Conformity assessment—Requirements for bodies providing audit and certification of management systems—Part 10:Competence requirements for auditing and certification of occupational health and safety management systems
other information
drafter:Xia Qing, Tian Yanchao, Wang Qian, Wang Yu, Yan Ru, Peng Xin, Gu Jiangyuan, Cao Yajie, Guo Ran, Pang Hua, Wang Mei, Zhao Zhiwei, Yan Zhuoming, Jiang Xiaohua
Drafting unit:China National Accreditation Service for Conformity Assessment, China Certification and Accreditation Association, China Quality Certification Center, Fangyuan Mark Certification Group Co., Ltd., Shanghai Quality System Audit Center, Beijing Zhongda
Focal point unit:National Technical Committee for Certification and Accreditation Standardization (SAC/TC 261)
Proposing unit:National Technical Committee for Certification and Accreditation Standardization (SAC/TC 261)
Publishing department:State Administration for Market Regulation National Standardization Administration
Some standard content:
ICS 03.120.20
CCSA00
National Standard of the People's Republic of China
GB/T27021.10—2021/IS0/IECTS17021-10:2018 Conformity assessment
Requirements for bodies providing audit and certification of management systemsPart 10: Competence requirements for auditing and certification of occupational health and safety management systems(ISO/IEC TS 17021-10:2018.JDT)2021-04-30 Issued
State Administration for Market Regulation
National Standardization Administration
2021-11-01 Implementation
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2 Normative references
3 Terms and definitions
General competence requirements
(General competence requirements for personnel in H&,S management systems
H&.S terms, principles, processes and concepts
Organizational environment
Leadership, staff consultation and participation Legal and regulatory requirements and other requirements
5.6 OH&S risks and opportunities and other risks and opportunities5.6.1
Risks and opportunities
Hazard identification
OI&.S risk assessment
OH&.S machine di
Emergency preparedness and response
Performance evaluation
Eliminating hazards and reducing OH&.S risks
Incident investigation
6 Competence requirements for personnel who review the nuclear report and make certification decisions 6,1 OH&.S terms, principles, processes and concepts Organizational environment
Leadership, consultation and participation of staff. Legal and regulatory requirements and other requirements
OI&S risks and opportunities and other risks and opportunities 6.5
6.5.1 Hazard identification
6.5.2 OH&.S risk assessment
6.5.3 OH&.S opportunities
Performance evaluation
6.7 Eliminating hazards and reducing OH&.S risks 6.8 Incident investigation
7 Competence requirements for other certification personnel
7.1 OH&S terms, principles, processes and concepts GB/T 27021.10—2021/ISO/1EC TS 17021-10:2018
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GB/T 27021.10—2021/IS0/1EC TS 17021-10:20187.2
Organization's environment
Appendix A (informative) (Knowledge of H&.S management system audit and certification·References
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GB/T27021.10—2021/IS0/IECTS 17021-10:2018 Foreword
This document was drafted in accordance with the provisions of GB/T 1.12020% Guidelines for Standardization Work Part 1: Structure and Drafting Rules for Standardization Documents.
