SIST EN ISO/IEC 17021-2:2019

SLOVENSKI STANDARD
oSIST prEN ISO/IEC 17021-2:2018
01-september-2018
Ugotavljanje skladnosti - Zahteve za organe, ki presojajo in certificirajo sisteme
vodenja - 2. del: Zahteve za usposobljenost za presojanje in certificiranje sistemov
ravnanja z okoljem (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 (ISO/IEC 17021-2:2016)
Konformitätsbewertung - Anforderungen an Stellen, die Managementsysteme auditieren
und zertifizieren - Teil 2: Anforderungen an die Kompetenz für die Auditierung und
Zertifizierung von Umweltmanagementsystemen (ISO/IEC 17021-2:2016)
Évaluation de la conformité - Exigences pour les organismes procédant à l'audit et à la
certification des systèmes de management - Partie 2: Exigences de compétence pour
l'audit et la certification des systèmes de management environnemental (ISO/IEC 17021-
2:2016)
Ta slovenski standard je istoveten z: prEN ISO/IEC 17021-2
ICS:
03.100.70 Sistemi vodenja Management systems
03.120.20 Certificiranje proizvodov in Product and company
podjetij. Ugotavljanje certification. Conformity
skladnosti assessment
13.020.10 Ravnanje z okoljem Environmental management
oSIST prEN ISO/IEC 17021-2:2018 en
2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.

---------------------- Page: 1 ----------------------
oSIST prEN ISO/IEC 17021-2:2018

---------------------- Page: 2 ----------------------
oSIST prEN ISO/IEC 17021-2:2018
INTERNATIONAL ISO/IEC
STANDARD 17021-2
First edition
2016-12-01
Conformity assessment —
Requirements for bodies providing
audit and certification of management
systems —
Part 2:
Competence requirements for
auditing and certification of
environmental management systems
Évaluation de la conformité — Exigences pour les organismes
procédant à l’audit et à la certification des systèmes de
management —
Partie 2: Exigences de compétence pour l’audit et la certification des
systèmes de management environnemental
Reference number
ISO/IEC 17021-2:2016(E)
©
ISO/IEC 2016

---------------------- Page: 3 ----------------------
oSIST prEN ISO/IEC 17021-2:2018
ISO/IEC 17021-2:2016(E)

COPYRIGHT PROTECTED DOCUMENT
© ISO/IEC 2016, Published in Switzerland
All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form
or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior
written permission. Permission can be requested from either ISO at the address below or ISO’s member body in the country of
the requester.
ISO copyright office
Ch. de Blandonnet 8 • CP 401
CH-1214 Vernier, Geneva, Switzerland
Tel. +41 22 749 01 11
Fax +41 22 749 09 47
copyright@iso.org
www.iso.org
ii © ISO/IEC 2016 – All rights reserved

---------------------- Page: 4 ----------------------
oSIST prEN ISO/IEC 17021-2:2018
ISO/IEC 17021-2:2016(E)

Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Generic competence requirements . 1
5 Competence requirements for EMS auditors . 2
5.1 General . 2
5.2 Environmental terminology . 2
5.3 Environmental metrics . 2
5.4 Environmental monitoring and measuring techniques . 2
5.5 Environmental aspects and impacts . 2
5.6 Life cycle perspective . 2
5.7 Environmental performance evaluation . 2
5.8 Compliance obligations . 2
5.9 Emergency preparedness and response . 3
5.10 Operational control . 3
5.11 Factors related to site . 3
5.12 Scope . 3
5.13 Communicated information . 3
5.14 Context of the organization . 3
5.15 Risks and opportunities . 3
6 Aspect-specific competence requirements for EMS auditing . 4
6.1 General . 4
6.2 Emissions to air . 4
6.2.1 General. 4
6.2.2 Gases, aerosols and particulate matter . 4
6.2.3 Operational control. 4
6.2.4 Monitoring and measurement . 4
6.3 Releases to land . 4
6.3.1 General. 4
6.3.2 Liquid or solid releases . 4
6.3.3 Operational control. 5
6.3.4 Monitoring and measurement . 5
6.4 Releases to water . 5
6.4.1 General. 5
6.4.2 Surface and ground water . 5
6.4.3 Operational control. 5
6.4.4 Monitoring and measurement . 5
6.5 Uses of raw materials, energy and natural resources . 5
6.5.1 Upstream management . 5
6.5.2 Downstream management . 6
6.5.3 Operational control. 6
6.5.4 Monitoring and measurement . 6
6.6 Energy emitted . 6
6.6.1 Sources of energy emissions. 6
6.6.2 Operational control. 6
6.6.3 Monitoring and measurement . 6
6.7 Waste . 6
6.7.1 Sources of waste . 6
6.7.2 Operational control. 6
6.7.3 Monitoring and measurement . 7
© ISO/IEC 2016 – All rights reserved iii

