CEN CLC EN ISO IEC TS 17021-3-2016 Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 3 Competence requirements for audi.pdf

1、Conformity assessment Requirements forbodies providing audit andcertification of managementsystems Part 3: Competence requirements forauditing and certification of qualitymanagement systemsPD CEN/CLC ISO/IEC/TS 17021-3:2016(ISO/IEC/TS 17021-3:2013)BSI Standards PublicationPD CEN/CLC ISO/IEC/TS 17021

2、-3:2016 PUBLISHED DOCUMENTNational forewordThis Published Document is the UK implementation of CEN/CLC ISO/IEC/TS 17021-3:2016. It is identical to ISO/IEC TS 17021-3:2013. It supersedes PD ISO/IEC TS 17021-3:2013, which is withdrawn.The UK participation in its preparation was entrusted to Technical

3、Committee CAS/1, Conformity assessment.A list of organizations represented on this committee 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 I

4、nstitution 2016. Published by BSI Standards Limited 2016ISBN 978 0 580 94579 3ICS 03.120.20Compliance 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 31 May 2013.Amendmen

5、ts/corrigenda issued since publicationDate Text affected0DUPCFS2016 This corrigendum renumbers PD ISO/IEC TS 17021-3:2013 as PD CEN/CLC ISO/IEC/TS 17021-3:2016TECHNICAL SPECIFICATION SPCIFICATION TECHNIQUE TECHNISCHE SPEZIFIKATION CEN/CLC ISO/IEC/TS 17021-3 August 2016 ICS 03.120.20 English version

6、Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 3: Competence requirements for auditing and certification of quality management systems (ISO/IEC/TS 17021-3:2013) valuation de la conformit - Exigences pour les organismes procdant laudit e

7、t la certification des systmes de management - Partie 3: Exigences de comptence pour laudit et la certification des systmes de management de la qualit (ISO/IEC/TS 17021-3:2013) Konformittsbewertung - Anforderungen an Stellen, die Managementsysteme auditieren und zertifizieren - Teil 3: Anforderungen

8、 an die Kompetenz fr die Auditierung und Zertifizierung von Qualittsmanagementsystemen (ISO/IEC/TS 17021-3:2013) This Technical Specification (TS) was approved by CEN on 24 July 2016 for provisional application. The period of validity of this TS is limited initially to three years. After two years t

9、he members of CEN and CENELEC will be requested to submit their comments, particularly on the question whether the TS can be converted into a European Standard. CEN and CENELEC members are required to announce the existence of this TS in the same way as for an EN and to make the TS available promptl

10、y at national level in an appropriate form. It is permissible to keep conflicting national standards in force (in parallel to the TS) until the final decision about the possible conversion of the TS into an EN is reached. CEN and CENELEC members are the national standards bodies and national electro

11、technical committees of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slov

12、akia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom. CEN-CENELEC Management Centre: Avenue Marnix 17, B-1000 Brussels 2016 CEN/CENELEC All rights of exploitation in any form and by any means reserved worldwide for CEN national Members and for CENELEC Members. Ref. No. CEN/CLC ISO/I

13、EC/TS 17021-3:2016 E European foreword The text of ISO/IEC/TS 17021-3:2013 has been prepared by Technical Committee ISO/CASCO “Committee on conformity assessment” of the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC) and has been taken ov

14、er as CEN/CLC ISO/IEC/TS 17021-3:2016 by Technical Committee CEN-CENELEC/TC 1 “Criteria for conformity assessment bodies” the secretariat of which is held by BSI. Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. CEN and/or CENELEC

15、shall not be held responsible for identifying any or all such patent rights. According to the CEN-CENELEC Internal Regulations, the national standards organizations of the following countries are bound to announce this Technical Specification: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Repub

16、lic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. Endor

17、sement notice The text of ISO/IEC/TS 17021-3:2013 has been approved by CEN as CEN/CLC ISO/IEC/TS 17021-3:2016 without any modification. PD CEN/CLC ISO/IEC/TS 17021-3:2016g6g8g17g512g6g15g6g3g12g22g18g512g12g8g6g512g23g22g3g883g889g882g884g883g487g885g483g884g882g883g888g3g525g8g526PD ISO/IEC TS 1702

18、1-3:2013ISO/IEC TS 17021-3:2013(E) ISO 2013 All rights reserved iiiContents PageForeword ivIntroduction v1 Scope . 12 Normative references 1g885g3 g23g135g148g143g149g3g131g144g134g3g134g135g976g139g144g139g150g139g145g144g149 . 14 Generic competence requirements . 15 Competence requirements for QMS