Part 10 of the "Requirements for Management System Audit and Certification Bodies". GB/T 27021 has been published as follows:
—Part 1. Requirements;
Part 2: Competence requirements for auditing and certification of environmental management systems; Part 3: Competence requirements for auditing and certification of quality management systems; Part 4: Competence requirements for auditing and certification of sustainability management systems for large-scale events; Part 5: Competence requirements for auditing and certification of asset management systems; Part 6: Competence requirements for auditing and certification of business continuity management systems; Part 7: Competence requirements for auditing and certification of road traffic safety management systems; Part 9: Competence requirements for auditing and certification of anti-bribery management systems; Part 10: Competence requirements for auditing and certification of occupational health and safety management systems This document uses the translation method equivalent to IS0/IECTS1702110:2018 Competence requirements for auditing and certification bodies of conformity assessment management systems Part 10: Competence requirements for auditing and certification of occupational health and safety management systems. Please refer to the following Chinese documents that have consistent correspondence with the international documents cited in this document: GB/T45001:2020 Occupational Health and Safety Management System Requirements and Use Guide (IS045001:2018IDT) Please note that some contents of this document may involve patents. The issuing agency of this document does not assume the responsibility for identifying patents. This document is proposed and managed by the National Technical Committee for Certification and Accreditation of Standardization (SAC/TC261). The drafting units of this document are: China National Accreditation Service for Conformity Assessment, China Certification and Accreditation Association, China Quality Certification Center, Fangyuan Mark Certification Group Co., Ltd., "Hainan Quality System Core Center, Beijing Zhongren Huayuan Certification Center, China Classification Society Quality Certification Company, China United (Beijing) Certification Center Co., Ltd., Standard Certification Services (Shanghai) Co., Ltd., Zhongbiao Huaxin (Beijing) Certification Center Co., Ltd., Beijing Continental Hangxing Quality Certification Center Co., Ltd. The main drafters of this document are: Xia Qing, Si Yanchao, Tu Xi, Tu Yu, Yan Ru, Peng Xin, Gu Jiangyuan, Cao Yajie, Guo Ran, Feng Hua, Tu Mei, Zhao Zhiwei, Yan Zhuoming, Jiang Xiaohua.
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GB/T27021.10—2021/IS0/IECTS17021-10:2018 cited Introduction
GB/T45001 provides a framework to enable organizations to provide safe and healthy workplaces by preventing work-related injuries and/or ill health of workers and proactively improving occupational health and safety (OH&.S) performance. Personnel who certify OH&S management systems need to have the competences described in GB/T27021.1-2017, as well as the OH&S management system specific competences described in this document: This document is a supplement to GB/T27021.1-2017, including the guiding principles of GB/T27021.1-2017 Part 4, and in particular clarifies the competence requirements for personnel involved in the certification process as described in Appendix A of GB/T27021.1-2017. Certification bodies have a corresponding responsibility to their stakeholders (including their clients and customers of organizations certified by their management systems) to ensure that OH&S management system certification is credible by using certified personnel who have been demonstrated to have the corresponding competences. kaeerkAca
1Scope
GB/T 27021.10—2021/IS0/IEC TS 17021-10:2018 Requirements for audit and certification bodies for conformity assessment management systems Part 10: Competence requirements for auditing and certification of occupational health and safety management systems
This document specifies additional competence requirements for personnel involved in the audit and certification process of occupational health and safety (OH&.S) management systems, and is a supplement to the existing requirements of GB/T 27021.1.
This document specifies three types of personnel and certification functions: auditors, personnel who review audit reports and make certification decisions, and other personnel. Note: This document is applicable to (OH&.S management system audit and certification) in accordance with GB/T 45C01 and is applicable to other OH&.S applications. 2 Normative references
The contents of the following documents constitute essential provisions of this document through normative references in this document: For dated references, only the version corresponding to that date applies to this document; for undated references, the latest version (including all amendments) applies to this document.
