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 PublicationConformity assessment Requirements for bodies providing audit and certification of management systemsPart 7: Competence requirements for auditing and certification of road traffic safety management systemsPD ISO/IEC TS 17021-7:2014National forewordThis Published Document is

2、the UK implementation ofISO/IEC TS 17021-7:2014.The UK participation in its preparation was entrusted by TechnicalCommittee HS/1, Occupational health and safety management, toSubcommittee HS/1/2, ISO 39001 Road traffic safety managementsystems.A list of organizations represented on this committee ca

3、n be obtained onrequest to its secretary.This publication does not purport to include all the necessary provisions ofa contract. Users are responsible for its correct application. The British Standards Institution 2014.Published by BSI Standards Limited 2014ISBN 978 0 580 85637 2ICS 03.120.20; 03.22

4、0.20 Compliance with a British Standard cannot confer immunity fromlegal obligations.This Published Document was published under the authority of theStandards Policy and Strategy Committee on 30 November 2014. Amendments/corrigenda issued since publicationDate Text affectedPUBLISHED DOCUMENTPD ISO/I

5、EC 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 systemsvaluation de la conformit Exigences pour les organismes procdant laudit et l

6、a certification des systmes de management Partie 7: Exigences de comptence pour laudit et la certification des systmes de management de la scurit du trafic routierTECHNICAL SPECIFICATIONISO/IECTS 17021-7First edition 2014-10-15Reference number ISO/IEC TS 17021-7:2014(E) ISO/IEC 2014ii ISO/IEC 2014 A

7、ll rights reservedCOPYRIGHT PROTECTED DOCUMENT ISO/IEC 2014All 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 the internet or an intranet, wi

8、thout prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester.ISO copyright officeCase postale 56 CH-1211 Geneva 20Tel. + 41 22 749 01 11Fax + 41 22 749 09 47E-mail copyrightiso.orgWeb www.iso.orgPublished in Swit

9、zerlandISO/IEC TS 17021-7:2014(E)PD ISO/IEC TS 17021-7:2014ISO/IEC TS 17021-7:2014(E)Contents PageForeword vIntroduction vi1 Scope . 72 Normative references 73 Terms and definitions . 74 Competence requirements . 75 Competence requirements for RTS auditors . 85.1 General . 85.2 RTS Terminology, prin

10、ciples, processes and concepts, including the Safe System approach . 85.3 Organizational context . 85.4 Applicable laws, regulations and other requirements 85.5 Risks and opportunities related to RTS . 85.6 RTS performance factors 85.7 RTS objectives and targets 85.8 Leadership and coordination . 85

11、.9 Emergency preparedness and response . 85.10 Performance evaluation 95.11 Road traffic crash and other road traffic incident investigation 96 Competence requirements for personnel reviewing audit reports and making certification decisions. 96.1 General . 96.2 RTS terminology, principles, processes

12、 and concepts, including the Safe System approach . 96.3 Organizational context . 96.4 Applicable laws, regulations and other requirements 96.5 Risks and opportunities related to RTS . 96.6 RTS performance factors 96.7 Performance evaluation 97 Competence requirements for other certification personn

13、el 107.1 General 107.2 RTS terminology, principles, processes and concepts, including the Safe System approach 107.3 Organizational context 107.4 RTS performance factors . 10Annex A (informative) Knowledge for RTS management systems auditing and certification .11Bibliography .12 ISO/IEC 2014 All rig

14、hts reserved iiiPD ISO/IEC TS 17021-7:2014ISO/IEC TS 17021-7:2014(E)ForewordISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide standardization. National bodies that are members of ISO or IEC parti

15、cipate 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 in fields of mutual interest. Other international organizations, governmenta

16、l 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 Standards and Guides.International Standards are drafted in accordance with t

17、he 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 bodies casting a vote.In other circumstances, particularly when there is an urg

18、ent 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 in an ISO working group and is accepted for publication if it is approved by mor

19、e 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 it is approved by 2/3 of the members of the committee casting a vote.An ISO/PAS o

20、r 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 reviewed again after a further three years, at which time it must either be transf

21、ormed 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 identifying any or all such patent rights.ISO/IEC/TS 17021-7 was prepared by the ISO Commit

22、tee 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 2: Competence requirements for auditing and certification of environmental managemen

23、t 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 event sustainability management systems Technical Specification Part 5: Competence

24、requirements for auditing and certification of asset management systems Technical Specification Part 6: Competence requirements for auditing and certification of business continuity management systems Technical Specification Part 7: Competence requirements for auditing and certification of road traf

25、fic safety management systems Technical SpecificationThe 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 reservedPD ISO/IEC TS 17021-7:2014ISO/IEC TS 17021-7:2014(E)IntroductionISO 39001 provides a tool to help organizat

