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GB/T 27021.1-2017 English PDF

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GB/T 27021.1-2017: Conformity assessment -- Requirements for bodies providing audit and certification of management systems -- Part 1: Requirements
Status: Valid

GB/T 27021.1: Historical versions

Standard IDUSDBUY PDFLead-DaysStandard Title (Description)Status
GB/T 27021.1-2017919 Add to Cart 4 days Conformity assessment -- Requirements for bodies providing audit and certification of management systems -- Part 1: Requirements Valid
GB/T 27021-2007959 Add to Cart 4 days Conformity assessment -- Requirements for bodies providing audit and certification of management systems Obsolete

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GB/T 27207   GB/T 27400   GB/T 27025   GB/T 27021.8   GB/T 27021.2   GB/T 27021.3   

Basic data

Standard ID: GB/T 27021.1-2017 (GB/T27021.1-2017)
Description (Translated English): Conformity assessment -- Requirements for bodies providing audit and certification of management systems -- Part 1: Requirements
Sector / Industry: National Standard (Recommended)
Classification of Chinese Standard: A00
Classification of International Standard: 03.120.20
Word Count Estimation: 46,482
Date of Issue: 2017-11-01
Date of Implementation: 2018-05-01
Issuing agency(ies): General Administration of Quality Supervision, Inspection and Quarantine of the People's Republic of China, Standardization Administration of the People's Republic of China

GB/T 27021.1-2017: Conformity assessment -- Requirements for bodies providing audit and certification of management systems -- Part 1: Requirements


---This is a DRAFT version for illustration, not a final translation. Full copy of true-PDF in English version (including equations, symbols, images, flow-chart, tables, and figures etc.) will be manually/carefully translated upon your order.
Conformity assessment-Requirements for bodies providing audit and certification of management systems-Part 1. Requirements ICS 03.120.20 A00 National Standards of People's Republic of China Replacing GB/T 27021-2007 Conformity assessment management system audit certification body requirements Part 1. Requirements certificationofmanagementsystems-Part 1.Requirements (ISO /IEC 17021-1.2015, IDT) Posted.2017-11-01 2018-05-01 implementation General Administration of Quality Supervision, Inspection and Quarantine of People's Republic of China China National Standardization Administration released Directory Foreword Ⅲ Introduction Ⅴ 1 Scope 1 2 Normative references 1 3 Terms and definitions 1 4 Principle 3 4.1 General 3 4.2 Fairness 4 4.3 ability 4 4.4 Responsibilities 4 4.5 Openness 4 4.6 Confidentiality 5 4.7 Response to Complaints 5 4.8 Risk Based Approach 5 5 General requirements 5 5.1 Legal and contractual matters 5 5.2 Fair Management 6 5.3 Responsibility and financial resources 7 6 structural requirements 7 6.1 Organizational Structure and Top Management 7 6.2 Operation Control 7 7 Resource Requirements 7 7.1 Personnel Ability 7 7.2 Personnel involved in certification activities 8 7.3 Use of External Auditors and External Technical Experts 9 7.4 Personnel Records 9 7.5 Outsourcing Information request 9 8.1 Public information 9 8.2 Certification Documents 10 8.3 Use of Certification and Marking 10 8.4 Confidentiality 11 8.5 Information Exchange between Certification Bodies and Their Clients 11 9 Process Requirements 12 9.1 Pre-certification activities 12 9.2 planning review 14 9.3 Initial Certification 16 9.4 Implementation Review 17 9.5 Certification Decision 20 9.6 Maintaining Certification 21 9.7 Appeals 23 9.8 Complaints 24 9.9 Customer Records 24 10 Certification Body Management System Requirements 25 10.1 Options 25 10.2 Methods A. Common Management System Requirements 25 10.3 Mode B. Management System Requirements Consistent with ISO 9001 Appendix A (Normative) Required knowledge and skills 28 Appendix B (informative) possible evaluation methods 31 Appendix C (informative) Examples of capacity determination and maintenance processes 33 Appendix D (Informative) Desired Personal Behavior 34 Appendix E (informative) review and certification process 35 References 36

