Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 2: Competence requirements for auditing and certification of environmental management systems (ISO/IEC 17021-2:2016)

This document 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 17021-1.

Konformitätsbewertung - Anforderungen an Stellen, die Managementsysteme auditieren und zertifizieren - Teil 2: Anforderungen an die Kompetenz für die Auditierung und Zertifizierung von Umweltmanagementsystemen (ISO/IEC 17021-2:2016)

Évaluation de la conformité - Exigences pour les organismes procédant à l'audit et à la certification des systèmes de management - Partie 2: Exigences de compétence pour l'audit et la certification des systèmes de management environnemental (ISO/IEC 17021-2:2016)

Ugotavljanje skladnosti - Zahteve za organe, ki presojajo in certificirajo sisteme vodenja - 2. del: Zahteve za usposobljenost za presojanje in certificiranje sistemov ravnanja z okoljem (ISO/IEC 17021-2:2016)

Ta dokument določa dodatne zahteve za usposobljenost osebja, vključenega v postopek presojanja in certificiranja sistemov ravnanja z okoljem (EMS), in dopolnjuje obstoječe zahteve iz standarda ISO/IEC 17021-1.

General Information

Status
Published
Publication Date
11-Dec-2018
Current Stage
6060 - Definitive text made available (DAV) - Publishing
Due Date
12-Dec-2018
Completion Date
12-Dec-2018

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SLOVENSKI STANDARD
SIST EN ISO/IEC 17021-2:2019
01-marec-2019
1DGRPHãþD
SIST-TS CEN/CLC ISO/IEC/TS 17021-2:2016

Ugotavljanje skladnosti - Zahteve za organe, ki presojajo in certificirajo sisteme

vodenja - 2. del: Zahteve za usposobljenost za presojanje in certificiranje sistemov

ravnanja z okoljem (ISO/IEC 17021-2:2016)

Conformity assessment - Requirements for bodies providing audit and certification of

management systems - Part 2: Competence requirements for auditing and certification of

environmental management systems (ISO/IEC 17021-2:2016)

Konformitätsbewertung - Anforderungen an Stellen, die Managementsysteme auditieren

und zertifizieren - Teil 2: Anforderungen an die Kompetenz für die Auditierung und

Zertifizierung von Umweltmanagementsystemen (ISO/IEC 17021-2:2016)

Évaluation de la conformité - Exigences pour les organismes procédant à l'audit et à la

certification des systèmes de management - Partie 2: Exigences de compétence pour

l'audit et la certification des systèmes de management environnemental (ISO/IEC 17021-

2:2016)
Ta slovenski standard je istoveten z: EN ISO/IEC 17021-2:2018
ICS:
03.100.70 Sistemi vodenja Management systems
03.120.20 Certificiranje proizvodov in Product and company
podjetij. Ugotavljanje certification. Conformity
skladnosti assessment
13.020.10 Ravnanje z okoljem Environmental management
SIST EN ISO/IEC 17021-2:2019 en,fr,de

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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SIST EN ISO/IEC 17021-2:2019
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SIST EN ISO/IEC 17021-2:2019
EUROPEAN STANDARD EN ISO/IEC 17021-2
NORME EUROPÉENNE
EUROPÄISCHE NORM
December 2018
ICS 03.120.20
Supersedes CEN/CLC ISO/IEC/TS 17021-2:2016
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 systems
(ISO/IEC 17021-2:2016)

Évaluation de la conformité - Exigences pour les Konformitätsbewertung - Anforderungen an Stellen,

organismes procédant à l'audit et à la certification des die Managementsysteme auditieren und zertifizieren -

systèmes de management - Partie 2: Exigences de Teil 2: Anforderungen an die Kompetenz für die

compétence pour l'audit et la certification des Auditierung und Zertifizierung von

systèmes de management environnemental (ISO/IEC Umweltmanagementsystemen (ISO/IEC 17021-

17021-2:2016) 2:2016)
This European Standard was approved by CEN on 26 November 2018.

CEN and CENELEC members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for

giving this European Standard the status of a national standard without any alteration. Up-to-date lists and bibliographical

references concerning such national standards may be obtained on application to the CEN-CENELEC Management Centre or to

any CEN and CENELEC member.