---------------------- Page: 5 ----------------------
oSIST prEN ISO/IEC 17021-2:2018
ISO/IEC 17021-2:2016(E)

6.8 Use of space . 7
6.8.1 Physical attributes . 7
6.8.2 Operational control. 7
6.8.3 Monitoring and measurement . 7
7 Competence requirements for other personnel . 7
7.1 General . 7
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
7.2.1 Environmental terminology . 7
7.2.2 Environmental aspects and impacts . 7
7.2.3 Factors related to site . 7
7.2.4 Scope . 7
7.3 Competence of personnel reviewing audit reports and making certification decisions. 8
7.3.1 Environmental terminology . 8
7.3.2 Environmental aspects and impacts . 8
7.3.3 Environmental performance evaluation . 8
7.3.4 Compliance obligations . 8
7.3.5 Scope . 8
Annex A (informative) Knowledge for EMS auditing and certification . 9
Bibliography .11
iv © ISO/IEC 2016 – All rights reserved

---------------------- Page: 6 ----------------------
oSIST prEN ISO/IEC 17021-2:2018
ISO/IEC 17021-2:2016(E)

Foreword
ISO (the International Organization for Standardization) and IEC (the International Electrotechnical
Commission) form the specialized system for worldwide standardization. National bodies that are
members of ISO or IEC participate in the development of International Standards through technical
committees established by the respective organization to deal with particular fields of technical
activity. ISO and IEC technical committees collaborate in fields of mutual interest. Other international
organizations, governmental and non-governmental, in liaison with ISO and IEC, also take part in the
work. In the field of conformity assessment, ISO and IEC develop joint ISO/IEC documents under the
management of the ISO Committee on Conformity assessment (ISO/CASCO).
The procedures used to develop this document and those intended for its further maintenance are
described in the ISO/IEC Directives, Part 1. In particular the different approval criteria needed for
the different types of document should be noted. This document was drafted in accordance with the
editorial rules of the ISO/IEC Directives, Part 2 (see www.iso.org/directives).
Attention is drawn to the possibility that some of the elements of this document may be the subject
of patent rights. ISO and IEC shall not be held responsible for identifying any or all such patent
rights. Details of any patent rights identified during the development of the document will be in the
Introduction and/or on the ISO list of patent declarations received (see www.iso.org/patents).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation on the meaning of ISO specific terms and expressions related to conformity assessment,
as well as information about ISO’s adherence to the World Trade Organization (WTO) principles in the
Technical Barriers to Trade (TBT) see the following URL: www.iso.org/iso/foreword.html.
ISO/IEC 17021-2 was prepared by Technical Committee ISO/TC 207, Environmental management,
Subcommittee SC 2, Environmental auditing and related environmental investigations, and the ISO
Committee on conformity assessment (CASCO). It was circulated for voting to the national bodies of
both ISO and IEC, and was approved by both organizations.
This first edition of ISO/IEC 17021-2 cancels and replaces ISO/IEC/TS 17021-2:2012, which has been
technically revised.
The following major changes have been made compared with ISO/IEC/TS 17021-2:2012:
— addition of the new requirements of ISO 14001:2015 which required additional competence to
audit them;
— adaptation of the competence requirements to reflect the greater focus in ISO 14001:2015 on
expected outcomes;
— clarification of the difference between sustainable development and sustainability;
— inclusion of competence criteria for the auditor to understand the context of the organization;
— inclusion of competence to audit the reliability of client communications about their EMS.
A list of all parts in the ISO/IEC 17021 series can be found on the ISO website.
© ISO/IEC 2016 – All rights reserved v