GB/T27021.12017 Requirements for audit and certification bodies of conformity assessment management systems Part 1: Requirements (ISO/IEC170211:2015,IDT)
ISO45001 Occupational health and safety management systems - Requirements with guidance for use3 Terms and definitions
The terms and definitions defined in GB/T27021.1 and IS045001 apply to this document. 3.1
Occupational health and safety technical areaOH&S technical area is an area characterized by the commonality of processes related to the OH&S management system and its expected results. 4 General competence requirements
The certification body shall determine the competence requirements for each certification function as described in Table A.1 of GB/T 27021.1-2017: When determining these competence requirements, the certification body shall consider all requirements specified in GB/T 27021.1-2017 and the competence requirements specified in Chapters 5, 6 and 7 of this document, including requirements related to the OH&S technical field determined by the certification body. Unless otherwise stated, the OH&S competence criteria mentioned in Chapters 5, 6 and 7 are independent of any OH&S technical field. Appendix A gives an overview of the knowledge of OH&S management system auditing and certification. Note: The role of the auditor is different from the role of work inspection. 1
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GB/T 27021.10—2021/IS0/IEC TS 17021-10:20185 Competence requirements for H&S management system auditors 5.1 General
The audit team shall consist of auditors (and technical experts where necessary) and shall have the overall capabilities to undertake the audit: Each OH&S management system auditor shall have knowledge of the synergies within the OH&.S management system and how their processes interact to achieve the intended outcomes of the H&S management system of providing a safe and healthy workplace and preventing injury and ill health. Note: Not every member of the core team needs to have the same competence, but the overall competence of the core team must be sufficient to achieve the core's 5.20 H&S terms, principles, processes and concepts Every OH&S management system auditor should have and maintain up-to-date knowledge of the terms, principles, processes and concepts of OH&.S and OH&S management. The terms, principles, processes and concepts of OH&S and OH&S management include but are not limited to: a) Expected outcomes of the OH&S management system: h) Hazards and (H&S risks;
Minimize or reduce risks as much as possible;
d) Control hierarchy;
Procurement (including outsourcing and contractors):
Joint control over the work performed.
5.3 The context of the organization
To determine that the organization has appropriately identified the scope of the OH&S management system (including boundaries and applicability) in its context and work-related activities, the audit team members of the OH&S management system should have: a) Knowledge of potential issues related to the context of the organization to determine whether the organization has identified internal and external issues that may affect the achievement of the expected results of the OH&S management system; b) Knowledge of potential other interested parties besides workers to determine whether the organization has identified the needs and expectations of workers and other interested parties;
5.4 Leadership, worker consultation and participation () The audit team members of the OH&S management system should have knowledge of the role and influence of leadership and culture on the organization: This knowledge should be used to evaluate whether the top management of an organization has demonstrated its commitment to the OH&S management system and achieved the expected results. () The audit team members of the OH&S management system should have knowledge of the methodology of consultation and participation, including barriers and obstacles, to determine whether the organization has the right tools for the participation of subordinate workers and their representatives ( (if any) Effective process for consultation and participation: 5.5 Legal and regulatory requirements and other requirements
() The personnel in the audit team of the H&.S management system should have knowledge of legal and regulatory requirements and other requirements related to health and safety at work, including knowledge of legal and regulatory requirements and other requirements related to the (OH&.S technical field), to evaluate whether the organization has a process to determine, apply and regularly review legal and regulatory requirements and other requirements, including requirements related to the following aspects: a) "Consultation and participation of subordinates and their representatives (if any); b) Privacy of personal medical information:
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) Establishment of a health and safety committee
5.6 OH&S risks and opportunities and other risks and opportunities 5.6.1 Risks and opportunities
GB/T27021.10—2021/IS0/IECTS17021-10:2018 The personnel in the OH&.S management system audit team should have knowledge of risks and opportunities, including knowledge of risks and opportunities related to the H&S technical field, to evaluate Has the organization used appropriate methods to identify hazards and determine H&S risks and opportunities, as well as other risks and opportunities within the organization's environment and the scope of the OH&S management system? Note: Examples of relevant methods and criteria for determining risks and opportunities include qualitative and quantitative analysis, such as task analysis, hazard and operability studies (IAZ()PS) and failure mode and effects analysis (FMEA). 5.6.2 Hazard identification
The personnel in the IAZ()PS management system should have knowledge of hazards. Knowledge of hazards, including knowledge of hazards related to the OI&S technical field, to evaluate whether the organization has used appropriate methods to identify hazards in the organization's environment and within the scope of the H&S management system. Knowledge of hazards should include but is not limited to the following categories: a) physical; b) chemical; biological; physiological; mechanical; electrical; socio-psychological; h) motion or energy-based, hazards and their sources. Knowledge assets include, but are not limited to, the following: Internal or external sources or situations: Potential emergencies Multi-employer workplaces: d) Workplaces and facilities: Product and service design, research, development, testing, production, assembly, construction, delivery, maintenance or disposal Procurement, contracting and outsourcing New technologies and their applications h) Planned or unplanned changes Work organization, human and social factors i) 5.6. 30H&S risk assessment
The OH&.S management system audit team should have knowledge of the methods and criteria for identifying hazards and evaluating H&.S risks, including those related to the technical areas of OI I&S, to evaluate whether the organization has applied these methods and criteria appropriately, proactively and systematically within the context and scope of the OI I&S management system. 5.6.40H&S opportunities
The OH&.S management system audit team should have knowledge of the types of processes that can lead to improvements in OH&.S performance. 3
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GB/T27021.10—2021/IS0/IECTS17021-10:2018 Knowledge of processes should include but is not limited to:
a) making the work suitable for the workers;
b) changing the work organization;
c) changing the layout of the workplace.
