competency requirements for auditors and certification ... · pdf file17021:2011 section...

In the interest of readability, this document principally uses the masculine form for function descriptions; the

feminine form is tacitly implied.

1 of 21

Competency Requirements for Auditors and Certification Personnel

of Quality Management Systems ISO 9001 (QMS) and Environmen-

tal Management Systems ISO 14001 (EMS)

71 SD 6 025| Revision: 1.1 | 20 February 2013

Applicability:

The requirements of this technical note are binding for accredited certification bodies for Quality

Management Systems DIN EN ISO 9001:2008 (QMS) and Environmental Management Systems DIN

EN ISO 14001:2009 (EMS) and pertain to the competence scheme for classifying auditors and certifi-

cation personnel.

Transitional regulation: This document (Revision 1.1) is valid from 01/04/2013.

Date of confirmation by the Accreditation Advisory Board: 30/01/2014

Competency Requirements for QMS and EMS Auditors

71 SD 6 025 | Revision: 1.1 | 20 February 2013 2 of 21

Table of contents

1 Purpose/scope ................................................................................................................. 3

2 Terms and definitions ....................................................................................................... 4

3 Description of competence requirements .......................................................................... 6

3.1 General notes ............................................................................................................................. 6

3.2 Criteria and requirements for QMS auditors ............................................................................. 7

3.3 QMS - business segments and technical areas ........................................................................... 9

3.4 Criteria and requirements for EMS auditors ............................................................................ 12

3.5 EMS - risk classes and technical areas ...................................................................................... 13

3.5.1 Alternative method ..................................................................................................... 15

3.5.2 Risk classes and technical areas .................................................................................. 16

3.6 Requirements for certification staff and technical experts ...................................................... 18

3.6.1 Certification personnel ................................................................................................ 18

3.6.2 Technical experts ......................................................................................................... 18

4 Other applicable standards, technical regulations and documents ................................... 19

ANNEX 1: Certification standards, supplementary accreditation rules .......................................... 20



1 Purpose/scope

The requirements of this technical note apply to accredited certification bodies for Quality Man-

agement Systems DIN EN ISO 9001:2008 (QMS) and Environmental Management Systems DIN

EN ISO 14001:2009 (EMS). All other management system standards (e.g. EN 9100, DIN EN ISO

50001, DIN EN ISO 22000, etc.) are subject to their own requirement standards (e.g. EN 9104,

ISO/TS 22003) or DAkkS documents.

The requirements of this document apply exclusively to the competence scheme for the classi-

fication of auditors and certification personnel.

The scope of accreditation is illustrated in the appendix of the accreditation certificate in 39

IAF/EA sectors. To be accredited in an industry or several industry sectors, the certification body

must first apply for these using the designated DAkkS forms. In the context of an assessment, the

DAkkS checks whether the certification body is sufficiently competent for the requested sec-

tor(s) and whether this competence can be maintained over the 5-year period of accreditation

(annual surveillance).

The most important changes to this rule pertain to:

Reformulation of prior QMS industry groups in business sectors with technical areas,

while keeping IAF/EA scopes 1-39;

Change of the qualification profile to fulfil the QMS competency requirements in certain

technical areas or business areas;

Reformulation of prior EMS industry groups in risk classes with technical areas, while

keeping the IAF/EA scopes 1-39;

Change of the qualifications profile to fulfil the EMS competency requirements in certain

technical areas or business areas;

A deviating competence scheme is permissible if the certification body can demonstrate to the

DAkkS the equivalence of the process and the resulting competencies. The DAkkS reserves the

right to verify the equivalence of the process through selected witness audits.



2 Terms and definitions

Scope of accreditation: An accreditation for a certification body for quality or environmental

management systems is divided into 39 IAF industry sectors (-> scopes). The question of

whether a certification body is allowed to conduct business in one, several or all sectors de-

pends on how many of the sectors have been applied for and confirmed by the DAkkS after

an assessment (witness audit or documentation review).

Technical field (see DIN EN ISO/IEC 17021:2011 - Section 3.10.): “Area which is characterised

by similarities of processes that are relevant for a certain type of management system.” A

“technical area” is equated to one of the 39 IAF sectors in this rule.