---------------------- Page: 7 ----------------------
oSIST prEN ISO/IEC 17021-2:2018
ISO/IEC 17021-2:2016(E)

Introduction
This document complements ISO/IEC 17021-1. In particular, it clarifies the requirements for the
competence of personnel involved in the certification process set out in ISO/IEC 17021-1:2015, Annex A.
Certification bodies have a responsibility to interested parties, including their clients and the customers
of the organizations whose management systems are certified, to ensure that only those auditors who
demonstrate the relevant competence are allowed to conduct environmental management system
(EMS) audits. All EMS auditors should possess the generic competencies described in ISO/IEC 17021-1
as well as the specific EMS knowledge described in this document.
Certification bodies will need to identify the specific audit team competence needed for the scope of
each EMS audit. The selection of an EMS audit team will depend upon various factors, including the
EMS technical area, the context of an organization, its environmental aspects and the site where these
aspects occur.
The competence requirements for other personnel involved in certification activities are also described.
In this document, the following verbal forms are used:
— “shall” indicates a requirement;
— “should” indicates a recommendation;
— “may” indicates a permission;
— “can” indicates a possibility or a capability.
Further details can be found in the ISO/IEC Directives, Part 2.
For the purposes of research, users are encouraged to share their views on this document and their
priorities for changes to future editions. Click on the link below to take part in the online survey:
https://www.surveymonkey.com/r/D5PK2NV
vi © ISO/IEC 2016 – All rights reserved

---------------------- Page: 8 ----------------------
oSIST prEN ISO/IEC 17021-2:2018
INTERNATIONAL STANDARD ISO/IEC 17021-2:2016(E)
Conformity assessment — Requirements for bodies
providing audit and certification of management
systems —
Part 2:
Competence requirements for auditing and certification of
environmental management systems
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.
2 Normative references
The following documents are referred to in the text in such a way that some or all of their content
constitutes requirements of this document. For dated references, only the edition cited applies. For
undated references, the latest edition of the referenced document (including any amendments) applies.
ISO/IEC 17021-1:2015, Conformity assessment — Requirements for bodies providing audit and certification
of management systems — Part 1: Requirements
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 17021-1 and the
following apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at http://www.iso.org/obp
— IEC Electropedia: available at http://www.electropedia.org/
3.1
EMS technical area
environmental management system technical area
area characterized by commonalities of processes relevant to an environmental management system
and its intended results
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. See Tables A.1 and A.2 for a summary of the competence requirements for
personnel involved in specific certification functions.
© ISO/IEC 2016 – All rights reserved 1

---------------------- Page: 9 ----------------------
oSIST prEN ISO/IEC 17021-2:2018
ISO/IEC 17021-2:2016(E)