26、ions 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 demonstrating that a systematic approach to road traffic safety (RTS) management has been taken.RT

27、S 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 Specification.This Technical Specification complements ISO/IEC 17021:2011. In particular, it clari

28、fies 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 the requirements in this Technical Specification.Certification bodies have a responsibility to

29、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 that have demonstrated relevant competence.In this Technical Specification, the following verb

30、al 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/IEC Directives, Part 2.For the purposes of research, users are encouraged to share their views

31、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 vPD ISO/IEC TS 17021-7:2014Conformity assessment Requirements for bodies providing audit and certification of manage

32、ment systems Part 7: Competence requirements for auditing and certification of road traffic safety management systems1 ScopeThis Technical Specification complements the existing requirements of ISO/IEC 17021:2011. It includes specific competence requirements for personnel involved in the certificati

33、on process for road traffic safety (RTS) management systems.2 Normative referencesThe following documents, in whole or in part, are normatively referenced in this document and are indispensable for its application. For dated references, only the edition cited applies. For undated references, the lat

34、est edition of the referenced document (including any amendments) applies.ISO/IEC 17000, Conformity assessment Vocabulary and general principlesISO/IEC 17021:2011, Conformity assessment Requirements for bodies providing audit and certification of management systemsISO 39001, Road traffic safety (RTS

35、) management systems - Requirements with guidance for use3 Terms and definitionsFor the purposes of this document, the terms and definitions given in ISO 39001, ISO/IEC 17000 and ISO/IEC 17021:2011 apply.4 Competence requirementsThe certification body shall use Clauses 5, 6 and 7, and ISO/IEC 17021:

36、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 involved in specific certification functions.NOTE 2 Information on the principles of auditing is provided in ISO 19011.NO

37、TE 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.TECHNICAL SPECIFICATION ISO/IEC TS 17021-7:2014(E) ISO/IEC 2014 All rights reserved 1PD ISO/IEC TS 17021-7:2014ISO/IEC TS 1

38、7021-7:2014(E)5 Competence requirements for RTS auditors5.1 GeneralPersonnel involved in RTS auditing shall have a level of competence that includes the generic competencies described 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 audit

39、or 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 Terminology, principles, processes and concepts, including the Safe System approachPersonnel involved in RTS auditing shall have knowl

40、edge of terminology, principles, processes and concepts of RTS and RTS management, as outlined in ISO 39001, including its annexes.5.3 Organizational contextPersonnel involved in RTS auditing shall have knowledge of the context in which organizations operate and the potential impact of their activit

41、ies on RTS.5.4 Applicable laws, regulations and other requirementsPersonnel involved in RTS auditing shall have knowledge to determine whether an organization has identified and evaluated its compliance with applicable legal requirements and other requirements.NOTE 1 Statutory and regulatory require

42、ments can be expressed as legal requirements.NOTE 2 Other requirements can include voluntary national, international and sector-specific protocols.5.5 Risks and opportunities related to RTSPersonnel involved in RTS auditing shall have knowledge of methods and practices for identifying and addressing

43、 RTS risks and opportunities.5.6 RTS performance factorsPersonnel involved in RTS auditing shall have knowledge of RTS performance factors and their applicability in different organizational contexts.NOTE RTS performance factors include those specified in ISO 39001 and any additional RTS performance

44、 factors that are identified as appropriate.5.7 RTS objectives and targetsPersonnel involved in RTS auditing shall have knowledge of processes for setting RTS objectives and targets and of the means of achieving them.5.8 Leadership and coordinationPersonnel involved in RTS auditing shall have knowle

45、dge of the impact of leadership and coordination functions on RTS results.5.9 Emergency preparedness and responsePersonnel involved in RTS auditing shall have knowledge to determine whether an organization has prepared emergency response arrangements to road traffic incidents and tested them whereve

46、r feasible.2 ISO/IEC 2014 All rights reservedPD ISO/IEC TS 17021-7:2014ISO/IEC TS 17021-7:2014(E)5.10 Performance evaluationPersonnel involved in RTS auditing shall have knowledge of methods and practices for monitoring, measuring, analysing and evaluating RTS performance and the effectiveness of th

47、e RTS management system.5.11 Road traffic crash and other road traffic incident investigationPersonnel involved in RTS auditing shall have knowledge to determine whether the organization has applied methods and practices for road traffic crash investigation and other road traffic incident investigat

48、ion, to identify the need for RTS corrective action.6 Competence requirements for personnel reviewing audit reports and making certification decisions6.1 GeneralPersonnel reviewing audit reports and making certification decisions shall have competence that includes the generic competence described i

49、n 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 combined competence of its individual members.6.2 RTS terminology, principles, processes and concepts, including the Safe System approachPersonnel reviewing audit reports and making certification decisions shall h