19、 auditors . 2g887g484g883g3 g10g135g144g135g148g131g142 . 2g887g484g884g3 g20g151g131g142g139g150g155g3g143g131g144g131g137g135g143g135g144g150g3g150g135g148g143g139g144g145g142g145g137g155g481g3g146g148g139g144g133g139g146g142g135g149g481g3g146g148g131g133g150g139g133g135g149g3g131g144g134g3g150g13

20、5g133g138g144g139g147g151g135g149 2g887g484g885g3 g20g151g131g142g139g150g155g3g143g131g144g131g137g135g143g135g144g150g3g149g155g149g150g135g143g3g149g150g131g144g134g131g148g134g149g3g131g144g134g3g144g145g148g143g131g150g139g152g135g3g134g145g133g151g143g135g144g150g149 25.4 Business management p

21、ractices . 35.5 Client business sector . 3g887g484g888g3 g6g142g139g135g144g150g3g146g148g145g134g151g133g150g149g481g3g146g148g145g133g135g149g149g135g149g3g131g144g134g3g145g148g137g131g144g139g156g131g150g139g145g144 3g888g3 g6g145g143g146g135g150g135g144g133g135g3g148g135g147g151g139g148g135g143

22、g135g144g150g149g3g136g145g148g3g145g150g138g135g148g3g146g135g148g149g145g144g144g135g142 3g888g484g883g3 g10g135g144g135g148g131g142 . 36.2 Competence of personnel conducting the application review to determine the audit team g133g145g143g146g135g150g135g144g133g135g3g148g135g147g151g139g148g135g1

23、34g481g3g150g145g3g149g135g142g135g133g150g3g150g138g135g3g131g151g134g139g150g3g150g135g131g143g3g143g135g143g132g135g148g149g3g131g144g134g3g150g145g3g134g135g150g135g148g143g139g144g135g3g150g138g135g3g131g151g134g139t time 4g888g484g885g3 g6g145g143g146g135g150g135g144g133g135g3g145g136g3g146g13

24、5g148g149g145g144g144g135g142g3g148g135g152g139g135g153g139g144g137g3g131g151g134g139g150g3g148g135g146g145g148g150g149g3g131g144g134g3g143g131g141g139g144g137g3g133g135g148g150g139g976g139g133g131g150g139g145n decisions. 4Annex A (informative)g3g14g144g145g153g142g135g134g137g135g3g136g145g148g3g20

25、g16g22g3g131g151g134g139g150g139g144g137g3g131g144g134g3g133g135g148g150g139g976g139g133g131g150g139g145g144 5g5g139g132g142g139g145g137g148g131g146g138g155 6PD CEN/CLC ISO/IEC/TS 17021-3:2016g12g22g18g512g12g8g6g3g23g22g3g883g889g882g884g883g487g885g483g884g882g883g885g525g8g526PD ISO/IEC TS 17021-

26、3:2013ISO/IEC TS 17021-3:2013(E)Forewordg12g22g18g3 g523g150g138g135g3 g12g144g150g135g148g144g131g150g139g145g144g131g142g3 g18g148g137g131g144g139g156g131g150g139g145g144g3 g136g145g148g3 g22g150g131g144g134g131g148g134g139g156g131g150g139g145g144g524g3 g131g144g134g3 g12g8g6g3 g523g150g138g135g3

27、g12g144g150g135g148g144g131g150g139g145g144g131g142g3 g8g142g135g133g150g148g145g150g135g133g138g144g139g133g131g142g3g6g145g143g143g139g149g149g139g145g144g524g3 g136g145g148g143g3 g150g138g135g3 g149g146g135g133g139g131g142g139g156g135g134g3 g149g155g149g150g135g143g3 g136g145g148g3 g153g145g148g1

28、42g134g153g139g134g135g3 g149g150g131g144g134g131g148g134g139g156g131g150g139g145g144g484g3 g17g131g150g139g145g144g131g142g3 g132g145g134g139g135g149g3 g150g138g131g150g3 g131g148g135g3members of ISO or IEC participate in the development of International Standards through technical g133g145g143g143

29、g139g150g150g135g135g149g3 g135g149g150g131g132g142g139g149g138g135g134g3 g132g155g3 g150g138g135g3 g148g135g149g146g135g133g150g139g152g135g3 g145g148g137g131g144g139g156g131g150g139g145g144g3 g150g145g3 g134g135g131g142g3 g153g139g150g138g3 g146g131g148g150g139g133g151g142g131g148g3 g976g139g135g1

