrative Staff: Sufficient for timely processing Instructor Competence • Certified two levels above what they teach (MBB only for Green Belt) • Minimum 5 years documented LSS experience • Completed at least 10 LSS projects in leadership role • Formal instructor training certification required • Annual teaching evaluations (minimum 4.5/5.0) Assessor Competence • Master Black Belts only (Black Belts not permitted) • Minimum 7 years documented LSS experience • Completed at least 20 LSS projects • Annual inter-rater reliability testing (90% agreement) OUTSOURCING PROHIBITED - All activities must be conducted by employees

7. Certification Schemes (Clause 8) Mandatory Requirements: Each certification scheme shall strictly adhere to the following requirements. 100% Body of Knowledge coverage is required. Certification Level Mandatory Training Hours Assessment Requirements Mandatory Project Requirements Yellow Belt 24 hours minimum Written exam: 100 questions, 3 hours, 80% pass Participation in 1 LSS project as team member Green Belt 40 hours minimum Written exam: 150 questions, 4 hours, 80% pass + Project defense Lead 1 DMAIC project with $50,000 minimum documented savings Black Belt 120 hours minimum Written exam: 200 questions, 5 hours, 85% pass + Project defense Lead 2 DMAIC projects with $100,000 minimum documented savings each Master Black Belt 80 hours post-Black Belt minimum Written exam: 250 questions, 6 hours, 90% pass + Oral examination Lead 5 projects with $200,000 minimum savings each + Mentor 5 Black Belts to certification CRITICAL: All training must be in-person classroom only. Online training, distance learning, or self-study are NOT permitted.

8. Training and Assessment Criteria Training Requirements (Clause 8.2.1) In-person only: Classroom setting mandatory No online training: Distance learning prohibited Consecutive delivery: No part-time spread over extended periods Class size limit: Maximum 20 participants per instructor All training must cover 100% of ASC-approved Body of Knowledge Examination Requirements (Clause 8.2.2) Proctored in-person at approved testing centers Paper-based only: No computer-based testing Closed-book: No reference materials allowed Video recording and certified proctors required Optical scanning with manual verification Examination Specifications by Level Certification Level Questions Duration Passing Score Retake Policy Yellow Belt 100 questions 3 hours 80% 90-day wait + remedial training Green Belt 150 questions 4 hours 80% 90-day wait + remedial training Black Belt 200 questions 5 hours 85% 90-day wait + remedial training Master Black Belt 250 questions 6 hours 90% 90-day wait + remedial training Maximum Retakes: Two attempts permitted. After three failed attempts, candidates must retake the complete training

9. Certification Process (Clause 9) 1 Application Process Verification within 5 business days . Incomplete applications rejected immediately. Government-issued photo ID Educational transcripts (Bachelor's for BB+) Employment verification Three professional references Signed code of ethics agreement 2 Training Completion Mandatory in-person classroom training with full attendance required. 100% Body of Knowledge coverage Maximum 20 participants per class Consecutive delivery required Attendance records maintained 3 Written Examination Proctored in-person at approved testing centers. Paper-based only. Quarterly administration minimum Video recording mandatory Locked transport with chain-of-custody Optical scanning + manual verification 4 Project Submission (GB+) Complete project report within 90 days of training. No extensions except medical emergencies. Executive summary (2 pages max) Detailed methodology (20+ pages) Complete data sets and analysis Financial validation required Sponsor and supervisor signatures 5 Project Assessment Evaluated by two independent Master Black Belts using mandatory ASC rubric. Independent scoring required Third assessor if scores differ >10% Minimum passing score: 85/100 6-month sustainability evidence required 6 Certification Decision Committee of 3 Master Black Belts not involved in training/assessment. Decision within 30 days of project approval Independent decision-makers required No delegation permitted Documented rationale mandatory CRITICAL TIMELINE: Project submission within 90 days of training completion. Late submissions NOT accepted. Certification decision within 30 days of project approval.

10. Recertification Requirements TWO-YEAR RECERTIFICATION CYCLE All certifications are valid for 2 years only. Recertification must be completed BEFORE expiration date. Late recertification is NOT permitted. Level PDU Requirements Recertification Exam Project Requirements Additional Requirements Yellow Belt 20 PDUs from approved activities Not required Participation in at least 2 LSS projects Payment of recertification fee Green Belt 30 PDUs from approved activities 50 questions, 70% passing score Leadership of at least 1 LSS project with documented results Payment of recertification fee Black Belt 40 PDUs from approved activities 100 questions, 75% passing score Leadership of at least 2 LSS projects with documented results Evidence of mentoring at least 1 Green Belt + Fee payment Master Black Belt 50 PDUs from approved activities 150 questions, 80% passing score Leadership of at least 3 LSS projects with documented results Evidence of mentoring 2 Black Belts + Published article or conference presentation + Fee payment CRITICAL: Recertification must be completed BEFORE expiration. No grace period. No late recertification permitted. Suspension Policy: Failure to complete recertification by deadline results in immediate suspension. Suspended certifications SHALL NOT be reinstated. Individuals must reapply and complete the full certification process.

