ISO 17021-Conformity assessment — Requirements for bodies providing audit and certification of management systems — Part 1: Requirements

Question 1

WHAT IS ISO/IEC 17021

Answer 1

17021-CERTIFICATION OF A MANAGEMENT SYSTEM SUCH AS ENVIRONMENTAL MANAGEMENT SYSTEM, QUALITY MANAGEMENT SYSTEM OR INFORMATION SECURITY SYSTEM FOR THE MANAGEMENT OF RELEVANT ASPECTS OF ITS ACTIVITITES, PRODUCTS AND SERVICES, IN LINE WITH THE ORGANIZATION’S POLICY AND THE REQUIREMENTS OF THE RESPECTIVE INTERNATIONAL MANAGEMENT SYSTEM STANDARD.

Question 2

WHAT ARE CERTIFICATION BODIES IN TERMS OF THIS STANDARD

Answer 2

CERTIFICATION BODIES: BODIES PROVIDING AUDIT AND CERTIFICATION OF MANAGEMENT SYSTEMS. PROVIDES GENERIC REQUIREMENTS FOR SUCH BODIES PERFORMING AUDITS AND CERTIFICATION IN THE FIELD OF QUALITY, THE ENVIRONMENT AND OTHER TYPES OF MANAGEMENT SYSTEMS.

Question 3

COMPETENCE, CONSISTENT AND IMPARTIAL MANNER

Answer 3

Observance of these requirements is intended to ensure that certification bodies
operate management system certification in a competent, consistent and impartial manner, thereby
facilitating the recognition of such bodies and the acceptance of their certifications on a national and
international basis.

Question 4

CERTIFICATION OF A MANAGEMENT SYSTEM PROVIDES INDEPENDENT DEMONSTRATION THAT THE MANAGEMENT SYSTEM OF AN ORGANIZATION

Answer 4

1-CONFORMS TO SPECIFICIED REQUIREMENTS
2-IS CAPABLE OF CONSISTENTLY ACHIEVING ITS STATED POLICY AND OBJECTIVES
3-IS EFFECTIVELY IMPLEMENTED

Question 5

IN TERMS OF VERBIAGE “SHALL” INDICATES WHAT

Answer 5

A REQUIREMENT

Question 6

IN TERMS OF VERBIAGE “SHOULD” INDICATES WHAT

Answer 6

A RECOMMENDATION

Question 7

IN TERMS OF VERBIAGE “MAY” INDICATES WHAT?

Answer 7

A PERMISSION

Question 8

IN TERMS OF VERBIAGE “CAN” INDICATES

Answer 8

A POSSIBILITY OR A CAPABILITY

Question 9

PART 1: REQUIREMENTS

Answer 9

SCOPE: CONTAINS PRINCIPLES/REQUIREMENTS FOR THE COMPETENCE, CONSISTENCY AND IMPARTIALITY OF BODIES PROVIDING AUDIT AND CERTIFICATION OF ALL TYPES OF MANAGEMENT SYSTEMS.

NOTES: 1-EXAMPLES OF MANAGEMENT SYSTEMS INCLUDE ENVIRONMENTAL MANAGEMENT SYSTEMS, QUALITY MANAGEMENT SYSTEMS AND INFORMATION SECURITY SYSTEMS
NOTES: 2-CERTIFICATION OF MANAGEMENT SYSTEM IS REFERRED TO AS CERTIFICATION AND THIRD PARTY CONFORMITY ASSESSMENT BODIES ARE REFERRED TO AS CERTIFICATION BODIES.
NOTES: 3-A CERTIFICATION BODY CAN BE NON-GOVERNMENTAL, WITH/WITHOUT REGULATORY AUTHORITY
NOTES: 4-SCOPE/REQUIREMENTS CAN BE USED AS CRITERIA DOCUMENT FOR ACCREDITATION, PEER ASSESSMENT OR OTHER AUDIT PROCESSES.

Question 10

CERTIFIED CLIENT

Answer 10

ORGANIZATION WHOSE MANAGEMENT SYSTEM HAS BEEN CERTIFIED

Question 11

IMPARTIALITY

Answer 11

IMPARTIALITY: PRESENCE OF OBJECTIVITY
○ OBJECTIVITY MEANS THAT CONFLICTS OF INTEREST DO NO EXIST OR ARE RESOLVED SO AS NOT TO ADVERSELY INFLUENCE SUBSEQUENT ACTIVITIES
○ OTHER TERMS THAT ARE USEFUL IN CONVEYING THE ELEMENT OF IMPARTIALITY INCLUDE:
	§ INDEPENDENCE
	§ FREEDOM FROM CONFLICT OF INTEREST
	§ FREEDOM FROM BIAS
	§ LACK OF PREJUDICE
	§ NEUTRALITY
	§ FAIRNESS
	§ OPENMINDEDNESS
	§ EVEN-HANDEDNESS
	§ DETACHMENT
           BALANCE