Technical field QMS (see DIN EN ISO/IEC 17021:2011 - Section 7.1.2 Definition of competence

criteria - remarks): “In the case of a quality management system standard, the term “technical

field” pertains to the processes necessary to meet customer expectations and the applicable

statutory and regulatory requirements for products and services of the organisation.”

Technical field EMS (see DIN EN ISO/IEC 17021:2011 - Section 7.1.2 Definition of compe-

tence criteria - remarks): “In the case of an environmental management system standard,

the term “technical field” pertains to the types of activities, products and services relating

to environmental factors that impact the air, water, ground, natural resources, flora,

fauna and humans.”

Business segment (see table A.1 of DIN EN ISO/IEC 17021:2011): for this term, the standard

does not provide a definition, while at the same time Annex A presupposes know-how

amongst all relevant certification participants (application auditor, reviewer, auditor, audit

manager) about the business segment. In terms of this rule, a business segment combines

several technical areas based on similar, related manufacturing/service processes.

Sensitive area QMS: A business field with usually only one technical area, which, due to a

high process- and/or product risk, makes particular demands on the qualifications and com-

petence of auditors and other certification participants.

Tertiary vocational training: Completion of a university degree (or master), university of ap-

plied sciences (or bachelor) or technician training or equivalent training (equivalent to levels

6, 7 or 8 of the European/national qualification framework)



Secondary vocational training: Completion of recognised vocational training/apprenticeship

or equivalent training (equivalent to levels 4 or 5 of the European/national qualification

framework).

Risk class EMS: A risk class comprises IAF industries and technical areas with similar envi-

ronmental impacts and hazard potentials in terms of substances and/or quantitatively;

risk classes 1 and 2 are generally subject to complex environmental permits and insurance

requirements. This document defines five EMS risk classes. Risk classes do not correspond

to the previous industry groups and related industries.

Complexity category EMS: A complexity category comprises industries with similar types,

quantities and severities of environmental issues. IAF document MD5 uses five complexity

categories as a foundation to determine the audit time. The complexity category from IAF

MD5 corresponds to the risk class in this document.

Scheme owner/standard owner: A private or state organisation who creates and main-

tains a certification standard.



3 Description of competence requirements

3.1 General notes

ISO/IEC 17021:2011 demands that the competence for each technical area and for each func-

tion of the certification activity is defined (see Section 7.1.1). The competence must be as-

sessed using documented processes (see Section 7.1.3) and include a formal authorisation.

Appointing auditors, experts, reviewers and certifiers based on proof of qualification (educa-

tion, professional and industry experience, MS knowledge, training) alone is no longer suffi-

cient. The appointment system of the certification body must be supplemented by compe-

tence criteria, i.e. knowledge and skills in methodological, organisational and technical areas

in accordance with Annex A.1 of ISO/IEC 17021:2011.

It is the responsibility of the certification body to determine the competence criteria for

each type of management system, each technical area and each function in the certification

process, and to document the required knowledge and skills. The criteria must be defined in

a manner that is comprehensible and verifiable.

Auditors may be appointed for a maximum of three years, after which time this must be

renewed.

The certification body must provide evidence of the appointment and classification of au-

ditors analogous to the rules for archiving certification documents according to ISO/IEC

17021:2011 Section 9.9.4, i.e. at a minimum for the current and prior certification period.

A confirmation of professional competence by recognised scheme owners (e.g. IATF, HDE,

TAPA) on the basis of legal regulations (UAG, EfbV, TEHG) or via testing by a professional asso-

ciation, is recognised for the respective technical areas. Quality and environmental auditors

who are certified by an accredited body are recognised in terms of the general requirements

(see the list below), the certification body must then still determine their competence for the

technical fields.



3.2 Criteria and requirements for QMS auditors

Criteria Requirements

Training and experience Secondary vocational education and 5 years of professional experience; or

tertiary vocational training and 4 years of professional experience - of

which at least 2 years in quality management/quality assurance.

Auditor training QMS auditor training (min. 40 lessons, of which 16 lessons on auditing

techniques and 24 lessons on DIN EN ISO 9001 with the requirements of

the standard). If comparable (in terms of hours and content) auditor train-

ing for a different management system can be demonstrated, training

with 24 lessons on standard DIN EN ISO 9001 suffices.