5.7 Emergency preparedness and response
The OH&.S management system audit team shall have knowledge of potential emergency situations and common responses in the organization's environment, including knowledge of OH&.S technical areas or related knowledge. In order to evaluate whether the organization has appropriately: a) identified its potential emergency situations; b) planned and tested its emergency responses, including external responses; c) evaluated the effectiveness of the planned emergency responses by testing them and the responses to actual emergencies (where applicable). 5.8 Performance evaluation
The OH&.S management system audit team shall have knowledge of performance evaluation.To evaluate whether the organization has applied appropriate OH&S performance evaluation methods, including active and passive evaluations, qualitative and quantitative indicators, and to determine whether the organization has achieved the expected results of the OH&.S management system.
5.9 Eliminating hazards and reducing 0H&.S risks
The personnel of the OH&.S management system audit team should have knowledge of control measures or control methods used to eliminate hazards and reduce OH&.S risks, including the above knowledge related to the technical field of OH&.S, so as to evaluate whether the organization has applied the factory: a) The concept of control hierarchy, including making the work suitable for the staff and properly applied; b) Appropriate and effective control measures for users and external suppliers, including identification of any potential adverse effects, 5.10 Incident investigation|| tt||The personnel of the OH&.S management system audit team should have knowledge of incident investigation methods, including relevant knowledge in the technical field of OH&.S, so as to evaluate whether the organization has implemented effective investigations in its environment and within the scope of the OH&.S management system. Including: a) Relevant methods and practices for incident investigation, such as root cause analysis, fault tree analysis, etc.; b) Determination of measures to eliminate the causes. 6 Competence requirements for personnel who review audit reports and make certification decisions 6.10 H&S terms, principles, processes and concepts Personnel who review audit reports and make certification decisions should have and maintain the latest knowledge of the terms, principles, processes and concepts of OII&S and OII&S management.
OII&.S terms, principles, processes and concepts include but are not limited to: a): OH&S b) Expected results of the H&.S management system; b) Hazards and OH&S risks; c) Minimize or reduce risks as much as possible: d) Control hierarchy; Purchasing (including outsourcing and contractors): f) Joint control over the work performed: 6.2 The environment in which the organization is located GB/T27021.10—2021/IS0/IECTS17021-10:2018 The person who reviews the CNNC report and makes the certification decision should have sufficient knowledge of the following to determine whether the CNNC group has appropriately confirmed the scope of the HOH&S management system, including its boundaries and applicability, in the organization's environment and its work-related activities: a) With the organization h) Potential issues related to the organization's environment; h) Potential other interested parties.
6.3 Leadership, consultation and participation of staff The person who reviews the audit report and makes the certification decision shall have knowledge of the role and impact of leadership, culture, consultation and participation of staff and their representatives (if any) on the organization.
6.4 Legal and regulatory requirements and other requirements
The person who reviews the audit report and makes the certification decision shall be aware of the legal and regulatory requirements and other requirements related to health and safety at work.