30、42g134g149g3 g145g136g3 g150g135g133g138g144g139g133g131g142g3g131g133g150g139g152g139g150g155g484g3g12g22g18g3g131g144g134g3g12g8g6g3g150g135g133g138g144g139g133g131g142g3g133g145g143g143g139g150g150g135g135g149g3g133g145g142g142g131g132g145g148g131g150g135g3g139g144g3g976g139g135g142g134g149g3g145

31、g136g3g143g151g150g151g131g142g3g139g144g150g135g148g135g149g150g484g3g18g150g138g135g148g3g139g144g150g135g148g144g131g150g139g145g144g131g142g3g145g148g137g131g144g139g156g131g150g139g145g144g149g481g3g137g145g152g135g148g144g143g135g144g150g131g142g3g131g144g134g3g144g145g144g486g137g145g152g135g

32、148g144g143g135g144g150g131g142g481g3g139g144g3g142g139g131g139g149g145g144g3g153g139g150g138g3g12g22g18g3g131g144g134g3g12g8g6g481g3g131g142g149g145g3g150g131g141g135g3g146g131g148g150g3g139g144g3g150g138g135g3g153g145g148g141g484g3g12g144g3g150g138g135g3g976g139g135g142g134g3g145g136g3g133g145g144

33、g136g145g148g143g139g150g155g3g131g149g149g135g149g149g143g135g144g150g481g3g150g138g135g3g12g22g18g3g6g145g143g143g139g150g150g135g135g3g145g144g3g133g145g144g136g145g148g143g139g150g155g3g131g149g149g135g149g149g143g135g144g150g3g523g6g4g22g6g18g524g3g139g149g3g148g135g149g146g145g144g149g139g132g

34、142g135g3g136g145g148g3g150g138g135g3g134g135g152g135g142g145g146g143g135g144g150g3g145g136g3g12g144g150g135g148g144g131g150g139g145g144g131g142g3g22g150g131g144g134g131g148g134g149g3g131g144g134g3g10g151g139g134g135g149g484g12g144g150g135g148g144g131g150g139g145g144g131g142g3g22g150g131g144g134g131

35、g148g134g149g3g131g148g135g3g134g148g131g136g150g135g134g3g139g144g3g131g133g133g145g148g134g131g144g133g135g3g153g139g150g138g3g150g138g135g3g148g151g142g135g149g3g137g139g152g135g144g3g139g144g3g150g138g135g3g12g22g18g512g12g8g6g3g7g139g148g135g133g150g139g152g135g149g481g3g19g131g148g150g3g884g48

36、4g7g148g131g136g150g3g12g144g150g135g148g144g131g150g139g145g144g131g142g3g22g150g131g144g134g131g148g134g149g3g131g134g145g146g150g135g134g3g132g155g3g150g138g135g3g150g135g133g138g144g139g133g131g142g3g133g145g143g143g139g150g150g135g135g149g3g131g148g135g3g133g139g148g133g151g142g131g150g135g134g

37、3g150g145g3g150g138g135g3g143g135g143g132g135g148g3g132g145g134g139g135g149g3g136g145g148g3g152g145g150g139g144g137g484g3g19g151g132g142g139g133g131g150g139g145g144g3g131g149g3g131g144g3g12g144g150g135g148g144g131g150g139g145g144g131g142g3g22g150g131g144g134g131g148g134g3g148g135g147g151g139g148g135

38、g149g3g131g146g146g148g145g152g131g142g3g132g155g3g131g150g3g142g135g131g149g150g3g889g887g3g936g3g145g136g3g150g138g135g3g143g135g143g132g135g148g3bodies casting a vote.g12g144g3g145g150g138g135g148g3g133g139g148g133g151g143g149g150g131g144g133g135g149g481g3g146g131g148g150g139g133g151g142g131g148g

39、142g155g3g153g138g135g144g3g150g138g135g148g135g3g139g149g3g131g144g3g151g148g137g135g144g150g3g143g131g148g141g135g150g3g148g135g147g151g139g148g135g143g135g144g150g3g136g145g148g3g149g151g133g138g3g134g145g133g151g143g135g144g150g149g481g3g131g3g150g135g133g138g144g139g133g131g142g3g133g145g143g14

