BS PD ISO IEC TS 17021-7-2014 Conformity assessment Requirements for bodies providing audit and certification of management systems Competence requirements for auditing and certifi.pdf

1、BSI Standards Publication Conformity assessment Requirements for bodies providing audit and certification of management systems Part 7: Competence requirements for auditing and certification of road traffic safety management systems PD ISO/IEC TS 17021-7:2014National foreword This Published Document

2、 is the UK implementation of ISO/IEC TS 17021-7:2014. The UK participation in its preparation was entrusted by Technical Committee HS/1, Occupational health and safety management, to Subcommittee HS/1/2, ISO 39001 Road traffic safety management systems. A list of organizations represented on this co

3、mmittee can be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of a contract. Users are responsible for its correct application. The British Standards Institution 2014. Published by BSI Standards Limited 2014 ISBN 978 0 580 85637 2 ICS

4、03.120.20; 03.220.20 Compliance with a British Standard cannot confer immunity from legal obligations. This Published Document was published under the authority of the Standards Policy and Strategy Committee on 30 November 2014. Amendments/corrigenda issued since publication Date Text affected PUBLI

5、SHED DOCUMENT PD ISO/IEC TS 17021-7:2014Conformity assessment Requirements for bodies providing audit and certification of management systems Part 7: Competence requirements for auditing and certification of road traffic safety management systems valuation de la conformit Exigences pour les organism

6、es procdant laudit et la certification des systmes de management Partie 7: Exigences de comptence pour laudit et la certification des systmes de management de la scurit du trafic routier TECHNICAL SPECIFICATION ISO/IEC TS 17021-7 First edition 2014-10-15 Reference number ISO/IEC TS 17021-7:2014(E) I

7、SO/IEC 2014 ii ISO/IEC 2014 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2014 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on

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9、.org Web www.iso.org Published in Switzerland ISO/IEC TS 17021-7:2014(E) PD ISO/IEC TS 17021-7:2014 ISO/IEC TS 17021-7:2014(E)Contents Page Foreword v Introduction vi 1 Scope . 7 2 Normative references 7 3 Terms and definitions . 7 4 Competence requirements . 7 5 Competence requirements for RTS audi

10、tors . 8 5.1 General . 8 5.2 RTS Terminology, principles, processes and concepts, including the Safe System approach . 8 5.3 Organizational context . 8 5.4 Applicable laws, regulations and other requirements 8 5.5 Risks and opportunities related to RTS . 8 5.6 RTS performance factors 8 5.7 RTS objec

11、tives and targets 8 5.8 Leadership and coordination . 8 5.9 Emergency preparedness and response . 8 5.10 Performance evaluation 9 5.11 Road traffic crash and other road traffic incident investigation 9 6 Competence requirements for personnel reviewing audit reports and making certification decisions

12、. 9 6.1 General . 9 6.2 RTS terminology, principles, processes and concepts, including the Safe System approach . 9 6.3 Organizational context . 9 6.4 Applicable laws, regulations and other requirements 9 6.5 Risks and opportunities related to RTS . 9 6.6 RTS performance factors 9 6.7 Performance ev

13、aluation 9 7 Competence requirements for other certification personnel 10 7.1 General 10 7.2 RTS terminology, principles, processes and concepts, including the Safe System approach 10 7.3 Organizational context 10 7.4 RTS performance factors .10 Annex A (informative) Knowledge for RTS management sys

14、tems auditing and certification .11 Bibliography .12 ISO/IEC 2014 All rights reserved iii PD ISO/IEC TS 17021-7:2014 ISO/IEC TS 17021-7:2014(E) Foreword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for wo

15、rldwide standardization. National bodies that are members of ISO or IEC participate in the development of International Standards through technical committees established by the respective organization to deal with particular fields of technical activity. ISO and IEC technical committees collaborate

16、 in fields of mutual interest. Other international organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the field of conformity assessment, the ISO Committee on conformity assessment (CASCO) is responsible for the development of International