Question 12

MANAGEMENT SYSTEM CONSULTANCY

Answer 12

PARTICIPATION IN ESTABLISHING, IMPLEMENTING OR MAINTAINING A MANAGEMENT SYSTEM
○ EXAMPLE: PREPARING OR PRODUCING MANUALS OR PROCEDURES
○ EXAMPLE: GIVING SPECIFIC ADVICE, INSTRUCTIONS OR SOLUTIONS TOWARDS THE DEVELOPMENT AND IMPLEMENTATION OF A MANAGEMENT SYSTEM
○ NOTE: ARRANGING TRAINING AND PARTICIPATING AS A TRAINER IS NOT CONSIDERED CONSULTANCY, PROVIDED THAT THE COURSE RELATES TO MS OR AUDITING AND IS GENERIC INFORMATION (TRAINER SHOULD NOT PROVIDE CLIENT-SPECIFIC SOLUTIONS
○ NOTE: GENERIC INFORMATION, BUT NO CLIENT SPECIFIC SOLUTIONS FOR THE IMPROVEMTN OF PROCESSES OR SYSTEMS IS NOT CONSIDERED TO BE CONSULTANCY. SUCH INFORMATION MAY INCLUDE
— explaining the meaning and intention of certification criteria;
— identifying improvement opportunities;
— explaining associated theories, methodologies, techniques or tools;
— sharing non-confidential information on related best practices;
— other management aspects that are not covered by the management system being audited

Question 13

CERTIFICATION AUDIT

Answer 13

AUDIT CARRIED OUTBY AN AUDITING ORGANIZATION INDEPENDENT OF THE CLIENT AND THE PARTIES THAT RELY ON CERTIFICATION FOR THE PURPOSE OF CERIFYING THE CLIENT’S MANAGEMENT SYSTEM:

Question 14

CLIENT:

Answer 14

ORGANIZATION WHOSE MANAGEMENT SYSTEM IS BEING AUDITED FOR CERTIFICATION PURPOSES
AUDITOR: PERSON WHO CONDUCT AN AUDIT

Question 15

COMPETENCE:

Answer 15

ABILITY TO APPLY KNOWLEDGE AND SKILLS TO ACHIEVE INTENDED RESULTS

Question 16

GUIDE

Answer 16

PERSON APPOINTED BY CLIENT TO ASSIT THE AUDIT TEAM

Question 17

OBSERVER

Answer 17

PERSON WHO ACCOMPANIES THE AUDIT TEAM BUT DOES NOT AUDIT OR PARTICIPATE

Question 18

TECHNICAL AREA:

Answer 18

AREA CHARACTERIZED BY COMMONALITIES OF PROCESSES RELEVANT TO A SPECIFIC TYPE OF MANAGEMENT SYSTE AND ITS INDENDED RESULTS

Question 19

NON-CONFORMITY:

Answer 19

NON FULFILMENT OF A REQUIREMENT

Question 20

MAJOR NON-CONFORMITY:

Answer 20

NON-CONFORMITY THAT AFFECTS THE CAPABILITY OF THE MANAGEMENT SYSTEM TO ACHIVE INTENDED RESULT
○ NOTES: NON CONFORMITIES SHOULD BE CLASSIFIED AS MAJOR IN THE FOLLOWING CIRCUMSTANCES
§ IF THERE IS A DIGNIFICANT DOUBT THAT EFFECTIVE PROCESS CONTROL IS IN PLACE, OR THAT PRODUCTS OR SERVICES WILL MEET SPECIFIC REQUIREMENTS
A NUMBER OF MINOR NONCONFORMITIES ASSOCIATED WITH THE SAME REQUIREMENTS OR ISSUES COULD DEMONSTRATE A SYSTEMATIC FAILURE AND THUS CONSTITUTE A MINOR FINDING

Question 21

MINOR NON CONFORMITY:

Answer 21

NONCONFORMITY THAT DOES NOT AFFECT THE CAPABILITY OF THE MANAGEMENT SYSTEM

Question 22

TECHNICAL EXPERT

Answer 22

PERSON WHO PROVIDES SPECIFC KNOWLEDGET OR EXPERTISE TO THE AUDIT TEAM
NOTE: SPECIFIC KNOWLEDGE OR EXPERTISE IS THAT WHICH RELATES TO THE ORGANIZATION, THE PROCESS OR ACTIVITY AUDITED

Question 23

CERTICATION SCHEME:

Answer 23

CONFORMITY ASSESSMENT SYSTEM RELATED TO MANAGEMENT SYSTEMS TO WHICH THE SAME SPECIFIED REQUIREMENTS, SPECIFIC RULES AND PROCEDURE APPLY

Question 24

AUDIT TIME:

Answer 24

TIME NEEDED TO PLAN AND ACCOMPLISH A COMPLETE AND EFFECTIVE AUDIT OF THE CLIENT’S ORGANIZATION’S MANAGEMENT SYSTEM

Question 25

DURATION OF MANAGEMENT SYSTEM CERTIFICATION AUDITS

Answer 25

PART OF THE AUDIT TIME (3.16) SPENT CONDUCTING AUDIT ACTIVITIES FROM THE OPENING MEETING TO THE CLOSING MEETING. INCLUSIVE. AUDIT ACTIVITIES NORMALLY INCLUDE:
§ CONDUCTING THE OPENING MEETING
§ PERFORMING DOCUMENT REVIEW WHILE
CONDUCTING THE AUDT
§ COMMUNICATING DURING THE AUDIT
§ ASSIGNING ROLES AND RESPONSIBILITIES OF
GUIDES AND OBSERVERS
§ COLLECTING AND VERIFYING INFORMATION
§ GENERATING AUDIT FINDINGS
§ PREPARING AUDIT CONCLUSIONS
CONDUCTING CLOSING MEETING