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.
5.2 Environmental terminology
Each EMS auditor shall have knowledge of environmental terms, definitions and concepts as used
within an EMS.
NOTE Concepts include “intended outcomes”, “environmental sustainability” and “sustainable development”
(see ISO 14001:2015, Clause 1 and Clause A.3).
5.3 Environmental metrics
Each EMS auditor shall have knowledge of the quantification of environmental outputs applicable to the
EMS and applicable compliance obligations.
EXAMPLES Direct, normalized, aggregated, indexed and weighted measurement, modelling, mass balance.
5.4 Environmental monitoring and measuring techniques
Each EMS auditor shall have knowledge of environmental monitoring and measuring techniques and
analytical methods (including equipment and its calibration or verification and maintenance).
EXAMPLES Continuous, periodic and manual sampling, observations made during abnormal conditions.
5.5 Environmental aspects and impacts
Each EMS auditor shall have knowledge of techniques for the identification of environmental aspects
and impacts and the determination of their environmental significance.
5.6 Life cycle perspective
Each EMS auditor shall have knowledge of life cycle concepts and how an organization can apply a life
cycle perspective to its products and services.
NOTE The term “life cycle” is defined in ISO 14001:2015, 3.3.3. See also ISO 14001:2015, A.6.1.2.
5.7 Environmental performance evaluation
Each EMS auditor shall have knowledge of environmental performance evaluation methods, including
indicators, sufficient to determine whether an organization’s environmental performance is achieving
the intended outcomes of an EMS.
NOTE ISO 14031 provides further information on environmental performance evaluation.
5.8 Compliance obligations
Each EMS auditor shall have knowledge to determine whether an organization has determined its EMS
related compliance obligations, and evaluated fulfilment of its EMS related compliance obligations.
NOTE The term “compliance obligations” is defined in ISO 14001:2015, 3.2.9.
2 © ISO/IEC 2016 – All rights reserved

---------------------- Page: 10 ----------------------
oSIST prEN ISO/IEC 17021-2:2018
ISO/IEC 17021-2:2016(E)

5.9 Emergency preparedness and response
5.9.1 Each EMS auditor shall have knowledge sufficient to determine whether an organization has
identified potential emergency situations and planned relevant responses.
5.9.2 Each EMS auditor shall have knowledge sufficient to evaluate an organization’s effectiveness in
testing its emergency responses and responses to actual emergencies if applicable.
5.10 Operational control
Each EMS auditor shall have knowledge of processes used for operational planning and control,
including management of change related to an EMS.
5.11 Factors related to site
Each EMS auditor shall have knowledge of site-related factors that might influence the potential impacts
of an organization’s aspects on the surrounding areas, ecosystems and communities. Site factors include
geography, climate, hydrogeology, topography, soil and other site-related physical conditions, as well as
prior use of the site.
5.12 Scope
Each EMS auditor shall have knowledge to determine that the scope of an EMS is appropriate within the
context of an organization and its activities, products and services.
5.13 Communicated information
Each EMS auditor shall have knowledge related to auditing of communicated information to enable the
audit of the reliability of relevant environmental information related to the EMS.
NOTE This includes knowledge of factors impacting upon reliability, such as transparency, appropriateness,
truthfulness, factuality/accuracy, completeness and intelligibility (see ISO 14001:2015, A.7.4).
5.14 Context of the organization
5.14.1 Each EMS auditor shall have knowledge to determine that an organization has identified the
external and internal issues, including environmental conditions relevant to the context in which it
operates that have the potential to affect the organization’s ability to achieve the intended outcomes of
its EMS.
5.14.2 Each EMS auditor shall have knowledge to determine that an organization has identified the
needs and expectations of interested parties relevant to an organization’s EMS.
5.15 Risks and opportunities
5.15.1 Each EMS auditor shall have knowledge of methods for determining risks and opportunities and
how these methods can be applied in an organizational context.
NOTE 1 The term “risks and opportunities” is defined in ISO 14001:2015, 3.2.11.
NOTE 2 Examples of methods for determining risks and opportunities include SWOT (Strengths-Weaknesses-
Opportunities-Threats), PESTLE (Political-Economic-Social-Technological-Legal-Environmental), Delphi
technique, Probability and Impact matrix and risk facilitation workshops.
© ISO/IEC 2016 – All rights reserved 3

---------------------- Page: 11 ----------------------
oSIST prEN ISO/IEC 17021-2:2018
ISO/IEC 17021-2:2016(E)

5.15.2 Each EMS auditor shall have knowledge to determine if an organization has appropriately
identified and addressed the risks and opportunities related to its context, environmental aspects and
compliance obligations.
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.
6.2 Emissions
...