Foreword

GB/T 27021 "Conformity Assessment Management System Certification and Accreditation Body" as a series of national standards, GB/T 27021 series of standards have been The identified part includes. --- Part 1. Requirements; --- Part 2. Environmental management system audit and certification body capacity requirements; --- Part 3. Quality management system audit and certification body capacity requirements; --- Part 4. Capacity planning of large-scale sustainability management system auditing and certification bodies; --- Part 5. Assets management system audit and certification body capacity requirements; --- Part 6. Business continuity management system audit and certification body capacity requirements; --- Part 7. Road traffic safety management system audit and certification body capacity requirements. This section GB/T 27021 Part 1. This section drafted in accordance with GB/T 1.1-2009 given rules. This section instead of GB/T 27021-2007 "conformity assessment management system audit certification requirements," and GB/T 27021- 2007 compared to the main technical changes except for editorial changes are as follows. --- Modify the definition of the term "fairness" (see 3.2,.2007 edition 3.2); --- Modify the term "management system consulting" definition (see 3.3,.2007 edition 3.3); --- Added terms such as "certification audit" "customer" "auditor" "competence" and "management system certification audit time" (see 3.4 ~ 3.17); --- Added 4.8 "risk-based approach" (see 4.8); --- Modify 5.2 "Fair Management" (see 5.2,.2007 edition 5.2); --- Modify Chapter 6 "Structural Requirements" (see Chapter 6, Chapter 6 of the.2007 edition); --- Removed the "Committee for the Protection of Justice" (see.2007 version 6.2); --- Modify Chapter 7 "Resource Requirements" (see Chapter 7, Chapter 7 of the.2007 edition); --- Added other considerations (see 7.1.4); --- Modify Chapter 8 "Information Requirements" (see Chapter 8, Chapter 8 of the.2007 edition); --- Removed "certified customer directory" (see.2007 version 8.3); --- Modify Chapter 9, "Process Requirements" (see Chapter 9, Chapter 9 of the.2007 edition); --- Added normative Appendix A provides the knowledge and skills required to undertake various types of certification functions (see Appendix A); --- Increased information Appendix B provides a possible assessment of the ability of personnel (see Appendix B); --- Increased information Appendix C provides examples of capacity to identify and maintain the process (see Appendix C); --- Increased informative Appendix D provides examples of expected personal behavior (see Appendix D); --- Added informative Appendix E provides an example of the audit and certification process (see Appendix E). This section uses the translation method identical with ISO /IEC 17021-1.2015 "conformity assessment management system audit certification body requirements Part 1. Requirements "(in English). The documents of our country that are consistent with the corresponding international documents that are normative references in this section are as follows. --- GB/T 19000-2016 Quality Management System Fundamentals and Terminology (ISO 9000.2015, IDT) --- GB/T 27000-2006 Conformity assessment vocabulary and common principles (ISO /IEC 17000.2004, IDT) For ease of use, this section made the following editorial changes ISO /IEC 17021-1.2015. --- Replace the "certified client" with "theorganizationswhose" in 4.1.2b) managementsystemsarecertified); --- Replaced with "certified customer" 5.2.3 Note 2 "Management System Certification Organization" (organizationswhosemanagement systemsarecertified). This part of the National Certification and Accreditation Standardization Technical Committee (SAC/TC261) and focal point. This part of the drafting unit.China national conformity assessment center, the national certification and accreditation supervision and management committee, China Certification and Accreditation Association, China Quality Certification Center, the radius of Mark Certification Group Co., Ltd., Guangzhou 赛 Po Certification Center Services Limited, Beijing 赛 West Certification Limited Responsible company, China Classification Society quality certification company, Shanghai Quality System Audit Center, China Certification Center Co., Ltd.. The main drafters of this section. Fei Yang, Ren Qingxuan, Hao Jing, Lin Feng, Wang Xiu Ci, Mu Jin, Wang Yu, Huang Junmei, Tan Ping, Liu Xianfeng, Zhang Yu, Wang Xuefeng. This part replaces the standards previously issued as. --- GB/T 27021-2007.