Auditor experience Trainee participation in at least four audits of min. 20 days, of which 11

days on site; one audit of which under supervision and review of an expe-

rienced audit manager. If QMS is a secondary (additional) certification

area, at least three audits of min. 15 days, of which at least eight audit

days are on site, will suffice.

Lead auditor Participation in at least three audits in the role of active lead auditor at

(certification, reassessment or surveillance audit) with at least 15 days, of

which eight on site under the supervision of an experienced lead auditor;

one of these audits must include a full assessment by a lead auditor.

The qualification as lead auditor is independent of the certification stand-

ard.

Continuity of appointment Participation in two audits during the appointment period (max.

three years) and

Participation in an exchange of experience within 12 months

(max. three months tolerance by the key date) and

Performance of one monitoring audit within 36 months.

Exchange of knowledge Audits and information exchanges of other accredited certifiers may be

recognised to upkeep the appointment. However, at least one participa-

tion in an exchange of knowledge with the appointing certification body

must be demonstrated within the appointment period of three years.

Competence for a technical

area

For the first technical area (basic skill), two years of professional experi-

ence (full-time) must be demonstrated. This area must also be covered by

the vocational training.




Competence for further tech-

nical areas within a business

segment.

Prerequisites for each additional technical field within a business seg-

ment:

Participation in ten audits in the technical field

or one year of practical experience in developing, manufacturing

and/or testing products, production facilities in the technical field

or as an external advisor with these tasks

or proof of approval as an evaluator or advisor in the technical

field

and determination / proof of competence based on an expert

discussion or observation of an audit execution (monitoring) by a

specialist or specialist auditor of the certification body.

This determination does not apply to sensitive business / technical

fields.

Competence in an additional

business segment

Supplementary training or education or practice and additional

professional experience of at least two years in conjunction with

at least five audits in one or more technical fields in each busi-

ness segment or

Additional training with a state-recognised degree and at least

one year of professional experience and two audits in one or

more technical fields of the relevant business segment.

This determination does not apply to sensitive business / technical

fields.



3.3 QMS - business segments and technical areas

One or more technical fields are assigned to a business segment. Technical areas generally corre-

spond to an IAF industry. In some cases, two IAF industries are assigned to one technical area (e.g.

IAF 04 textiles and textile products + 05 IAF leather industry). However, an IAF industry may also be

separated into several technical areas (e.g. IAF 38).

Business segment 1: Agriculture, hospitality

01 Agriculture and forestry, fisheries and fish farming Note: Auditor appointments in special standards ISO 22000 IFS, BRC, PEFC, FSC, etc. are consid-ered proof of skills and knowledge.

30 Hospitality

Business segment 2: Manufacturing

04 + 05 Textiles and textile products, leather products Note: IAF 19 – see also notes

regarding business segment 12 - medical product manufacturer

06 Woodworking

07 Paper industry

08 Publishing industry

09 Printing and reproduction of recorded media

10 Coking plant and petroleum processing

12 Chemical industry

14 Manufacture of rubber and plastic products

15 Glass industry, ceramics, processing of rocks and earth

16 Manufacture of cement, lime, plaster and concrete products, lime and plaster

17.1 Metal manufacture

17.2 + 18

Metalworking, manufacture of metal products, mechanical engi-neering

19 Manufacture of office machinery and IT equipment and devices, electrical engineering, precision mechanics, optical equipment

20 Shipbuilding

22 Other vehicle manufacture (motor vehicles, rail vehicles, motor-cycles, bicycles)

23 Manufacture of furniture, jewellery, musical instruments, sports equipment, toys and other products

29.2 Maintenance and repair of motor vehicles and household goods

Business segment 3: Construction sector

02 Mining industry and mining of rocks and earth

28 Construction industry

34.2 Architecture and engineering offices

Business segment 4: Supply/disposal, recovery, recycling

24 Recovery, recycling

25 Electrical power supply

26 Gas supply

27 Water supply, district heating



Business segment 5: Services

29.1 Trade Note: A specialist auditor may audit trade activities (IAF 29.1) within his approved business segments/technical areas.