40、3g139g150g150g135g135g3g143g131g155g3g134g135g133g139g134g135g3g150g145g3g146g151g132g142g139g149g138g3g145g150g138g135g148g3g150g155g146g135g149g3g145g136g3g134g145g133g151g143g135g144g150g483g516g3 g131g144g3g12g22g18g512g12g8g6g3g19g151g132g142g139g133g142g155g3g4g152g131g139g142g131g132g142g135g

41、3g22g146g135g133g139g976g139g133g131g150g139g145g144g3g523g12g22g18g512g12g8g6g3g19g4g22g524g3g148g135g146g148g135g149g135g144g150g149g3g131g144g3g131g137g148g135g135g143g135g144g150g3g132g135g150g153g135g135g144g3g150g135g133g138g144g139g133g131g142g3g135g154g146g135g148g150g149g3g139g144g3g131g144

42、g3g12g22g18g3g153g145g148g141g139g144g137g3g137g148g145g151g146g3g131g144g134g3g139g149g3g131g133g133g135g146g150g135g134g3g136g145g148g3g146g151g132g142g139g133g131g150g139g145g144g3g139g136g3g139g150g3g139g149g3g131g146g146g148g145g152g135g134g3g132g155g3g143g145g148g135g3g150g138g131g144g3g887g88

43、2g3g936g3g145g136g3g150g138g135g3g143g135g143g132g135g148g149g3g145g136g3g150g138g135g3g146g131g148g135g144g150g3g133g145g143g143g139g150g150g135g135g3g133g131g149g150g139g144g137g3g131g3g152g145g150g135g482g516g3 g131g144g3g12g22g18g512g12g8g6g3g23g135g133g138g144g139g133g131g142g3g22g146g135g133g1

44、39g976g139g133g131g150g139g145g144g3g523g12g22g18g512g12g8g6g3g23g22g524g3g148g135g146g148g135g149g135g144g150g149g3g131g144g3g131g137g148g135g135g143g135g144g150g3g132g135g150g153g135g135g144g3g150g138g135g3g143g135g143g132g135g148g149g3g145g136g3g131g3g150g135g133g138g144g139g133g131g142g3g133g145

45、g143g143g139g150g150g135g135g3g131g144g134g3g139g149g3g131g133g133g135g146g150g135g134g3g136g145g148g3g146g151g132g142g139g133g131g150g139g145g144g3g139g136g3g139g150g3g139g149g3g131g146g146g148g145g152g135g134g3g132g155g3g884g512g885g3g145g136g3g150g138g135g3g143g135g143g132g135g148g149g3g145g136g3

46、g150g138g135g3committee casting a vote.g4g144g3g12g22g18g512g19g4g22g3g145g148g3g12g22g18g512g23g22g3g139g149g3g148g135g152g139g135g153g135g134g3g131g136g150g135g148g3g150g138g148g135g135g3g155g135g131g148g149g3g139g144g3g145g148g134g135g148g3g150g145g3g134g135g133g139g134g135g3g153g138g135g150g138g

47、135g148g3g139g150g3g153g139g142g142g3g132g135g3g133g145g144g976g139g148g143g135g134g3g136g145g148g3g131g3g136g151g148g150g138g135g148g3g150g138g148g135g135g3g155g135g131g148g149g481g3g148g135g152g139g149g135g134g3g150g145g3g132g135g133g145g143g135g3g131g144g3g12g144g150g135g148g144g131g150g139g145g1

48、44g131g142g3g22g150g131g144g134g131g148g134g481g3g145g148g3g153g139g150g138g134g148g131g153g144g484g3g12g136g3g150g138g135g3g12g22g18g512g19g4g22g3g145g148g3g12g22g18g512g23g22g3g139g149g3g133g145g144g976g139g148g143g135g134g481g3g139g150g3g139g149g3g148g135g152g139g135g153g135g134g3g131g137g131g139

49、g144g3g131g136g150g135g148g3g131g3g136g151g148g150g138g135g148g3g150g138g148g135g135g3g155g135g131g148g149g481g3g131g150g3g153g138g139g133g138g3g150g139g143g135g3g139g150g3g143g151g149g150g3g135g139g150g138g135g148g3g132g135g3transformed into an International Standard or be withdrawn.g4g150g150g135g144g150g139g145g144g3g139g149g3g134g148g131g153g144g3g150g145g3g150g138g135g3g146g145g149g149g139g132g139g142g139g150g155g3g150g138g131g150g3g149g145g143g135g3g145g136g3g150g138g135g3g135g142g135g143g135g144g150g149g3g145g136g3g150g138g139g149g3g134g145g133g