This European Standard exists in three official versions (English, French, German). A version in any other language made by

translation under the responsibility of a CEN and CENELEC member into its own language and notified to the CEN-CENELEC

Management Centre has the same status as the official versions.

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, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania,

Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland, Turkey and United Kingdom.

CEN-CENELEC Management Centre:
Rue de la Science 23, B-1040 Brussels

© 2018 CEN/CENELEC All rights of exploitation in any form and by any means Ref. No. EN ISO/IEC 17021-2:2018 E

reserved worldwide for CEN national Members and for
CENELEC Members.
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SIST EN ISO/IEC 17021-2:2019
EN ISO/IEC 17021-2:2018 (E)
Contents Page

European foreword ....................................................................................................................................................... 3

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SIST EN ISO/IEC 17021-2:2019
EN ISO/IEC 17021-2:2018 (E)
European foreword

The text of ISO/IEC 17021-2:2016 has been prepared by Technical Committee ISO/CASCO "Committee

on conformity assessment” of the International Organization for Standardization (ISO) and has been

taken over as EN ISO/IEC 17021-2:2018 by Technical Committee CEN/CLC/JTC 1 “Criteria for

conformity assessment bodies” the secretariat of which is held by BSI.

This European Standard shall be given the status of a national standard, either by publication of an

identical text or by endorsement, at the latest by June 2019, and conflicting national standards shall be

withdrawn at the latest by June 2019.

Attention is drawn to the possibility that some of the elements of this document may be the subject of

patent rights. CEN shall not be held responsible for identifying any or all such patent rights.

This document supersedes CEN/CLC ISO/IEC/TS 17021-2:2016.

According to the CEN-CENELEC Internal Regulations, the national standards organizations of the

following countries are bound to implement this European Standard: 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, Serbia, Slovakia, Slovenia, Spain, Sweden, Switzerland,

Turkey and the United Kingdom.
Endorsement notice

The text of ISO/IEC 17021-2:2016 has been approved by CEN as EN ISO/IEC 17021-2:2018 without any

modification.
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SIST EN ISO/IEC 17021-2:2019
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SIST EN ISO/IEC 17021-2:2019
INTERNATIONAL ISO/IEC
STANDARD 17021-2
First edition
2016-12-01
Conformity assessment —
Requirements for bodies providing
audit and certification of management
systems —
Part 2:
Competence requirements for
auditing and certification of
environmental management systems
Évaluation de la conformité — Exigences pour les organismes
procédant à l’audit et à la certification des systèmes de
management —
Partie 2: Exigences de compétence pour l’audit et la certification des
systèmes de management environnemental
Reference number
ISO/IEC 17021-2:2016(E)
ISO/IEC 2016
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SIST EN ISO/IEC 17021-2:2019
ISO/IEC 17021-2:2016(E)
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 internet or an intranet, without prior

written permission. Permission can be requested from either ISO at the address below or ISO’s 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
copyright@iso.org
www.iso.org
ii © ISO/IEC 2016 – All rights reserved
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SIST EN ISO/IEC 17021-2:2019
ISO/IEC 17021-2:2016(E)
Contents Page

Foreword ..........................................................................................................................................................................................................................................v

Introduction ................................................................................................................................................................................................................................vi

1 Scope ................................................................................................................................................................................................................................. 1

2 Normative references ...................................................................................................................................................................................... 1

3 Terms and definitions ..................................................................................................................................................................................... 1

4 Generic competence requirements ................................................................................................................................................... 1

5 Competence requirements for EMS auditors .......................................................................................................................... 2

5.1 General ........................................................................................................................................................................................................... 2

5.2 Environmental terminology ........................................................................................................................................................ 2

5.3 Environmental metrics .................................................................................................................................................................... 2

5.4 Environmental monitoring and measuring techniques ....................................................................................... 2

5.5 Environmental aspects and impacts .................................................................................................................................... 2

5.6 Life cycle perspective ........................................................................................................................................................................ 2

5.7 Environmental performance evaluation ........................................................................................................................... 2