17、Standards and Guides. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. Draft International Standards are circulated to the national bodies for voting. Publication as an International Standard requires approval by at least 75 % of the national

18、bodies casting a vote. In other circumstances, particularly when there is an urgent market requirement for such documents, a technical committee may decide to publish other types of document: an ISO/IEC Publicly Available Specification (ISO/IEC PAS) represents an agreement between technical experts

19、in an ISO working group and is accepted for publication if it is approved by more than 50 % of the members of the parent committee casting a vote; an ISO/IEC Technical Specification (ISO/IEC TS) represents an agreement between the members of a technical committee and is accepted for publication if i

20、t is approved by 2/3 of the members of the committee casting a vote. An ISO/PAS or ISO/TS is reviewed after three years in order to decide whether it will be confirmed for a further three years, revised to become an International Standard, or withdrawn. If the ISO/PAS or ISO/TS is confirmed, it is r

21、eviewed again after a further three years, at which time it must either be transformed into an International Standard or be withdrawn. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifyi

22、ng any or all such patent rights. ISO/IEC/TS 17021-7 was prepared by the ISO Committee on conformity assessment (CASCO). ISO/IEC 17021 consists of the following parts, under the general title Conformity assessment Requirements for bodies providing audit and certification of management systems: Part

23、2: Competence requirements for auditing and certification of environmental management systems Technical Specification Part 3: Competence requirements for auditing and certification of quality management systems Technical Specification Part 4: Competence requirements for auditing and certification of

24、 event sustainability management systems Technical Specification Part 5: Competence requirements for auditing and certification of asset management systems T echnical Specification Part 6: Competence requirements for auditing and certification of business continuity management systems Technical Spec

25、ification Part 7: Competence requirements for auditing and certification of road traffic safety management systems Technical Specification The next revision of ISO/IEC 17021:2011 will reflect the different parts and will become ISO/IEC 17021-1.iv ISO/IEC 2014 All rights reserved PD ISO/IEC TS 17021-

26、7:2014 ISO/IEC TS 17021-7:2014(E) Introduction ISO 39001 provides a tool to help organizations reduce, and ultimately eliminate, the incidence and risk of death and serious injury related to road traffic crashes and promotes the Safe System approach. Certification to ISO 39001 is one way of demonstr

27、ating that a systematic approach to road traffic safety (RTS) management has been taken. RTS management system certification personnel need to have the generic competencies described in ISO/IEC 17021:2011, as well as the specific RTS management system competencies described in this Technical Specifi

28、cation. This Technical Specification complements ISO/IEC 17021:2011. In particular, it clarifies the requirements for the competence of personnel involved in the certification process set out in ISO/IEC 17021:2011, Annex A. The guiding principles in ISO/IEC 17021:2011, Clause 4, are the basis for th

29、e requirements in this Technical Specification. Certification bodies have a responsibility to interested parties, including their clients and the customers of the organizations whose management systems are certified, to ensure that RTS certification is credible by only using certification personnel

30、that have demonstrated relevant competence. In this Technical Specification, the following verbal forms are used: “shall” indicates a requirement; “should” indicates a recommendation; “may” indicates a permission; “can” indicates a possibility or a capability. Further details can be found in the ISO

31、/IEC Directives, Part 2. For the purposes of research, users are encouraged to share their views on this Technical Specification and their priorities for changes to future editions. Click on the link below to take part in the online survey: https:/ / ISO/IEC 2014 All rights reserved v PD ISO/IEC TS

32、17021-7:2014 Conformity assessment Requirements for bodies providing audit and certification of management systems Part 7: Competence requirements for auditing and certification of road traffic safety management systems 1 Scope This Technical Specification complements the existing requirements of IS

33、O/IEC 17021:2011. It includes specific competence requirements for personnel involved in the certification process for road traffic safety (RTS) management systems. 2 Normative references The following documents, in whole or in part, are normatively referenced in this document and are indispensable

34、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/IEC 17000, Conformity assessment Vocabulary and general principles ISO/IEC 17021:2011, Conformity assessment Requir