31.1 Transport

31.2. 33

Communication, data processing, information technology

32 Real estate and housing, credit and insurance industry, renting of mobile goods (without operator)

34.1 Research and development

35 Rendering services for companies

36 Public administration, defence, social security

39 Introduction of other public and personal services

Business segment 6: Education and training

37

Training and education, social work without shelters Note: Auditor appointments

for AZWV/AZAV certifications are considered proof of compe-tence.

Business segment 7: Food industry and tobacco processing (sensitive area)

03 Food industry and tobacco processing Note: Auditor appointments in special standards ISO 22000 IFS, BRC are considered proof of competence. Expanding the competence into one/several technical fields of business segment 1 according to the rules “Within one busi-ness segment” is possible.

Business segment 8: Manufacture and processing of nuclear fuel (sensitive area)

11 Manufacture and processing of nuclear fuel

Business segment 9: Manufacture of pharmaceutical products (sensitive area)

13 Manufacture of pharmaceutical products According to the Pharmacy Operating Regulations, proper phar-macy operations include flawless development, manufacture, test-ing, storage, packaging and dispensing of drugs.

Note: Expanding the competence into one/several technical fields of business segment 2 according to the rules “Within one busi-ness segment” is possible.



Business segment 10: Aerospace industry (sensitive area)

21 Aerospace industry Note: Authenticated auditor for EN 9100 can be used for ISO 9001 audits in IAF 21 (regard-less of lead- or co-auditor). Ex-panding the competence into one/several technical fields of business segment 2 according to the rules “Within one busi-ness segment” is possible.

Business segment 11: Health and veterinary services, social services (sensitive areas)

38.1 38.2 38.3

Health and veterinary services Care

Note: Competence 38.1 con-tains 38.3 and disability and care facilities; the competence for each area must be suffi-ciently demonstrated; expan-sions within the business seg-ment are subject to limitations (e.g. 38.1 -> 38.3 OK; 38.3 -> 38.2 not OK).

Business segment 12: Medical devices (sensitive area)

19 Active medical devices, active implantable medical devices, im-plantable medical devices and sterilisation of medical devices

Note: Expanding the compe-tence into one/several technical fields of business segment 2 ac-cording to the rules “Within one business segment” is possi-ble. .



3.4 Criteria and requirements for EMS auditors


Training and experience Secondary vocational training and five years of professional experience; or ter-

tiary vocational training and four years of professional experience – of which

two years related to environmental protection ISO 14001 in each case, or full-

time job in corporate environmental protection.

Proof of professional competence is to be considered principally in considera-

tion of the overall qualification. The expertise must be sufficient to assess the

technological/legal peculiarities/requirements can.

Auditor training EMS Auditor Training (min. 40 lessons, of which 16 lessons on auditing tech-

niques and 24 lessons on DIN EN ISO 14001 with the requirements of the

standard). If comparable (in terms of hours and content) auditor training for

a different management system can be demonstrated, training with 24 les-

sons on standard DIN EN ISO 14001 suffices.

Auditor experience Trainee participation in at least four audits of min. 20 days, of which 11 days

on site; one audit of which under supervision and review of an experienced

audit manager. If EMS is a secondary (additional) certification area, at least

three audits of min. 15 days, of which at least eight audit days are on site,

will suffice.

Lead auditor Same as QMS audit leader The qualification as an audit leader does not depend

on the certification standard, i.e. once acquired it applies to both (and other

standards).

Continuity of ap-

pointment

Participation in two audits during the appointment period (max. three

years) and

Participation in an exchange of experience within 12 months (max. three

months tolerance to the key date) and

Performance of one monitoring audit within 36 months.

Exchange of knowledge Audits and information exchanges of other accredited certifiers may be recog-

nised for initial assignments, scope expansions and to maintain the assign-

ment. Within the assignment period of three years, at least one participation

in an exchange of knowledge of the appointing certification authority must be

demonstrated.

Particularities Expertise about environmental requirements in a country outside the regular

area of deployment (the country in which the training and professional experi-

ence was obtained) can generally only be gained through the support of a local

technical expert for environmental issues. Attainment of other, equivalent

competence must be proven on a case by case basis.



