ISO/IEC TS 17021-14:2022
(Main)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
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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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
ii
© 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.
iv
© 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.
v
© 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
ii
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.
iv
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.
v
© 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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