CEN CLC EN ISO IEC TS 17021-2-2016 Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 2 Competence requirements for audi.pdf

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1、Conformity assessment Requirements for bodies providing audit and certification of management systemsPart 2: Competence requirements for auditing and certification of environmental management systemsPD ISO/IEC TS 17021-2:2012PD CEN/CLC ISO/IEC TS 17021-2:2016(ISO/IEC/TS 17021-2:2012)BSI Standards Pu

2、blicationWB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06PD CEN/CLC ISO/IEC TS 17021-2:2016 PUBLISHED DOCUMENTNational forewordThis Published Document is the UK implementation of CEN/CLC ISO/IEC TS 17021-2:2016. It is identical to ISO/IEC TS 17021-2:2012. It supersedes PD ISO/IEC TS 17021-2:

3、2012, which is withdrawn.The UK participation in its preparation was entrusted to Technical Committee CAS/1, Conformity assessment.A list of organizations represented on this committee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 publication does not purport to include all the necessary provisio

4、ns of a contract. Users are responsible for its correct application. The British Standards Institution 2016. Published by BSI Standards Limited 2016ISBN 978 0 580 95718 5ICS 03.120.20Compliance with a British Standard cannot confer immunity from legal obligations.This British Standard was published

5、under the authority of the Standards Policy and Strategy Committee on 31 August 2012.Amendments/corrigenda issued since publicationDate Text affected31 October 2016 This corrigendum renumbers PD ISO/IEC TS 17021-2:2012 as PD CEN/CLC ISO/IEC TS 17021-2:2016TECHNICAL SPECIFICATION SPCIFICATION TECHNIQ

6、UE TECHNISCHE SPEZIFIKATION CEN/CLC ISO/IEC/TS 17021-2 August 2016 ICS 03.120.20 English version Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 2: Competence requirements for auditing and certification of environmental management system

7、s (ISO/IEC/TS 17021-2:2012) valuation de la conformit - Exigences pour les organismes procdant laudit et la certification des systmes de management - Partie 2: Exigences de comptence pour laudit et la certification des systmes de management environnemental (ISO/IEC/TS 17021-2:2012) Konformittsbewert

8、ung - Anforderungen an Stellen, die Managementsysteme auditieren und zertifizieren - Teil 2: Anforderungen an die Kompetenz fr die Auditierung und Zertifizierung von Umweltmanagementsystemen (ISO/IEC/TS 17021-2:2012) This Technical Specification (TS) was approved by CEN on 24 July 2016 for provision

9、al application. The period of validity of this TS is limited initially to three years. After two years the members of CEN and CENELEC will be requested to submit their comments, particularly on the question whether the CEN/TS can be converted into a European Standard. CEN and CENELEC members are req

10、uired to announce the existence of this TS in the same way as for an EN and to make the CEN/TS available promptly 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

11、 of the TS into an EN is reached. CEN and CENELEC members are the national standards bodies and national electrotechnical committees of Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Ice

12、land, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, 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 f

13、orm and by any means reserved worldwide for CEN national Members and for CENELEC Members. Ref. No. CEN/CLC ISO/IEC/TS 17021-2:2016 E CEN/CLC ISO/IEC/TS 17021-2:2016 (E) 3 European foreword The text of ISO/IEC/TS 17021-2:2012 has been prepared by Technical Committee ISO/CASCO “Committee on conformity

14、 assessment” of the International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC) and has been taken over as CEN/CLC ISO/IEC/TS 17021-2:2016 by Technical Committee CEN-CENELEC/TC 1 “Criteria for conformity assessment bodies” the secretariat of which is

15、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 shall not be held responsible for identifying any or all such patent rights. According to the CEN-CENELEC Internal Regulations, the national standards

16、 organizations of the following countries are bound to announce this Technical Specification: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, Former Yugoslav Republic of Macedonia, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, L

17、uxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and the United Kingdom. Endorsement notice The text of ISO/IEC/TS 17021-2:2012 has been approved by CEN as CEN/CLC ISO/IEC/TS 17021-2:2016 without any modification. PD CEN/CLC ISO

18、/IEC TS 17021-2:2016CEN/CLC ISO/IEC/TS 17021-2:2016 (E)ISO/IEC TS 17021-2:2012(E) ISO 2012 All rights reserved iiiContents 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 EMS auditors

19、 . 2 5.1 Environmental terminology 2 5.2 Environmental metrics 2 5.3 Environmental monitoring and measuring techniques appropriate to the aspects and EMS technical area 2 5.4 Techniques for identification and evaluation of environmental aspects and impacts and their environmental significance . 2 5.

20、5 Environmental aspects of design 2 5.6 Environmental performance evaluation 2 5.7 Legal and other requirements 2 5.8 Emergency preparedness and response 3 5.9 Operational control . 3 5.10 Factors related to site . 3 6 Aspect-specific competence requirements for EMS auditing 3 6.1 Emissions to air .

