Conformity assessment — Requirements for bodies providing audit and certification of management systems — Part 14: Competence requirements for auditing and certification of management systems for records

This document specifies the competence requirements for personnel involved in the audit and certification process for management systems for records (MSR). It complements the existing requirements of ISO/IEC 17021-1. NOTE This document is applicable for auditing and certification of MSR based on ISO 30301. It can also be used for other MSR applications.

Évaluation de la conformité — Exigences pour les organismes procédant à l'audit et à la certification des systèmes de management — Partie 14: Exigences de compétence pour l'audit et la certification des systèmes de management des documents d'activité

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ISO/IEC TS 17021-14:2022 - Conformity assessment — Requirements for bodies providing audit and certification of management systems — Part 14: Competence requirements for auditing and certification of management systems for records Released:2/4/2022
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TECHNICAL ISO/IEC TS
SPECIFICATION 17021-14
First edition
2022-01
Conformity assessment —
Requirements for bodies providing
audit and certification of management
systems —
Part 14:
Competence requirements for
auditing and certification of
management systems for records
Reference number
ISO/IEC TS 17021-14:2022(E)
© ISO/IEC 2022
---------------------- Page: 1 ----------------------
ISO/IEC TS 17021-14:2022(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2022

All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
© ISO/IEC 2022 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/IEC TS 17021-14:2022(E)
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 MSR auditors ........................................................................................................................ 2

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

5.2 Fundamental concepts and principles for managing records ...................................................................... 2

5.3 Discipline-specific knowledge .................................................................................................................................................. 2

5.4 Context of the organization ........................................................................................................................................... .............. 3

5.5 Client products, services, processes and organization ......... .............................................................................. 3

6 Competence requirements for other personnel ................................................................................................................. 3

6.1 General ........................................................................................................................................................................................................... 3

6.2 Competence of personnel reviewing audit reports and making certification

decisions ....................................................................................................................................................................................................... 3

Annex A (informative) Knowledge for MSR auditing and certification .......................................................................... 5

Bibliography ................................................................................................................................................................................................................................ 6

iii
© ISO/IEC 2022 – All rights reserved
---------------------- Page: 3 ----------------------
ISO/IEC TS 17021-14:2022(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.

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 or

www.iec.ch/members_experts/refdocs).

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) or the IEC

list of patent declarations received (see https://patents.iec.ch).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, 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

www.iso.org/iso/foreword.html. In the IEC, see www.iec.ch/understanding-standards.

This document was prepared by the ISO Committee on Conformity Assessment (CASCO), in

collaboration with ISO Technical Committee ISO/TC 46, Information and documentation, Subcommittee

SC 11, Archives/records management.

A list of all parts in the ISO/IEC 17021 series can be found on the ISO and IEC websites.

Any feedback or questions on this document should be directed to the user’s national standards

body. A complete listing of these bodies can be found at www.iso.org/members.html and

www.iec.ch/national-committees.
© ISO/IEC 2022 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/IEC TS 17021-14:2022(E)
Introduction

Creation and management of records are integral to any organization's activities, processes and

systems. They enable business effectiveness and efficiency, accountability, risk management and

business continuity. They also enable organizations to capitalize on the value of their information

resources as strategic assets, and to contribute to the preservation of collective memory, in response to

the challenges of the global and digital environment.

ISO 30301 specifies requirements to be met by management systems for records (MSR) in order to

support an organization in the achievement of its mandate, mission, strategy and goals. It addresses

the development and implementation of a records policy and objectives and gives information on

measuring and monitoring performance.

This document complements the requirements in ISO/IEC 17021-1:2015. 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 relevant competence are allowed to conduct audits of management systems for records

(MSR). It is intended that all auditors possess the generic competencies described in ISO/IEC 17021-1, as

well as the specific competencies described in this document. Certification bodies will need to identify

the specific audit team competence needed for the scope of each 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 possibility or a capability.
Further details can be found in the ISO/IEC Directives, Part 2.
© ISO/IEC 2022 – All rights reserved
---------------------- Page: 5 ----------------------
TECHNICAL SPECIFICATION ISO/IEC TS 17021-14:2022(E)
Conformity assessment — Requirements for bodies
providing audit and certification of management
systems —
Part 14:
Competence requirements for auditing and certification of
management systems for records
1 Scope

This document specifies the competence requirements for personnel involved in the audit and

certification process for management systems for records (MSR). It complements the existing

requirements of ISO/IEC 17021-1.

NOTE This document is applicable for auditing and certification of MSR based on ISO 30301. It can also be

used for other MSR applications.
2 Normative references
The following documents are ref
...