5.8 Compliance obligations ................................................................................................................................................................... 2

5.9 Emergency preparedness and response ........................................................................................................................... 3

5.10 Operational control ............................................................................................................................................................................. 3

5.11 Factors related to site ........................................................................................................................................................................ 3

5.12 Scope ................................................................................................................................................................................................................ 3

5.13 Communicated information ......................................................................................................................................................... 3

5.14 Context of the organization .......................................................................................................................................................... 3

5.15 Risks and opportunities .................................................................................................................................................................. 3

6 Aspect-specific competence requirements for EMS auditing ................................................................................ 4

6.1 General ........................................................................................................................................................................................................... 4

6.2 Emissions to air ...................................................................................................................................................................................... 4

6.2.1 General...................................................................................................................................................................................... 4

6.2.2 Gases, aerosols and particulate matter ........................................................................................................ 4

6.2.3 Operational control........................................................................................................................................................ 4

6.2.4 Monitoring and measurement ............................................................................................................................. 4

6.3 Releases to land ...................................................................................................................................................................................... 4

6.3.1 General...................................................................................................................................................................................... 4

6.3.2 Liquid or solid releases .............................................................................................................................................. 4

6.3.3 Operational control........................................................................................................................................................ 5

6.3.4 Monitoring and measurement ............................................................................................................................. 5

6.4 Releases to water .................................................................................................................................................................................. 5

6.4.1 General...................................................................................................................................................................................... 5

6.4.2 Surface and ground water ........................................................................................................................................ 5

6.4.3 Operational control........................................................................................................................................................ 5

6.4.4 Monitoring and measurement ............................................................................................................................. 5

6.5 Uses of raw materials, energy and natural resources ........................................................................................... 5

6.5.1 Upstream management .............................................................................................................................................. 5

6.5.2 Downstream management ...................................................................................................................................... 6

6.5.3 Operational control........................................................................................................................................................ 6

6.5.4 Monitoring and measurement ............................................................................................................................. 6

6.6 Energy emitted ........................................................................................................................................................................................ 6

6.6.1 Sources of energy emissions.................................................................................................................................. 6

6.6.2 Operational control........................................................................................................................................................ 6

6.6.3 Monitoring and measurement ............................................................................................................................. 6

6.7 Waste ............................................................................................................................................................................................................... 6

6.7.1 Sources of waste ............................................................................................................................................................... 6

6.7.2 Operational control........................................................................................................................................................ 6

6.7.3 Monitoring and measurement ............................................................................................................................. 7

© ISO/IEC 2016 – All rights reserved iii
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SIST EN ISO/IEC 17021-2:2019
ISO/IEC 17021-2:2016(E)

6.8 Use of space ............................................................................................................................................................................................... 7

6.8.1 Physical attributes .......................................................................................................................................................... 7

6.8.2 Operational control........................................................................................................................................................ 7

6.8.3 Monitoring and measurement ............................................................................................................................. 7

7 Competence requirements for other personnel .................................................................................................................. 7

7.1 General ........................................................................................................................................................................................................... 7

7.2 Competence of personnel conducting the application review to determine the
audit team competence required, to select the audit team members and to

determine the audit time ............................................................................................................................................................... 7

7.2.1 Environmental terminology ................................................................................................................................... 7

7.2.2 Environmental aspects and impacts ............................................................................................................... 7

7.2.3 Factors related to site .................................................................................................................................................. 7

7.2.4 Scope .......................................................................................................................................................................................... 7

7.3 Competence of personnel reviewing audit reports and making certification decisions......... 8

7.3.1 Environmental terminology ................................................................................................................................... 8

7.3.2 Environmental aspects and impacts ............................................................................................................... 8

7.3.3 Environmental performance evaluation ..................................................................................................... 8

7.3.4 Compliance obligations .............................................................................................................................................. 8

7.3.5 Scope .......................................................................................................................................................................................... 8

Annex A (informative) Knowledge for EMS auditing and certification ............................................................................. 9

Bibliography .............................................................................................................................................................................................................................11

iv © ISO/IEC 2016 – All rights reserved
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SIST EN ISO/IEC 17021-2:2019
ISO/IEC 17021-2:2016(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 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

organizations, 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 document 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, 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 development 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 ISO specific terms and expressions related to conformity assessment,

as well as information about ISO’s 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 17021-2 was prepared by 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 approved by both organizations.

