Revision of ISO/IEC TS 17021-2

Andrew Marlow and Randy Dougherty

Co-convenors
 History
• Developed by TC207 & CASCO Joint Working Group 34

• Co-conveners
– Nigel Carter, BSI appointed expert to ISO/TC207
– Randy Dougherty, ANSI appointed expert to CASCO
 ISO/IEC
Generic Requirements for 3rd Party
17021 Part 2
Auditing & Management of Competence
(based on 19011)

Framework for Developing Specific Requirements for 3rd Party

Auditing & Management of Competence

EMS Competent FSMS Competent ISMS Competent

QMS Competent e.g. xMS Competent
Body, e.g. Body, e.g. Body e.g.
ISO/TC176 Body
ISO/TC207 ISO/TC34 ISO/TC178

QMS Specific EMS Specific FSMS Specific ISMS Specific xMS Specific
Competence Competence Competence Competence Competence
Requirements Requirements Requirements Requirements Requirements

By WG21 and included in 17021 By other competent bodies with WG21

3
 ISO/IEC TS 17021-2:2012

ISO/IEC TS 17021-2:2012
Conformity assessment—Requirements for bodies
providing audit and certification of management systems—
Part 2: Competence requirements for auditing and
certification of environmental management systems

Published 15 August 2012

 Revision of ISO/IEC TS 17021-1:2012

NWIP—Rationale for the revision

• ISO/TS 17021-2 was developed in a joint working group
under the responsibility of ISO/CASCO with close
involvement of ISO/TC 207/SC 2 based on ISO/IEC
17021:2011 and ISO 14001:2008, both of which have new
been revised.
• ISO Directives part 1, 3.1.3 Technical Specifications shall
be subject to review by the technical committee or
subcommittee not later than 3 years after their publication
 Revision of ISO/IEC TS17021-1:2012
NWIP—Rationale for the revision
• ISO 14001:2015 is based on two important sources: the ‘High Level Structure’
for ISO management systems (Annex SL) and the recommendations of the
Future Challenges Study Group.
• ISO 14001:2015 introduces some important new concepts that may need to be
reflected in both the generic and aspect-specific competence requirements
specified in ISO 17021-2, such as:
• Link between environmental management and the strategic directions of an organization
• Context analysis (issues, stakeholders)
• Life cycle perspective in environmental management
• Environmental communication
• External environmental conditions impacting upon the organization
 Revision of ISO/IEC TS 17021-2:2012
• Re-constituted TC207 & CASCO Joint Working Group 34

• Co-conveners
– Andrew Marlow, BSI appointed expert to ISO/TC207
– Randy Dougherty, ANSI appointed expert to CASCO
 Revision of ISO/IEC TS 17021-2:2012
Meetings
• 10-12 February 2016
• Consensus to transform the TS to an IS
• Consensus on DIS planned for 5 May-5August
• 28 September 2016
• DIS passed (99% of ISO P - members and 97% of IEC P-
members voted in favour)
• Consensus on final wording for publication
• Consensus for a two year transition by CBs
 ISO/IEC 17021-2:2016

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

Published 1 December 2016

 ISO/IEC 17021-2:2016

New competencies
– Scope
• 5.12 for auditors, 7.2.4 for CB admin, 7.3.5 for CB decisions
– Communicated information
• 5.13 for auditors
– Context of an Organization
• 5.14 for auditors
– Risks and Opportunities
• 5.15 for auditors
 ISO/IEC 17021-2:2016

Other changes
– Changed Environmental Aspects of Design to Life
Cycle Perspective
– Changes Legal and Other Requirements to
Compliance Obligations
– Changed Physical Attributes to Use of Space and
expanded requirements
 ISO/IEC 17021-2:2016

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.
 ISO/IEC 17021-2:2016

• Complements ISO/IEC 17021-1:2015 which establishes

the requirements generically applicable to any
management system certification audit
– 3.7 Competence: ability to apply knowledge and skills to achieve
intended results
– 7.1.2 Determination of competence criteria
• Normative annex A specifies types of knowledge a skills a CB shall
define for specific functions
– 7.1.3 Evaluation processes
 ISO/IEC 17021-2:2016
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.
 ISO/IEC 17021-2:2016

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.
 ISO/IEC 17021-2:2016

5 Competence requirements for EMS auditors

5.2 Environmental terminology
5.3 Environmental metrics
5.4 Environmental monitoring and measuring techniques
5.5 Environmental aspects and impacts+
5.6 Life cycle perspective*
5.7 Environmental performance evaluation
5.8 Compliance obligations*
 ISO/IEC 17021-2:2016

5 Competence requirements for EMS auditors

5.9 Emergency preparedness and response
5.10 Operational control
5.11 Factors related to site
5.12 Scope
5.13 Communicated information
5.14 Context of the organization
5.15 Risks and opportunities
 ISO/IEC 17021-2:2016
6 Aspect-specific competence requirements for EMS auditing
6.1 General
An audit team shall be appointed that is composed of auditors (and technical
experts, as necessary) having the collective competence to undertake the
audit. The certification body shall define the specific competence criteria
related to each aspect appropriate to the EMS technical area(s) in which it
operates and consistent with the requirements specified in 6.2 to 6.8.
• NOTE 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
sufficient to achieve the audit objectives.
 ISO/IEC 17021-2:2016

6 Aspect-specific competence requirements for EMS

auditing
6.2 Emissions to air
6.3 Releases to land
6.4 Releases to water
6.5 Uses of raw materials, energy and natural resources*
6.6 Energy emitted
6.7 Waste
6.8 Use of space*
 ISO/IEC 17021-2:2016

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
7.2.1 Environmental terminology
7.2.2 Environmental aspects and impacts*
7.2.3 Factors related to site
7.2.4 Scope*
 ISO/IEC 17021-2:2016

7.3 Competence of personnel reviewing audit reports

and making certification decisions
7.3.1 Environmental terminology
7.3.2 Environmental aspects and impacts*
7.3.3 Environmental performance evaluation
7.3.4 Compliance obligations*
7.3.5 Scope*