3.5 EMS – risk classes and technical areas

The appointment/approval for one or more risk classes depends on the training type and scope of

practical professional experience. Risk classes 1 and 2 (high classes) have extensive requirements on

environmental training and professional experience.

Specialist teacher training or on-the-job training of an environmental auditor pertains exclusively to

the issues regarding corporate environmental protection (technical and legal aspects). This must

meet the environmental aspects of the respective technical area (emission control, soil and water

protection, energy and resource efficiency, waste water treatment, handling of hazardous materi-

als/dangerous goods, recycling, waste management, nature conservation).

In principle, expanding to additional technical areas is always possible if the auditor is already ap-

pointed to a technical area of a similar or higher-order risk class.

Auditors with environmental studies (university / college, e.g. environmental process engi-neering)

Risk class First technical field Expansion into additional technical areas

1 4 years professional experience 4 years professional experience

2 1 year professional experience 3 EM audits and one technical discussion/technical monitoring

3 1 year professional experience 3 EM audits

4 No further requirements No further requirements


Examples *) 1. Dipl.-Ing. environmental process engineering with 4 years of experience in power generation (coal-based) and 3 audits in the construction industry: Approved for all industries risk classes 4 and 5 as well as industry IAF 25 in risk class 2 and IAF 28 in risk class 3.

2. Dipl.-Ing. (FH) energy and heat engineering with 5 years of experience in the recy-cling industry: Approved for all industries in risk classes 4 and 5 as well as IAF indus-try 24 in risk class 3 (3 audits each must be demonstrated for other industries in risk class 3)

3. Dipl. chemist, 10 years of professional experience in Federal Immission Control Act (BImSchG § 26) monitoring station in chemical, metal and cement production indus-try: Approved for all industries of risk classes 4 and 5, licensed for industries 12, 16 and 17 with proof of knowledge about legal and technical aspects of corporate envi-ronmental protection.

*) these examples are intended for information only



Auditor with technical or natural science studies / training


1 4 years of professional experience 4 years of professional experience

2 2 years of professional experience and specialist training

1 year of professional experience and 1 technical discussion/technical monitoring; alternatively: 10 EM audits and 1 technical discussion/technical monitoring

3 1 year of professional experience and subject-specific on-the-job training or further education

5 EM audits and 1 technical discussion/technical monitoring



Examples *) 1. Dipl. geologist, 5 years of professional experience in recycling companies; 2 years in the construction industry; 5 years evaluator for environmental certificates (pollu-tant issues groundwater/soil, etc. for leather/textile industry, woodworking indus-try): Approved for all industries of risk classes 4 and 5, IAF industry 24 risk class 3 and IAF industry 28 of risk class 2, IAF industries 4 and 5 of risk classes 2 and 3 and IAF industry 6 of the risk class 3.

2. Dipl. chemist, 10 years of professional experience in Federal Immission Control Act (BImSchG § 26) monitoring station in chemical, metal and cement production in-dustry: Approved for all IAF industries of risk classes 4 and 5, licensed for IAF indus-tries 12, 16 and 17 of risk class 2 with proof of knowledge on legal and technical as-pects of corporate environmental protection.


Auditor with other non-technical/science education


1 Not possible Not possible

2 Not possible Not possible

3 Two years of professional experi-ence and specialist training

1 year of professional experience and 1 technical discussion/technical monitoring; alternatively: 10 EM audits and 1 technical discus-sion/technical monitoring

4 One year of professional experi-ence and specialist training

Five EM audits and one technical discussion/tech-nical monitoring



Auditor with other non-technical/science education


Examples *) 1. Dipl. in business administration, 10 years of professional experience in logistics companies, trained hazardous materials officer: Approved for all industries of risk class 5 and IAF industry 31

2. Painter, 5 years of professional experience in vehicle repairs: Approved for all in-dustries of risk class 5 and IAF industry 29.2 and 17.2 with proof of knowledge about legal and technical aspects of corporate environmental protection.

3. Solicitor, 5 years of professional experience in environmental approval procedures (Federal Immission Control Act (BImSchG), planning permission etc. for): Approved for all industries of risk class 5 and industries of risk class 3 and 4 with proof of knowledge about legal and technical aspects of corporate environmental protec-tion.