This first edition of ISO/IEC 17021-2 cancels and replaces ISO/IEC/TS 17021-2:2012, which has been

technically revised.

The following major changes have been made compared with ISO/IEC/TS 17021-2:2012:

— addition of the new requirements of ISO 14001:2015 which required additional competence to

audit them;

— adaptation of the competence requirements to reflect the greater focus in ISO 14001:2015 on

expected outcomes;

— clarification of the difference between sustainable development and sustainability;

— inclusion of competence criteria for the auditor to understand the context of the organization;

— inclusion of competence to audit the reliability of client communications about their EMS.

A list of all parts in the ISO/IEC 17021 series can be found on the ISO website.
© ISO/IEC 2016 – All rights reserved v
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SIST EN ISO/IEC 17021-2:2019
ISO/IEC 17021-2:2016(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, Annex A.

Certification bodies have a responsibility to interested parties, including their clients and the customers

of the organizations 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 17021-1

as well as the specific EMS knowledge described in this document.

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 context of an organization, its environmental aspects and the site where these

aspects occur.

The competence requirements for other personnel involved in certification activities are also described.

In this document, the following verbal forms are used:
— “shall” indicates a requirement;
— “should” indicates a recommendation;
— “may” indicates a permission;
— “can” indicates a possibility 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://www.surveymonkey.com/r/D5PK2NV
vi © ISO/IEC 2016 – All rights reserved
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SIST EN ISO/IEC 17021-2:2019
INTERNATIONAL STANDARD ISO/IEC 17021-2:2016(E)
Conformity 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 document 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 17021-1.
2 Normative references

The following documents are referred to in the text in such a way that some or all of their content

constitutes requirements 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/IEC 17021-1:2015, Conformity assessment — Requirements for bodies providing audit and certification

of management systems — Part 1: Requirements
3 Terms and definitions

For the purposes of this document, the terms and definitions given in ISO/IEC 17021-1 and the

following apply.

ISO and IEC maintain terminological databases for use in standardization at the following addresses:

— ISO Online browsing platform: available at http://www.iso.org/obp
— IEC Electropedia: available at http://www.electropedia.org/
3.1
EMS technical area
environmental management system technical area

area characterized by commonalities of processes relevant to an environmental management system

and its intended results
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 in Clauses 5, 6 and 7 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.
© ISO/IEC 2016 – All rights reserved 1
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SIST EN ISO/IEC 17021-2:2019
ISO/IEC 17021-2:2016(E)
5 Competence requirements for EMS auditors
5.1 General

Each EMS auditor shall have a level of competence as defined by the certification body for the technical

area concerned that includes the generic competencies described in ISO/IEC 17021-1, as well as the EMS

knowledge described in 5.2 to 5.15.
5.2 Environmental terminology

Each EMS auditor shall have knowledge of environmental terms, definitions and concepts as used

within an EMS.

NOTE Concepts include “intended outcomes”, “environmental sustainability” and “sustainable development”

(see ISO 14001:2015, Clause 1 and Clause A.3).
5.3 Environmental metrics

Each EMS auditor shall have knowledge of the quantification of environmental outputs applicable to the

EMS and applicable compliance obligations.

EXAMPLES Direct, normalized, aggregated, indexed and weighted measurement, modelling, mass balance.

5.4 Environmental monitoring and measuring techniques

Each EMS auditor shall have knowledge of environmental monitoring and measuring techniques and

analytical methods (including equipment and its calibration or verification and maintenance).

EXAMPLES Continuous, periodic and manual sampling, observations made during abnormal conditions.

5.5 Environmental aspects and impacts

Each EMS auditor shall have knowledge of techniques for the identification of environmental aspects

and impacts and the determination of their environmental significance.
5.6 Life cycle perspective
Each EMS auditor shall have knowledge of life cycle concepts and how an organiz
...

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