21、 3 6.2 Releases to land 4 6.3 Releases to water 4 6.4 Uses of raw materials, energy and natural resources . 5 6.5 Energy emitted . 5 6.6 Waste 5 6.7 Physical attributes . 6 7 Competence requirements for other personnel . 6 7.1 Competence of personnel conducting the application review to determine th

22、e audit team competence required, to select the audit team members and to determine the audit time 6 7.2 Competence of personnel reviewing audit reports and making certification decisions . 6 Annex A (informative) Knowledge for EMS auditing and certification 7 Bibliography 9 PD ISO/IEC TS 17021-2:20

23、12PD CEN/CLC ISO/IEC TS 17021-2:2016ISO/IEC TS 17021-2:2012(E)ISO/IEC TS 17021-2:2012(E) iv ISO 2012 All rights reservedForeword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International St

24、andards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also

25、 take part in the work. ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. The main task of technical committee

26、s is to prepare International Standards. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. In other circumstances, particul

27、arly 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 technical experts in an ISO working group and is accepted for publication

28、 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 publication if it is approved by 2/3 of the members of the committee ca

29、sting 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 confirmed, it is reviewed again after a further three years, at which tim

30、e 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 responsible for identifying any or all such patent rights. ISO/IEC TS 17021-2 wa

31、s prepared by ISO Technical Committee ISO/TC 207, Environmental management, Subcommittee SC 2, Environmental auditing and related environmental investigations, and the ISO Committee on conformity assessment (CASCO). It was circulated for voting to the national bodies of both ISO and IEC, and was app

32、roved by both organizations. 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 management system

33、s Technical Specification The following parts are under preparation: Part 3: Competence requirements for auditing and certification of quality management systems Technical Specification The next revision of ISO/IEC 17021:2011 will reflect the different parts and will become ISO/IEC 17021-1. PD ISO/I

34、EC TS 17021-2:2012PD CEN/CLC ISO/IEC TS 17021-2:2016ISO/IEC TS 17021-2:2012(E)ISO/IEC TS 17021-2:2012(E) ISO 2012 All rights reserved vIntroduction This Technical Specification complements ISO/IEC 17021. In particular, it clarifies the requirements for the competence of personnel involved in the cer

35、tification 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 interested parties, including their clients and the customers of the or

36、ganizations whose management systems are certified, to ensure that only those auditors who demonstrate the relevant competence are allowed to conduct Environmental Management System (EMS) audits. All EMS auditors should possess the generic competencies described in ISO/IEC 17021 as well as the speci

37、fic EMS knowledge described in this Technical Specification. Certification bodies will need to identify the specific audit team competence needed for the scope of each EMS audit. The selection of an EMS audit team will depend upon various factors including the EMS technical area, the client organiza

38、tion, its environmental aspects and the site where these aspects occur. The competence requirements for other personnel involved in certification activities are also described. PD ISO/IEC TS 17021-2:2012PD CEN/CLC ISO/IEC TS 17021-2:2016ISO/IEC TS 17021-2:2012(E)This page deliberately left blankTECH

39、NICAL SPECIFICATION ISO/IEC TS 17021-2:2012(E) ISO 2012 All rights reserved 1Conformity assessment Requirements for bodies providing audit and certification of management systems Part 2: Competence requirements for auditing and certification of environmental management systems 1 Scope This Technical

40、 Specification specifies additional competence requirements for personnel involved in the audit and certification process for Environmental Management Systems (EMS) and complements the existing requirements of ISO/IEC 17021. 2 Normative references The following referenced documents are indispensable

41、 for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. ISO 14050, Environmental management Vocabulary ISO/IEC 17021, Conformity assessment Requirements for

42、bodies providing audit and certification of management systems 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO 14050 and ISO/IEC 17021 and the following apply. 3.1 EMS technical area area characterized by similar activities, products or services and

43、the related environmental aspects 4 Generic competence requirements The certification body shall define the competence requirements for each relevant EMS technical area and for each function in the certification activity. The certification body shall take into account all the requirements specified

44、in Clauses 5, 6 and 7 of this Technical Specification that are relevant for the EMS technical areas as defined by the certification body. See Tables A.1 and A.2 for a summary of the competence requirements for personnel involved in specific certification functions. PD ISO/IEC TS 17021-2:2012PD CEN/C

45、LC ISO/IEC TS 17021-2:2016ISO/IEC TS 17021-2:2012(E) 2 ISO 2012 All rights reserved5 Competence requirements for EMS auditors All personnel involved in EMS auditing shall have a level of competence that includes the generic competencies described in ISO/IEC 17021 as well as the EMS knowledge describ

46、ed in 5.1 to 5.10. NOTE 1 Risk and complexity are other considerations when deciding the level of knowledge needed for any of these functions. NOTE 2 It is not necessary for each auditor in the audit team to have the same competence, however the collective competence of the audit team needs to be su

47、fficient to achieve the audit objectives. 5.1 Environmental terminology Knowledge of environmental terms, definitions and concepts as used within an EMS technical area. 5.2 Environmental metrics Knowledge of the quantification of environmental outputs applicable to the EMS technical area and applica

48、ble regulatory requirements. EXAMPLES Direct, normalized, aggregated, indexed and weighted measurement, modelling, mass balance. 5.3 Environmental monitoring and measuring techniques appropriate to the aspects and EMS technical area Knowledge of environmental monitoring and measuring techniques and

49、analytical methods appropriate to the aspects and EMS technical area including calibration and equipment maintenance. EXAMPLES Continuous, periodic and manual sampling, observations made during abnormal conditions. 5.4 Techniques for identification and evaluation of environmental aspects and impacts and their environmental significance Knowledge of environmental aspects and impacts and the derivation of their environmental significance. 5.5 Environmental aspects of design Knowledge of the design process including evaluation of envir