3.5.1 Alternative method

If a certification body has assessed and classified the certified organisations and/or the technical ar-

eas by relevance (limited/low/medium/high/special) of the media-related areas pollution control,

water/soil protection, waste, energy, hazardous substances/goods, then auditors can also be granted

authorisation to audit the relevant organisation and/or the relevant technical area if they are classi-

fied at the same level or higher in the relevant media-related areas.

Example: Foundry company, 500 employees, 3 cupola furnaces

Environmental significance: Auditor A (“wastewater specialist”)

Auditor B (“all-rounder”)

Immission control: high Water protection: medium Waste: medium Energy: high Hazardous substances: me-dium …….

Immission control: medium Water protection: high Waste: medium Energy: low Hazardous substances: me-dium …….

Immission control: medium Water protection: medium Waste: medium Energy: medium Hazardous substances: me-dium …….

Deployment: no Deployment: no



3.5.2 Risk classes and technical areas

Risk class - RC (EMS complexity)

IAF indus-try

Technical areas

RC 1 (high) 11 Nuclear plants incl. supply and disposal, research

25 Power generation by nuclear energy

RC 2 (high) 2 Mining industry and mining of rocks and earth

10 Oil and gas extraction

4 + 5 Dyeing of textiles and clothing, tanning of leather

7 Pulp production in paper production incl. paper recycling

10 + 12 + 13

Oil refining, coking plants, chemicals and pharmaceuticals

17 Primary products - metals

15 + 16 Products and processing of non-metallic materials incl. ce-ramics and cement

25 Coal-based electricity generation

28 Construction or demolition

24 + 39 Waste treatment incl. special waste, e.g. by combustion etc.; wastewater (municipal and industrial sewage)

RC 3 (medium) 1 Fisheries/agriculture/forestry

4 + 5 Textiles and clothing, except tanning

6 Manufacture of boards, treatment/impregnation of wood and wood products

7 + 9 Papermaking and printing (intaglio printing), except pulp pro-duction

15 + 16 Processing and manufacture of non-metallic materials, incl. glass, clay, limestone, etc.

17 + 18 + 19

20 + 21 + 22

Surface treatment or other chemical treatment of metal products, except primary products.

Surface treatment or other chemical treatment for general mechanical engineering.

Manufacture of bare printed circuit boards for the electronics industry.

Manufacture of electronic circuits/components

Manufacture of transport equipment - road, rail, air, water.




IAF indus-try

Technical areas

25 Non-coal-based electricity generation and electricity distribu-tion.

26 + 27 Gas production, storage and distribution.

Water extraction, cleaning, distribution incl. flow management.

29 + 10 Wholesale and retail with fossil fuels

3 Food and tobacco processing

31 Transport and distribution by water, air and land

35 Commercial real estate brokerage, hygiene cleaning, chemi-cal cleaning

24 Recycling, composting, depot operation

34 Technical testing and laboratories

38 Healthcare/hospitals/veterinary

RC 4 (low) 30 Hospitality

6 Wood and wood products excluding manufacturing of boards and treatment and impregnation of wood

7 + 9 Paper products other than intaglio and paper production

14 Rubber and plastic injection, moulds and assembly – except for the manufacture of rubber and plastic materials; this falls under chemicals.

17 + 19 Hot and cold forming, metal fabrication excluding surface treat-ment and other chemical-based treatments and primary pro-duction.

Assembly of electrical and electronic equipment except manu-facture of PCBs.

18 General assembly work in mechanical engineering except surface treatment and other chemical-based treatments.

23 Manufacture of furniture, jewellery, musical instruments, sports equipment, toys and other products.

29.2 Repair and maintenance of motor vehicles

29.1 Wholesale and retail

RC 5 (limited) 8 Publishing.

35 Administrative functions and management, head office and management of holding companies

34 Research and development, engineering and architectural firms




IAF indus-try

Technical areas

39 Other services.

31 Transport and distribution – management services without managing a vehicle fleet

31.2 33

Communication Telecommunications and data processing

35 General services (except: commercial real estate brokerage, real estate management, industrial cleaning, hygiene cleaning, chemical cleaning)

37 Education and training

36 Public administration, local authorities

32 Financial institutions

3.6 Requirements for certification staff and technical experts

3.6.1 Certification personnel

The independent certification decision must be made by competent personnel with knowledge about

the particular QMS or EMS standard and the respective QMS division or the respective EMS risk class.

