The objective of this Standard is to specify requirements and provides guidance for certification bodies providing audit and certification of an SMS in accordance with AS/NZS ISO/IEC 20000.1. This Standard does not change the requirements specified in AS/NZS ISO/IEC 20000.1.
Table of contents
Header
About this publication
Preface
Foreword
Introduction
1 Scope
2 Normative references
3 Terms and definitions
4 Principles
5 General requirements
5.1 Legal and contractual matters
5.2 Management of impartiality
5.2.1
5.3 Liability and financing
6 Structural requirements
7 Resource requirements
7.1 Competence of personnel
7.1.1 General considerations
7.1.2 Determination of competence criteria
7.1.2.1
7.1.3 Evaluation processes
7.1.4 Other considerations
7.2 Personnel involved in certification activities
7.2.1
7.3 Use of individual external auditors and external technical experts
7.4 Personnel records
7.5 Outsourcing
8 Information requirements
8.1 Public information
8.2 Certification documents
8.2.1
8.3 Reference to certification and use of marks
8.4 Confidentiality
8.4.1
8.5 Information exchange between a certification body and its clients
9 Process requirements
9.1 Pre-certification activities
9.1.1 Application
9.1.2 Application review
9.1.2.1
9.1.3 Audit programme
9.1.4 Determining audit time
9.1.4.1
9.1.4.2
9.1.4.3
9.1.4.4
9.1.4.5
9.1.5 Multi-site sampling
9.1.5.1
9.1.6 Multiple management systems standards
9.2 Planning audits
9.2.1 Determining audit objectives, scope and criteria
9.2.1.1
9.2.2 Audit team selection and assignments
9.2.3 Audit plan
9.2.3.1
9.3 Initial certification
9.3.1
9.3.2
9.4 Conducting audits
9.4.1 General
9.4.2 Conducting the opening meeting
9.4.3 Communication during the audit
9.4.4 Obtaining and verifying information
9.4.5 Identifying and recording audit findings
9.4.6 Preparing audit conclusions
9.4.7 Conducting the closing meeting
9.4.8 Audit report
9.4.8.1
9.4.9 Cause analysis of nonconformities
9.4.10 Effectiveness of corrections and corrective actions
9.5 Certification decision
9.6 Maintaining certification
9.7 Appeals
9.8 Complaints
9.9 Client records
9.10 Management system requirements for certification bodies
