1、BSI Standards Publication PD ISO/IEC TS 17021-5:2014 Conformity assessment Requirements for bodies providing audit and certification of management systems Part 5: Competence requirements for auditing and certification of asset management systemsPD ISO/IEC TS 17021-5:2014 PUBLISHED DOCUMENT National
2、foreword This Published Document is the UK implementation of ISO/IEC TS 17021-5:2014. The UK participation in its preparation was entrusted to Technical Committee CAS/1, Conformity assessment. A list of organizations represented on this committee can be obtained on request to its secretary. This pub
3、lication 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 84003 6 ICS 03.120.20 Compliance with a British Standard cannot confer im
4、munity from legal obligations. This Published Document was published under the authority of the Standards Policy and Strategy Committee on 30 April 2014. Amendments issued since publication Date Text affectedPD ISO/IEC TS 17021-5:2014 Conformity assessment Requirements for bodies providing audit and
5、 certification of management systems Part 5: Competence requirements for auditing and certification of asset management systems valuation de la conformit Exigences pour les organismes procdant laudit et la certification des systmes de management Partie 5: Exigences de comptence pour laudit et la cer
6、tification des systmes de gestion dactifs ISO 2014 TECHNICAL SPECIFICATION ISO/IEC TS 17021-5 First edition 2014-04-01 Reference number ISO/IEC TS 17021-5:2014(E)PD ISO/IEC TS 17021-5:2014ISO/IEC TS 17021-5:2014(E)ii ISO 2014 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO 2014 All rights reser
7、ved. 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, without prior written permission. Permission can be requested from either ISO
8、 at the address below or ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in SwitzerlandPD ISO/IEC TS 17021-5:2014ISO/IEC TS 17021-5:2014(E) ISO 2014
9、 All rights reserved iii Contents Page Foreword iv Introduction v 1 Scope . 1 2 Normative references 1 3 Terms and definitions . 1 4 Generic competence requirements . 1 5 Competence requirements for the asset management system audit team and those reviewing the audit report and making the certificat
10、ion decision 2 5.1 Asset management terminology, definitions and principles . 2 5.2 Asset management practices, activities and methodologies . 2 5.3 Asset management system standards and normative documents . 2 5.4 Business management practices . 2 5.5 Client business sector . 3 5.6 Client products
11、and services, processes and organization . 3 6 Competence requirements for other personnel 3 Bibliography 4PD ISO/IEC TS 17021-5:2014ISO/IEC TS 17021-5:2014(E) Foreword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specializ
12、ed system for worldwide 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 commit
13、tees collaborate 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 o
14、f International 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 %
15、of the national 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 te
16、chnical experts 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
17、publication if it 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 co
18、nfirmed, it is reviewed 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 responsib
19、le for identifying any or all such patent rights. ISO/IEC/TS 17021-5 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 managemen
20、t systems: Part 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
21、certification of event sustainability management systems Technical Specification Part 5: Competence requirements for auditing and certification of asset management systems T echnical Specification The next revision of ISO/IEC 17021:2011 will reflect the different parts and will become ISO/IEC 17021-
22、 1.iv ISO 2014 All rights reservedPD ISO/IEC TS 17021-5:2014ISO/IEC TS 17021-5:2014(E) Introduction 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
23、: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 interested parties, including their clients and the customers of the organizations whose management systems are ce
24、rtified, to ensure that only those auditors who demonstrate relevant competence are allowed to conduct asset management system audits. It is intended that all asset management system auditors possess the generic competencies described in ISO/IEC 17021:2011, as well as the specific asset management s
25、ystem competencies described in this Technical Specification. Certification bodies will need to identify the specific audit team competence needed for the scope of each asset management system audit. The selection of an asset management system audit team will depend upon various factors, including t
26、he clients products, services and asset types. Complex multi-site audits or audits of larger organizations will require sufficient competent resources to ensure consistency, and enable moderation, of audit results. The competence requirements for those reviewing the audit report and making the certi
27、fication decision and other personnel involved in certification activities are also described. 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
28、capability. Further details can be found in the ISO/IEC Directives, Part 2. ISO 2014 All rights reserved vPD ISO/IEC TS 17021-5:2014PD ISO/IEC TS 17021-5:2014Conformity assessment Requirements for bodies providing audit and certification of management systems Part 5: Competence requirements for audi
29、ting and certification of asset management systems 1 Scope This Technical Specification complements the existing requirements of ISO/IEC 17021:2011. It specifies additional competence requirements for personnel involved in the certification process for asset management systems. 2 Normative reference
30、s The 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 latest edition of the referenced document (including any amendments) applies. ISO/I