35、ements for bodies providing audit and certification of management systems ISO 39001, Road traffic safety (RTS) management systems - Requirements with guidance for use 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO 39001, ISO/IEC 17000 and ISO/IEC 17

36、021:2011 apply. 4 Competence requirements The certification body shall use Clauses 5, 6 and 7, and ISO/IEC 17021:2011, Table A.1, to define the competence requirements for each certification function. NOTE 1 Annex A provides an informative summary of the competence requirements for personnel involve

37、d in specific certification functions. NOTE 2 Information on the principles of auditing is provided in ISO 19011. NOTE 3 The certification body is responsible for defining the depth of the required competence, which can vary for auditors and personnel performing other certification functions. TECHNI

38、CAL SPECIFICATION ISO/IEC TS 17021-7:2014(E) ISO/IEC 2014 All rights reserved 1 PD ISO/IEC TS 17021-7:2014 ISO/IEC TS 17021-7:2014(E) 5 Competence requirements for RTS auditors 5.1 General Personnel involved in RTS auditing shall have a level of competence that includes the generic competencies desc

39、ribed in ISO/IEC 17021:2011, as well as the RTS knowledge described in 5.2 to 5.11. NOTE It is not necessary for each auditor in the audit team to have the same competence, however, the collective competence of the audit team needs to be sufficient to achieve the audit objectives. 5.2 RTS Terminolog

40、y, principles, processes and concepts, including the Safe System approach Personnel involved in RTS auditing shall have knowledge of terminology, principles, processes and concepts of RTS and RTS management, as outlined in ISO 39001, including its annexes. 5.3 Organizational context Personnel involv

41、ed in RTS auditing shall have knowledge of the context in which organizations operate and the potential impact of their activities on RTS. 5.4 Applicable laws, regulations and other requirements Personnel involved in RTS auditing shall have knowledge to determine whether an organization has identifi

42、ed and evaluated its compliance with applicable legal requirements and other requirements. NOTE 1 Statutory and regulatory requirements can be expressed as legal requirements. NOTE 2 Other requirements can include voluntary national, international and sector-specific protocols. 5.5 Risks and opportu

43、nities related to RTS Personnel involved in RTS auditing shall have knowledge of methods and practices for identifying and addressing RTS risks and opportunities. 5.6 RTS performance factors Personnel involved in RTS auditing shall have knowledge of RTS performance factors and their applicability in

44、 different organizational contexts. NOTE RTS performance factors include those specified in ISO 39001 and any additional RTS performance factors that are identified as appropriate. 5.7 RTS objectives and targets Personnel involved in RTS auditing shall have knowledge of processes for setting RTS obj

45、ectives and targets and of the means of achieving them. 5.8 Leadership and coordination Personnel involved in RTS auditing shall have knowledge of the impact of leadership and coordination functions on RTS results. 5.9 Emergency preparedness and response Personnel involved in RTS auditing shall have

46、 knowledge to determine whether an organization has prepared emergency response arrangements to road traffic incidents and tested them wherever feasible.2 ISO/IEC 2014 All rights reserved PD ISO/IEC TS 17021-7:2014 ISO/IEC TS 17021-7:2014(E) 5.10 Performance evaluation Personnel involved in RTS audi

47、ting shall have knowledge of methods and practices for monitoring, measuring, analysing and evaluating RTS performance and the effectiveness of the RTS management system. 5.11 Road traffic crash and other road traffic incident investigation Personnel involved in RTS auditing shall have knowledge to

48、determine whether the organization has applied methods and practices for road traffic crash investigation and other road traffic incident investigation, to identify the need for RTS corrective action. 6 Competence requirements for personnel reviewing audit reports and making certification decisions

49、6.1 General Personnel reviewing audit reports and making certification decisions shall have competence that includes the generic competence described in ISO/IEC 17021:2011and the RTS knowledge described in 6.2 to 6.7. NOTE If the certification decision function is performed by a group of people or committee, the competence required by this Technical Specification for this function to be considered is the overall combin