SIST EN ISO/IEC 17021-3:2019

Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 3: Competence requirements for auditing and certification of quality management systems (ISO/IEC 17021-3:2017)

This document specifies additional competence requirements for personnel involved in the audit
and certification process for quality management systems (QMS) and complements the existing
requirements of ISO/IEC 17021-1.
NOTE This document is applicable for auditing and certification of a QMS based on ISO 9001. It can also be
used for other QMS applications.

Konformitätsbewertung - Anforderungen an Stellen, die Managementsysteme auditieren und zertifizieren - Teil 3: Anforderungen an die Kompetenz für die Auditierung und Zertifizierung von Qualitätsmanagementsystemen (ISO/IEC 17021-3:2017)

Évaluation de la conformité - Exigences pour les organismes procédant à l'audit et à la certification des systèmes de management - Partie 3: Exigences de compétence pour l'audit et la certification des systèmes de management de la qualité (ISO/IEC 17021-3:2017)

Ugotavljanje skladnosti - Zahteve za organe, ki presojajo in certificirajo sisteme vodenja - 3. del: Zahteve za usposobljenost za presojanje in certificiranje sistemov vodenja kakovosti (ISO/IEC 17021-3:2017)

Ta dokument določa dodatne zahteve za usposobljenost osebja, vključenega v postopek presojanja in certificiranja sistemov vodenja kakovosti (QMS), in dopolnjuje obstoječe zahteve iz standarda ISO/IEC 17021-1.
OPOMBA: Ta dokument se uporablja za presojanje in certificiranje sistema vodenja kakovosti na podlagi standarda ISO 9001. Primeren je tudi za druge vrste uporabe sistema vodenja kakovosti.

General Information

• Status: Published
• Public Enquiry End Date: 30-Sep-2018
• Publication Date: 06-Feb-2019
• ICS: 03.100.70 - Management systems
• ICS: 03.120.20 - Product and company certification. Conformity assessment
• Technical Committee: UGA - Conformity assessment
• Current Stage: 6060 - National Implementation/Publication (Adopted Project)
• Start Date: 30-Jan-2019
• Due Date: 06-Apr-2019
• Completion Date: 07-Feb-2019
• Ref Project: EN ISO/IEC 17021-3:2018 - Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 3: Competence requirements for auditing and certification of quality management systems (ISO/IEC 17021-3:2017)

Relations

• Replaces: SIST-TS CEN/CLC ISO/IEC/TS 17021-3:2016 - Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 3: Competence requirements for auditing and certification of quality management systems (ISO/IEC/TS 17021-3:2013)
• Effective Date: 01-Mar-2019

Standards Content (Sample)

SLOVENSKI STANDARD
SIST EN ISO/IEC 17021-3:2019
01-marec-2019
1DGRPHãþD
SIST-TS CEN/CLC ISO/IEC/TS 17021-3:2016
Ugotavljanje skladnosti - Zahteve za organe, ki presojajo in certificirajo sisteme
vodenja - 3. del: Zahteve za usposobljenost za presojanje in certificiranje sistemov
vodenja kakovosti (ISO/IEC 17021-3:2017)
Conformity assessment - Requirements for bodies providing audit and certification of
management systems - Part 3: Competence requirements for auditing and certification of
quality management systems (ISO/IEC 17021-3:2017)
Konformitätsbewertung - Anforderungen an Stellen, die Managementsysteme auditieren
und zertifizieren - Teil 3: Anforderungen an die Kompetenz für die Auditierung und
Zertifizierung von Qualitätsmanagementsystemen (ISO/IEC 17021-3:2017)
Évaluation de la conformité - Exigences pour les organismes procédant à l'audit et à la
certification des systèmes de management - Partie 3: Exigences de compétence pour
l'audit et la certification des systèmes de management de la qualité (ISO/IEC 17021-
3:2017)
Ta slovenski standard je istoveten z: EN ISO/IEC 17021-3:2018
ICS:
03.100.70 Sistemi vodenja Management systems
03.120.20 Certificiranje proizvodov in Product and company
podjetij. Ugotavljanje certification. Conformity
skladnosti assessment
SIST EN ISO/IEC 17021-3:2019 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 17021-3:2019

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SIST EN ISO/IEC 17021-3:2019


EUROPEAN STANDARD EN ISO/IEC 17021-3

NORME EUROPÉENNE

EUROPÄISCHE NORM
December 2018
ICS 03.120.20
Supersedes CEN/CLC ISO/IEC/TS 17021-3:2016
English version

Conformity assessment - Requirements for bodies
providing audit and certification of management systems -
Part 3: Competence requirements for auditing and
certification of quality management systems (ISO/IEC
17021-3:2017)
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 3: Exigences de Teil 3: Anforderungen an die Kompetenz für die
compétence pour l'audit et la certification des Auditierung und Zertifizierung von
systèmes de management de la qualité (ISO/IEC Qualitätsmanagementsystemen (ISO/IEC 17021-
17021-3:2017) 3:2017)
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 17021-3:2018 E
reserved worldwide for CEN national Members and for
CENELEC Members.

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SIST EN ISO/IEC 17021-3:2019
EN ISO/IEC 17021-3:2018 (E)
Contents Page
European foreword . 3

2

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SIST EN ISO/IEC 17021-3:2019
EN ISO/IEC 17021-3:2018 (E)
European foreword
The text of ISO/IEC 17021-3:2017 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 17021-3:2018 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 17021-3:2016.
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 17021-3:2017 has been approved by CEN as EN ISO/IEC 17021-3:2018 without any
modification.


