Foreword
Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Principles for third-party certification bodies
4.1 General
4.2 Impartiality
4.3 Competence
4.4 Responsibility
4.5 Openness
4.6 Confidentiality
4.7 Resolution of complaints
5 General requirements for management system certification
bodies
5.1 Legal and contractual matters
5.1.1 Legal responsibility
5.1.2 Certification agreement
5.1.3 Responsibility for certification decisions
5.2 Management of Impartiality
5.3 Liability and financing
6 Structural requirements for management system certification
bodies
6.1 Organizational structure and top management
6.2 Committee for safeguarding impartiality
7 Human resource requirements for management system certification
bodies
7.1 Competence of management and personnel
7.2 Personnel involved in the certification process
7.3 Use of individual external auditors and external technical
experts
7.4 Personnel records
7.5 Outsourcing
8 Information requirements for management system certification
bodies
8.1 Publicly accessible information
8.2 Certification documents
8.3 Directory of certified clients
8.4 Reference to certification and use of marks
8.5 Confidentiality
8.6 Information exchange between a certification body and its
clients
8.6.1 Information on the certification process and
requirements
8.6.2 Notice of changes by a certification body
8.6.3 Notice of changes by a client
9 Process requirements for management system certification bodies
9.1 General requirements applicable to any audit
9.2 Initial audit and certification
9.2.1 Application
9.2.2 Application review
9.2.3 Initial certification audit
9.2.4 Initial certification audit reports
9.2.5 Post-audit activities
9.2.6 Initial certification decision granting or
extending certification
9.3 Surveillance activities
9.3.1 Surveillance
9.3.2 Surveillance audit
9.3.2 Surveillance audit report
9.3.4 Maintaining certification
9.4 Recertification
9.4.1 Recertification cycle
9.4.2 Recertification audit plan
9.4.3 Recertification audit
9.4.4 Recertification audit report
9.4.5 Recertification decision
9.5 Special audits
9.6 Suspending, withdrawing or reducing scope of certification
9.7 Appeals
9.8 Complaints
9.9 Records on certified clients
10 Management system requirements for management system
certification bodies
10.1 General
10.2 Quality manual
10.3 Customer focus
10.4 Management review
10.5 Design and development
Annex A (normative) Stage 1 audit
Annex B (normative) Stage 2 audit
Annex C (informative) Auditor independence, impartiality and
conflict of interest
C.1 Scope
C.2 Structure
C.3 Threats to auditor independence
C.4 Safeguards to auditor independence
C.5 Assessing the level of independence risk
C.6 Determining the acceptability of the level
of independence risk
C.7 Auditor independence - Organisational and
structural issues
Annex D (normative) Correspondence between ISO 9001 and
ISO/IEC 17021
Bibliography