TECHNICAL ISO/IEC TS
SPECIFICATION 17021-14
First edition
Conformity assessment —
Requirements for bodies providing
audit and certification of management
systems —
Part 14:
Competence requirements for
auditing and certification of
management systems for records
Member bodies are requested to consult relevant national interests in ISO/TC
46/SC 11 before casting their ballot to the e-Balloting application.
PROOF/ÉPREUVE
Reference number
ISO/IEC TS 17021-14:2021(E)
© ISO/IEC 2021
---------------------- Page: 1 ----------------------
ISO/IEC TS 17021-14:2021(E)
COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2021

All rights reserved. Unless otherwise specified, or required in the context of its implementation, 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
CP 401 • Ch. de Blandonnet 8
CH-1214 Vernier, Geneva
Phone: +41 22 749 01 11
Email: copyright@iso.org
Website: www.iso.org
Published in Switzerland
PROOF/ÉPREUVE © ISO/IEC 2021 – All rights reserved
---------------------- Page: 2 ----------------------
ISO/IEC TS 17021-14:2021(E)
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 MSR auditors ........................................................................................................................ 2

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

5.2 Fundamental concepts and principles for managing records ...................................................................... 2

5.3 Discipline-specific knowledge .................................................................................................................................................. 2

5.4 Context of the organization ........................................................................................................................................... .............. 3

5.5 Client products, services, processes and organization ......... .............................................................................. 3

6 Competence requirements for other personnel ................................................................................................................. 3

6.1 General ........................................................................................................................................................................................................... 3

6.2 Competence of personnel reviewing audit reports and making certification

decisions ....................................................................................................................................................................................................... 3

Annex A (informative) Knowledge for MSR auditing and certification .......................................................................... 5

Bibliography ................................................................................................................................................................................................................................ 6

iii
© ISO/IEC 2021 – All rights reserved PROOF/ÉPREUVE
---------------------- Page: 3 ----------------------
ISO/IEC TS 17021-14:2021(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.

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 or

www.iec.ch/members_experts/refdocs).

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) or the IEC

list of patent declarations received (see https://patents.iec.ch).

Any trade name used in this document is information given for the convenience of users and does not

constitute an endorsement.

For an explanation of the voluntary nature of standards, 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

www.iso.org/iso/foreword.html. In the IEC, see www.iec.ch/understanding-standards.

This document was prepared by the ISO Committee on Conformity Assessment (CASCO), in

collaboration with ISO Technical Committee ISO/TC 46, Information and documentation, Subcommittee

SC 11, Archives/records management.

A list of all parts in the ISO/IEC 17021 series can be found on the ISO and IEC websites.

Any feedback or questions on this document should be directed to the user’s national standards

body. A complete listing of these bodies can be found at www.iso.org/members.html and

www.iec.ch/national-committees.
PROOF/ÉPREUVE © ISO/IEC 2021 – All rights reserved
---------------------- Page: 4 ----------------------
ISO/IEC TS 17021-14:2021(E)
Introduction

Creation and management of records are integral to any organization's activities, processes and

systems. They enable business effectiveness and efficiency, accountability, risk management and

business continuity. They also enable organizations to capitalize on the value of their information

resources as strategic assets, and to contribute to the preservation of collective memory, in response to

the challenges of the global and digital environment.

ISO 30301 specifies requirements to be met by management systems for records (MSR) in order to

support an organization in the achievement of its mandate, mission, strategy and goals. It addresses

the development and implementation of a records policy and objectives and gives information on

measuring and monitoring performance.

This document complements the requirements in ISO/IEC 17021-1:2015. 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 relevant competence are allowed to conduct audits of management systems for records

(MSR). It is intended that all auditors possess the generic competencies described in ISO/IEC 17021-1, as

well as the specific competencies described in this document. Certification bodies will need to identify

the specific audit team competence needed for the scope of each 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 possibility or a capability.
Further details can be found in the ISO/IEC Directives, Part 2.
© ISO/IEC 2021 – All rights reserved PROOF/ÉPREUVE
---------------------- Page: 5 ----------------------
TECHNICAL SPECIFICATION ISO/IEC TS 17021-14:2021(E)
Conformity assessment — Requirements for bodies
providing audit and certification of management
systems —
Part 14:
Competence requirements for auditing and certification of
management systems for records
1 Scope

This document specifies the competence requirements for personnel involved in the audit and

certification process for management systems for records (MSR). It complements the existing

requirements of ISO/IEC 17021-1.

NOTE This document is applicable for auditing and certification of MSR based on ISO 30301. It can also be

used for other MSR application
...

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