31、EC 17000, Conformity assessment Vocabulary and general principles ISO/IEC 17021:2011, Conformity assessment Requirements for bodies providing audit and certification of management systems ISO 55000, Asset management Overview, principles and terminology ISO 55001, Asset management Management systems
32、Requirements ISO 55002, Asset management Management systems Guidelines for the application of ISO 55001 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO 55000, ISO/IEC 17000 and ISO/IEC 17021:2011 apply. 4 Generic competence requirements Personnel inv
33、olved in asset management certification activities shall have the generic competencies described in ISO/IEC 17021:2011 and the asset management knowledge described in Clauses 5 and 6. NOTE 1 It is not necessary for each auditor in the audit team to have the same competence, however, the collective c
34、ompetence of the audit team needs to be sufficient to achieve the audit objectives. NOTE 2 Knowledge concepts (i.e. concepts pertaining to the required knowledge for the principles of asset management) are given in ISO 55000. Concepts pertaining to the required knowledge for the asset management sys
35、tem requirements are given in ISO 55001. Concepts pertaining to the required knowledge for the application of ISO 55001 are given in ISO 55002. TECHNICAL SPECIFICATION ISO/IEC TS 17021-5:2014(E) ISO 2014 All rights reserved 1PD ISO/IEC TS 17021-5:2014ISO/IEC TS 17021-5:2014(E) 5 Competence requireme
36、nts for the asset management system audit team and those reviewing the audit report and making the certification decision 5.1 Asset management terminology, definitions and principles The audit team and those reviewing the audit report and making the certification decision shall have knowledge and un
37、derstanding of: terms, definitions and asset management principles as contained in ISO 55000 and their application; the interaction between financial and non-financial (including technical) decision making; application of financial management principles relevant to asset management. 5.2 Asset manage
38、ment practices, activities and methodologies The audit team and those reviewing the audit report and making the certification decision shall have knowledge and understanding of relevant asset management practices, activities and methodologies, and their application. NOTE Asset management practices,
39、activities and methodologies usually involve a balance between technical, non-financial and financial aspects and can include the following: a) asset registration practices; b) decision-making and prioritization processes; c) asset management-related tools and methods; d) life cycle costing (LCC) ap
40、proach; e) risk management approaches; f) capital, operational and maintenance planning and implementation; g) statistical sampling techniques. 5.3 Asset management system standards and normative documents The audit team and those reviewing the audit report and making the certification decision shal
41、l have knowledge and understanding of: a) relevant asset management system standards (ISO 55000, ISO 55001) and other normative documents used in the certification process and different audit situations; b) the application of relevant asset management system standards, including ISO 55002; c) the in
42、teraction between the elements of the asset management system standards and other relevant documents. 5.4 Business management practices The audit team and those reviewing the audit report and making the certification decision shall have knowledge and understanding, as appropriate, of: a) approaches
43、to determine asset value to the organization; b) outsourcing 1) . 1) ISO 37500, currently under development, will provide additional information.2 ISO 2014 All rights reservedPD ISO/IEC TS 17021-5:2014ISO/IEC TS 17021-5:2014(E) 5.5 Client business sector The audit team and those reviewing the audit
44、report and making the certification decision shall have knowledge, understanding and application, as appropriate, of terminology, processes, technology and asset types specific to the client sector. 5.6 Client products and services, processes and organization The audit team and those reviewing the a
45、udit report and making the certification decision shall have knowledge, and understanding, where applicable, of the clients: a) legal, regulatory and statutory requirements; b) key contractual or other stakeholder requirements; c) asset management activities and their relationship with other organis
46、ational activities; d) performance monitoring and measurement. NOTE Specific knowledge of the above requirements is expected to be obtained during stage 1 of the audit. 6 Competence requirements for other personnel Other personnel shall have knowledge and understanding of products, services and asse
47、t types specific to the client sector. NOTE Other personnel are those conducting the application review to determine the required audit team competence, to select the audit team members, and to determine the audit time. ISO 2014 All rights reserved 3PD ISO/IEC TS 17021-5:2014ISO/IEC TS 17021-5:2014(
48、E) Bibliography 1 ISO 31000, Risk management Principles and guidelines 2 ISO 37500, Guidance on outsourcing 2) 2) Under development.4 ISO 2014 All rights reservedPD ISO/IEC TS 17021-5:2014PD ISO/IEC TS 17021-5:2014ISO/IEC TS 17021-5:2014(E) ISO 2014 All rights reserved ICS 03.120.20 Price based on 4
49、 pagesThis page deliberately left blankBSI is the national body responsible for preparing British Standards and other standards-related publications, information and services. BSI is incorporated by Royal Charter. British Standards and other standardization products are published by BSI Standards Limited. British Standards Institution (BSI) BSI Group Headquarters 389 Chiswick High Road London W4 4AL UK About us We bring together business, industry, government, consumer
