BS PD ISO IEC TS 17021-9-2016 Conformity assessment Requirements for bodies providing audit and certification of management systems Competence requirements for auditing and certifi.pdf
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1、Conformity assessment Requirements for bodies providing audit and certification of management systems Part 9: Competence requirements for auditing and certification of anti-bribery management systems PD ISO/IEC TS 17021-9:2016 BSI Standards Publication WB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2
2、013 15:06National foreword This Published Document is the UK implementation of ISO/IEC TS 17021-9:2016. 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 s
3、ecretary. 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 2016. Published by BSI Standards Limited 2016 ISBN 978 0 580 96334 6 ICS 03.100.01; 03.120.20 Compliance with a Brit
4、ish 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 2016. Amendments/corrigenda issued since publication Date Text affected PUBLISHED DOCUMENT PD ISO/IEC TS 17021-9:2016Con
5、formity assessment Requirements for bodies providing audit and certification of management systems Part 9: Competence requirements for auditing and certification of anti- bribery management systems valuation de la conformit Exigences pour les organismes procdant laudit et la certification des systme
6、s de management Partie 9: Exigences de comptence pour laudit et la certification des systmes de management anti-corruption TECHNICAL SPECIFICATION ISO/IEC TS 17021-9 First edition 2016-10-15 Reference number ISO/IEC TS 17021-9:2016(E) ISO/IEC 2016 PD ISO/IEC TS 17021-9:2016 ii ISO/IEC 2016 All right
7、s reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2016, Published in Switzerland 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 the interne
8、t or an intranet, without 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 office Ch. de Blandonnet 8 CP 401 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 11 Fax +41 22 749 09 47 co
9、pyrightiso.org www.iso.org ISO/IEC TS 17021-9:2016(E) PD ISO/IEC TS 17021-9:2016 ISO/IEC TS 17021-9:2016(E)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 ABMS audit teams . 2 5.1 General
10、. 2 5.2 Bribery concepts . 2 5.3 Context of the organization 2 5.4 Laws, regulations and other requirements 3 5.5 Bribery risk assessment and due diligence 3 5.6 Bribery risks 3 5.7 Anti-bribery controls . 3 5.8 Anti-bribery management systems (ABMS) 3 6 Competence requirements for personnel conduct
11、ing the application review, those reviewing audit reports and those making certification decisions (other personnel) 3 6.1 General . 3 6.2 Bribery concepts . 3 6.3 Context of the organization 3 Annex A (informative) Knowledge for ABMS auditing and certification . 4 Bibliography 5 ISO/IEC 2016 All ri
12、ghts reserved iii Contents Page PD ISO/IEC TS 17021-9:2016 ISO/IEC TS 17021-9:2016(E) Foreword ISO (the International Organization for Standardization) and IEC (the International Electrotechnical Commission) form the specialized system for worldwide standardization. National bodies that are members
13、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 in fields of mutual interest. Other international organiz
14、ations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the work. In the field of conformity assessment, ISO and IEC develop joint ISO/IEC documents under the management of the ISO Committee on Conformity assessment (ISO/CASCO). The procedures used to develop this d
15、ocument and those intended for its further maintenance are described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for the different types of document should be noted. This document was drafted in accordance with the editorial rules of the ISO/IEC Directives
16、, Part 2 (see www.iso.org/directives). Attention is drawn to the possibility that some of the elements of this document may be the subject of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent rights. Details of any patent rights identified during the dev
17、elopment of the document will be in the Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents). Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement. For an explanation on the meaning of I
18、SO specific terms and expressions related to conformit y assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following URL: www.iso.org/iso/foreword.html. ISO/IEC/TS 17021-9 was prepared by Project
19、Committee ISO/TC 278, Anti-bribery management systems, and the ISO Committee on conformity assessment (CASCO). It was circulated for voting to the national bodies of both ISO and IEC, and was approved by both organizations. A list of all parts in the ISO/IEC 17021 series can be found on the ISO webs
20、ite.iv ISO/IEC 2016 All rights reserved PD ISO/IEC TS 17021-9:2016 ISO/IEC TS 17021-9:2016(E) Introduction This document complements ISO/IEC 17021-1. In particular, it clarifies the requirements for the competence of personnel involved in the certification process set out in ISO/IEC 17021-1:2015, An
21、nex A. The guiding principles in ISO/IEC 17021-1:2015, Clause 4, are the basis for the requirements in this document. Certification bodies have a responsibility to interested parties, including their clients and the customers of the organizations whose management systems are certified, to ensure tha
22、t only those auditors who demonstrate relevant competence are allowed to conduct anti-bribery management system (ABMS) audits. It is intended that all ABMS auditors possess the generic competencies described in ISO/IEC 17021-1, as well as the specific ABMS competencies described in this document. Ce
23、rtification bodies will need to identify the specific audit team competence needed for the scope of each ABMS audit. In this document, the following verbal forms are used: “shall” indicates a requirement; “should” indicates a recommendation; “may” indicates a permission; “can” indicates a possibilit
24、y 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 on this document and their priorities for changes to future editions. Click on the link below to take part in the online survey: https:/ / ISO/IEC
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