Overview
ISO/IEC 17021-1:2015 - "Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 1: Requirements" defines the principles and mandatory requirements for certification bodies that perform audit and certification of management systems. The standard ensures competence, consistency and impartiality in third‑party conformity assessment activities for any type of management system. It applies to organizations that operate or seek to operate a structured management system certification program.
Key topics and technical requirements
ISO/IEC 17021-1:2015 organizes requirements into logical clauses covering the full certification lifecycle:
- Principles: impartiality, competence, responsibility, openness, confidentiality, responsiveness to complaints and a risk‑based approach.
- General requirements: legal and contractual matters, certification agreements, responsibility for certification decisions and management of impartiality.
- Structural requirements: organizational structure, top management responsibilities and operational control.
- Resource requirements: competence criteria for personnel, auditor selection, use of external auditors/experts, personnel records and outsourcing.
- Information requirements: public information, certification documentation, use of marks, confidentiality and information exchange with clients.
- Process requirements: pre‑certification (application, review, audit programme, audit time), audit planning and conduct (opening/closing meetings, evidence gathering, findings), certification decision, surveillance, recertification, special audits, appeals and complaints.
- Management system requirements: options for a certification body’s own management system (general requirements or alignment with ISO 9001).
The standard also contains informative annexes (e.g., required knowledge and skills, evaluation methods, process flows) to support implementation.
Practical applications
ISO/IEC 17021-1:2015 is used to:
- Design and operate credible management system certification programs (e.g., ISO 9001, ISO 14001, ISO 45001).
- Define competency frameworks and audit processes for certification bodies.
- Establish impartiality and conflict‑of‑interest controls to protect the integrity of third‑party conformity assessment.
- Guide auditors and technical experts on required skills, audit planning, multi‑site sampling and audit time determination.
- Support accreditation assessments by national accreditation bodies when evaluating certification bodies.
Who should use this standard
- Certification bodies providing third‑party audit and certification of management systems
- Accreditation bodies assessing certification organizations
- Auditors, technical experts and consultants working in conformity assessment
- Organizations seeking certification to management system standards
Related standards
- ISO 9001 (management system requirements) - referenced as an option for a certification body’s own management system.
- Other parts of the ISO/IEC 17021 series and national accreditation requirements (for broader conformity assessment context).
Keywords: ISO/IEC 17021-1:2015, management system certification, certification bodies, audit and certification, third-party conformity assessment, impartiality, competence, risk-based approach.
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