11. Quality Management System (Clause 10) Mandatory QMS Requirements Requirement Specification ISO 9001 Certification MANDATORY - No alternative systems accepted Record Retention 15 years minimum - Physical + electronic Internal Audits Semi-annual - Certified lead auditors (ISO 19011) Management Review Quarterly - Minutes to ASC within 15 days Document Control Formal version control, approval workflows, distribution tracking Backup Requirements Daily backups at geographically separate location (100+ miles) Storage Security Fireproof, waterproof storage with redundant systems Corrective Actions 30-day correction with root cause analysis (5 Whys, Fishbone, FTA) ISO 9001 CERTIFICATION IS MANDATORY - Self-declarations or alternative quality systems are NOT acceptable for ASC accreditation

12. ASC Accreditation Process (Clause 11) Initial Accreditation Requirements Required Documentation Completed application with non-refundable fee Complete quality manual and procedures Evidence of ISO 9001 certification (mandatory) Professional liability insurance proof ($2M minimum) List of all personnel with qualifications Sample certificates and examination materials Financial statements for previous three years Initial Audit Process On-site audit: Minimum 5 days Team of at least 2 ASC auditors Comprehensive review of all requirements Witness certification activities Interview personnel and review records Surveillance Audits Semi-annual (twice per year, not annual) Unannounced audits On-site surveillance mandatory Fees paid in advance annually Evidence of continual improvement required Accreditation Fees Fee Category Amount (USD) Application Fee $5,000 Initial Audit Fee $15,000 Accreditation Certificate $2,000 Annual Accreditation Fee $10,000 Surveillance Audit (each) $5,000 Per-Certificate Fee $50 Total Initial Investment: $22,000 USD minimum (Application + Audit + Certificate) Annual Ongoing Costs: $20,000 USD minimum (Annual fee + 2 surveillance audits)

13. Noncompliance and Corrective Actions (Clause 12) Minor Nonconformities 15-Day Correction Period Requirements: Evidence of correction submitted to ASC within 15 days Failure to correct escalates to major nonconformity No grace period extensions Examples: Documentation gaps Record-keeping deficiencies Minor procedural deviations Administrative errors Major Nonconformities Immediate Suspension During Suspension: Cease all certification activities immediately Stop all use of ASC accreditation mark Notify all stakeholders within 48 hours Submit corrective action plan within 10 days Reinstatement Requirements: Complete corrective action implementation ASC verification audit (at organization's expense) Payment of $10,000 USD reinstatement fee Permanent Revocation 5-Year Reapplication Ban Revocation Triggers: Fraud or misrepresentation Repeated major nonconformities Failure to correct within 60 days Failure to pay fees within 30 days Violation of ASC code of ethics Consequences: Cannot reapply for 5 years minimum All certificates issued during noncompliance invalidated Notify all certified individuals within 10 days FEES: Reinstatement after suspension = $10,000 USD | All surveillance audit fees = $5,000 USD per audit | Annual accreditation fee = $10,000 USD

14. Implementation Timeline Months 1-3 Phase 1: Preparation and Gap Analysis Obtain ISO 9001 certification (if not already certified) Conduct gap analysis against ASC-PCS-001:2017 requirements Hire required personnel (2 MBBs, 4 BBs minimum) Secure professional liability insurance ($2M minimum) Develop quality manual and procedures Months 4-6 Phase 2: Documentation and System Development Develop certification schemes for all belt levels Create examination materials and project rubrics Establish impartiality committee (5+ members) Implement document control and record management systems Develop training curricula covering 100% Body of Knowledge Month 7 Phase 3: Application Submission Submit completed application with $5,000 non-refundable fee Provide all required documentation and evidence Submit financial statements for previous 3 years Provide sample certificates and examination materials Months 8-9 Phase 4: Initial Accreditation Audit 5-day on-site audit by ASC team Witness certification activities and interview personnel Address any nonconformities within 15 days (minor) or immediately (major) Pay initial audit fee ($15,000) and certificate fee ($2,000) Month 10 Phase 5: Accreditation Granted Receive ASC accreditation certificate Begin using ASC accreditation mark per branding guidelines Commence certification activities Establish quarterly management review schedule Ongoing Phase 6: Continual Compliance Semi-annual unannounced surveillance audits ($5,000 each) Annual accreditation fee payment ($10,000) Quarterly management reviews and impartiality committee meetings Semi-annual internal audits with certified lead auditors Maintain all records for 15 years minimum TOTAL TIMELINE TO ACCREDITATION: 10 MONTHS | INITIAL INVESTMENT: $22,000 USD | ANNUAL ONGOING: $20,000 USD minimum

15. Summary and Next Steps Critical Requirements Recap ISO 9001 certification is MANDATORY Instructors must be 2 levels above what they teach Only Master Black Belts can assess candidates Outsourcing is completely prohibited Semi-annual unannounced surveillance audits 15-day correction period for minor NCs 2-year recertification cycle (not 3 years) In-person classroom training only Common Pitfalls to Avoid Underestimating personnel requirements (2 MBBs, 4 BBs minimum) Attempting to use Black Belts as assessors Relying on outsourced training or assessment Implementing online or blended learning programs Missing the 15-day correction deadline Inadequate record retention systems (15 years required) Insufficient financial planning for ongoing costs ($20K/year) Immediate Action Items Conduct comprehensive gap analysis against all 12 clauses Secure ISO 9001 certification if not already certified Assess current personnel qualifications and hire as needed Obtain professional liability insurance ($2M minimum) Develop detailed implementation plan with timeline Allocate budget for initial investment ($22K) and ongoing costs ($20K/year) Begin developing quality manual and procedures Resources Available ASC-PCS-001:2017 complete standard document ASC accreditation application package Sample quality manual templates Body of Knowledge reference documents Examination development guidelines Project assessment rubric templates ASC technical support and consultation services Questions? Contact ASC Accreditation Services Division | www.americanscouncil.com | Effective Date: July 1, 2017