The application review (determining the required competence of the audit team and audit duration)

for certifications must be undertaken by suitably competent staff (QMS and EMS). In the case of EMS

risk class 1, an auditor for this field must partake in the application review.

3.6.2 Technical experts

Technical experts must meet the requirements of the respective technical areas / business segments

and must be instructed in the audit regulations of the certification body. Technical experts accom-

pany the audit and assist the auditors/audit team in technical and environmental law matters. Tech-

nical experts are not allowed to audit independently and cannot be part of the formulation for the

required audit time.



4 Other applicable standards, technical regulations and documents

DIN EN ISO/IEC 17021:2011 Conformity assessment – Requirements for providing audit and

certification of management systems

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

After publication: ISO/IEC TS 17021-3:201x Conformity assessment – Requirements for bodies

providing audit and certification of management systems – Part 3: Competence requirements

for auditing and certification of quality management systems

IAF ID1:2010 - QMS Scopes of Accreditation (informative Document)

IAF MD10:2013 – Assessment of Certification Body Management of Competence in Accordance

with ISO/IEC 17021:2011



ANNEX 1: Certification standards, supplementary accreditation rules

No. Certification standard(s) based on ISO/IEC 17021:2011

Supplementary accreditation stand-ard/DAkkS rules

Applicability accreditation

01 QMS – General QMS - ISO 9001 DAkkS 71 SD 6 025 39 scopes (IAF)

02 QMS - Aviation - DIN EN 9100 DIN EN 9104 ff or -1/-2/-3 No scopes

03 QMS - Aviation - DIN EN 9110 DIN EN 9104 No scope

04 QMS - Aviation - DIN EN 9120 DIN EN 9104 No scopes

05 QMS - Manufacturer of primary packaging materials for drugs - ISO 15378

DAkkS 71 SD 6 025 No scopes

06 QMS - Manufacturer of medical devices - ISO 13485 DAkkS 71 SD 3 016 DAkkS 71 SD 3 019 DAkkS 71 SD 3 020 DAkkS 71 SD 3 021 DAkkS 71 SD 3 022

No scopes

07 EMS – Environment - ISO 14001 DAkkS 71 SD 6 025 39 scopes (IAF)

08 EMS – Energy - ISO 50001 DAkkS 71 SD 6 022 Sector A+B

09 ASM – Occupational safety - BS OHSAS 18001 DAkkS 71 SD 6 027 No scopes

10 LSMS – Food safety - ISO 22000 ISO/TS 22003 13 categories according to ISO/TS 22003

11 FSSC 22000 – Food safety supplier ISO/TS 22003 / FSSC-rules 5 categories

12 QMS - Manufacture of food packaging - ISO 15593 ISO/TS 22003 No scopes

13 HACCP - Codex Alimentarius Commission CAC/RCP1-1969, Rev. 4-2003

No scopes

14 IT-SM – IT-Service - ISO 20000 ISO / IEC 27006 No scopes

15 Information security - ISO 27001 ISO/IEC 27006 No scopes

16 ISMS - ISO 27001 – Automotive ISO/IEC 27006 with the framework requirements for product safety in the German automotive industry (prototype protection)

No scopes

17 SCC- Occupational safety of implementation contrac-tors

SCC – Policy 2011 of DGMK No scopes

18 SCP – Occupational safety of personnel service pro-vider

SCC – Policy 2011 of DGMK No scopes

19 Supply Chain Security - ISO 28000 ISO 28003 No scopes



No. Certification standard(s) based on ISO/IEC 17021:2011

Supplementary accreditation stand-ard/DAkkS rules

Applicability accreditation

20 QMS - Manufacturer/service organisations for petro-leum, petrochemical and natural gas industries - ISO 29001

DAkkS 71 SD 6 0XX No scopes

21 Learning services for training and further education - Basic requirements for service providers - DIN ISO 29990

DAkkS 71 SD 6 0XX No scopes

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