3

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SIST EN ISO/IEC 17021-3:2019

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SIST EN ISO/IEC 17021-3:2019
INTERNATIONAL ISO/IEC
STANDARD 17021-3
First edition
2017-03
Conformity assessment —
Requirements for bodies providing
audit and certification of management
systems —
Part 3:
Competence requirements for
auditing and certification of quality
management systems
Évaluation de la conformité — Exigences pour les organismes
procédant à l’audit et à la certification des systèmes de
management —
Partie 3: Exigences de compétence pour l’audit et la certification des
systèmes de management de la qualité
Reference number
ISO/IEC 17021-3:2017(E)
©
ISO/IEC 2017

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SIST EN ISO/IEC 17021-3:2019
ISO/IEC 17021-3:2017(E)

COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2017, 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. [phone]
Fax [phone]
[e-mail]
www.iso.org
ii © ISO/IEC 2017 – All rights reserved

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SIST EN ISO/IEC 17021-3:2019
ISO/IEC 17021-3:2017(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 QMS auditors and audit teams . 2
5.1 General . 2
5.2 Fundamental concepts and quality management principles . 2
5.3 Context of the organization . 2
5.4 Client products, services, processes and organization . 2
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 QMS auditing and certification . 4
Bibliography . 5
© ISO/IEC 2017 – All rights reserved iii

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SIST EN ISO/IEC 17021-3:2019
ISO/IEC 17021-3:2017(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 Com
...

SLOVENSKI STANDARD
oSIST prEN ISO/IEC 17021-3:2018
01-september-2018
Ugotavljanje skladnosti - Zahteve za organe, ki presojajo in certificirajo sisteme
vodenja - 3. del: Zahteve za usposobljenost za presojanje in certificiranje sistemov
vodenja kakovosti (ISO/IEC 17021-3:2017)
Conformity assessment - Requirements for bodies providing audit and certification of
management systems - Part 3: Competence requirements for auditing and certification of
quality management systems (ISO/IEC 17021-3:2017)
Konformitätsbewertung - Anforderungen an Stellen, die Managementsysteme auditieren
und zertifizieren - Teil 3: Anforderungen an die Kompetenz für die Auditierung und
Zertifizierung von Qualitätsmanagementsystemen (ISO/IEC 17021-3:2017)
Évaluation de la conformité - Exigences pour les organismes procédant à l'audit et à la
certification des systèmes de management - Partie 3: Exigences de compétence pour
l'audit et la certification des systèmes de management de la qualité (ISO/IEC 17021-
3:2017)
Ta slovenski standard je istoveten z: prEN ISO/IEC 17021-3
ICS:
03.100.70 Sistemi vodenja Management systems
03.120.20 Certificiranje proizvodov in Product and company
podjetij. Ugotavljanje certification. Conformity
skladnosti assessment
oSIST prEN ISO/IEC 17021-3:2018 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

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oSIST prEN ISO/IEC 17021-3:2018

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oSIST prEN ISO/IEC 17021-3:2018
INTERNATIONAL ISO/IEC
STANDARD 17021-3
First edition
2017-03
Conformity assessment —
Requirements for bodies providing
audit and certification of management
systems —
Part 3:
Competence requirements for
auditing and certification of quality
management systems
Évaluation de la conformité — Exigences pour les organismes
procédant à l’audit et à la certification des systèmes de
management —
Partie 3: Exigences de compétence pour l’audit et la certification des
systèmes de management de la qualité
Reference number
ISO/IEC 17021-3:2017(E)
©
ISO/IEC 2017

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oSIST prEN ISO/IEC 17021-3:2018
ISO/IEC 17021-3:2017(E)

COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2017, 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. [phone]
Fax [phone]
[e-mail]
www.iso.org
ii © ISO/IEC 2017 – All rights reserved

---------------------- Page: 4 ----------------------
oSIST prEN ISO/IEC 17021-3:2018
ISO/IEC 17021-3:2017(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 QMS auditors and audit teams . 2
5.1 General . 2
5.2 Fundamental concepts and quality management principles . 2
5.3 Context of the organization . 2
5.4 Client products, services, processes and organization . 2
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 QMS auditing and certification . 4
Bibliography . 5
© ISO/IEC 2017 – All rights reserved iii

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oSIST prEN ISO/IEC 17021-3:2018
ISO/IEC 17021-3:2017(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 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 the following
URL: w w w . i s o .org/ iso/ foreword .html.
This document was prepared by Technical Committee ISO/TC 176, Quality management systems,
Subcommittee SC 3, Supporting technologies, 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 17021-3 cancels and replaces ISO/IEC/TS 17021-3:2013, which has been
technically revised.
The following major changes have been made compared with ISO/IEC/TS 17021-3:2013:
— addition of new requirements of ISO 9001:2015, which require additional competence to audit;
— expansion of fundamental concepts and quality management principles and their application;
— inclusion of the knowledge of the role of leadership of an organization in relation to its quality
management system;
— inclusion of knowledge of application of risk based thinking, including the determination of risks
and opportunities;
— inclusion of competence criteria for the auditor to understand the context of the
...