Introduction

Management system certification (such as the organization's environmental management system, quality management system or information security management system certification) is a guarantee Method to ensure that an organization has implemented the same requirements as its guidelines and related management system standards to manage its activities, products and services Services related systems. This section specifies the requirements of the management system audit and certification bodies. It is engaged in quality, environment and other management system audit and recognition The certification body made general requirements. This section refers to such agencies as certification bodies. The implementation of these requirements is to ensure that the certification body is able to do so Management system certification in a way that is consistent, forceful, consistent and fair in order to promote international and national recognition of these institutions and accept their certification. This section This provides the basis for promoting the recognition of management systems certification, which is in the interest of international trade. Management System Certification is an independent certification of the organization's management system. a) meet the requirements; b) the principles and objectives that enable it to achieve its statement from start to finish; c) be effectively implemented. As a result, conformity assessment activities such as management system certification provide value to the organization, the organization's customers, and the stakeholders. Chapter 4 sets out the principles on which credible certification is based. These principles help users understand the essential nature of certification and are Chapter 5 ~ Chapter 10 made the necessary bedding. These principles form the basis for the requirements of this section, but are not themselves requirements for review. No. Chapter 10 provides two alternative ways for certification bodies to establish and maintain a management system that guarantees and verifies that they always meet the requirements of this part. Certification activities constitute the entire certification process from the application review to the termination of certification. Appendix E shows a number of certification activities Enough way to interact. Certification activities include an audit of the organization's management system. The certification body usually certifies the organization's management in the form of a certification document or certificate System meets specific management system standards or other regulatory requirements. This section applies to all types of management system audit and certification. To achieve the expectations of stakeholders, some of them may be needed Requirements, especially those on the auditor's ability to supplement additional guidelines. In this section. --- "should" indicate the request; --- "Yi" means the suggestion; --- "can" that allows; --- "able" to indicate a possibility or ability. These auxiliary terms are explained in more detail in Part 2 of the ISO /IEC Directives. Conformity assessment management system audit certification body requirements Part 1. Requirements

1 Scope

This part of GB/T 27021 contains the principles of ability, consistency and fairness of all types of management system audit and certification bodies With the request. Certification bodies operating in accordance with this section do not have to provide all types of management system certification. Management System Certification is a third-party conformity assessment activity (see 5.5 of ISO /IEC 17000.2004), therefore implementing this activity The agency is a third-party conformity assessment agency. Notes 1. Examples of management systems Quality management systems, environmental management systems and information security management systems. Note 2. In this section, the management system certification is called "certification", and the third-party conformity assessment organization that implements certification is called "certification body." Note 3. The certification body may be non-governmental or governmental, with or without statutory authority. Note 4. This section serves as a guideline document for approval, peer review or other review process.

2 Normative references

The following documents for the application of this document is essential. For dated references, only the dated version applies to this article Pieces. For undated references, the latest edition (including all amendments) applies to this document. ISO 9000 Quality Management System Fundamentals and Terminology (Qualitymanagementsystems-Fundamentalsandvocab- ulary ISO /IEC 17000 Conformity Assessment Vocabulary and General Principles (Conformityassessment-Vocabulary and general principles

3 Terms and definitions

ISO 9000 and ISO /IEC 17000 defined and the following terms and definitions apply to this document. 3.1 Certified client certifiedclient Management system has been certified by the organization. 3.2 Impartiality Objectivity exists. Notes 1. Objectivity means that a conflict of interest does not exist or has been resolved and does not adversely affect the successor activities of the certification body. Notes 2. Other terms that may be used to express the element of impartiality are. independence, no conflict of interest, no prejudice, no prejudice, neutrality, fairness, open-mindedness, fairness Unaffected, unaffected by others, balanced. 3.3 Management System Consulting managementsystemconsultancy Participate in establishing, implementing or maintaining a management system. Example 1. Planning or preparation of a manual or procedure. Example 2. Provide specific advice, guidance or solution to the establishment and implementation of the management system.
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