6.5 OH&S risks and opportunities and other risks and opportunities 6.5.1 Hazard identification
The person who reviews the audit report and makes the certification decision shall have knowledge of hazards and how to identify them, including relevant knowledge in the technical field of H&S.
The person who reviews the audit report and makes the certification decision shall have knowledge of the following categories of hazards, including but not limited to; a) physical; b) chemical;
biological;
d) biological;
mechanical;
electrical;
psychosocial;
kinetic or energetic.
6.5.2 OH&S risk assessment
The person who reviews the audit report and makes the certification decision shall have knowledge of the methods and criteria for assessing H&S risks, including those related to the technical field of OH&.S. 6.5.30 H&S opportunities
The person who reviews the nuclear report and makes the certification decision shall understand the concept of OI&S inspections. 6.6 Performance evaluation
The person who reviews the nuclear report and makes the certification decision shall have the knowledge of the OI&S performance evaluation method. 5
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GB/T 27021.10—2021/IS0/IEC TS 17021-10:2018 Elimination of hazard sources and reduction of OH&S risks
The person who reviews the nuclear report and makes the certification decision shall have the knowledge of the concept of control hierarchy. 6.8
8 Incident investigation
The person who reviews the nuclear report and makes the certification decision shall have the knowledge of the investigation methods of each incident. 7 Competence requirements for other certification personnel
7.1 OH&S terms, principles, processes and concepts During implementation, please review to determine the required competence of the audit team, select audit members and determine the personnel to be audited. The personnel to be audited should have and maintain the latest knowledge of OH&S terms, principles, processes and concepts appropriate to their functions. The terms, principles, processes and concepts of OH&.S and OH&.S management include but are not limited to: a) Expected results of the OH&S management system: Hazard sources and OII8.S risks:
Minimize and reduce risks as much as possible:
Control layer Level:
Procurement (including outsourcing and contractors):
Joint control over the work performed
The environment in which the organization operates
The personnel conducting the review during implementation to determine the required competence of the audit team, to select audit team members and to determine the timing of the audit shall have: a) Knowledge of the factors, risks and complexity associated with the site and the organization’s activities in order to determine the timing of the audit and select a competent audit team;
h) Knowledge of determining whether the scope of certification requested by the organization is appropriate to the environment in which the organization operates and its work-related activities, -rKaeerkca-4 Legal and regulatory requirements and other requirements
The person who reviews the audit report and makes the certification decision shall understand the legal and regulatory requirements and other requirements related to health and safety at work.
6.5 OH&S risks and opportunities and other risks and opportunities 6.5.1 Hazard identification
The person who reviews the audit report and makes the certification decision shall have knowledge of hazards and their identification methods, including relevant knowledge in the field of H&S technology.
The person who reviews the audit report and makes the certification decision shall have knowledge of the following categories of hazards, including but not limited to; a) physical;
b) chemical;
biological;
d) biohazard;
Mechanical;
Electrical;
Psychosocial;
Kinetics or energy.
6.5.2OH&S risk assessment
The person who reviews the audit report and makes the certification decision should have knowledge of the methods and criteria for evaluating H&S risks, including the above knowledge related to the technical field of 0H&.S. 6.5.30H&S opportunities
The person who reviews the audit report and makes the certification decision should understand the concept of H&S inspection. 6.6 Performance evaluation
The person who reviews the audit report and makes the certification decision should have knowledge of H&S performance evaluation methods, 5
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GB/T 27021.10—2021/IS0/IEC TS 17021-10:2018 Elimination of hazard sources and reduction of OH&S risks
Personnel who review the internal report and make the certification decision shall have knowledge of the concepts of the control hierarchy of the equipment. 6.8
8 Incident investigation
Personnel who review the internal report and make the certification decision shall have knowledge of the methods of investigation of various incidents. 7 Competence requirements for other certification personnel
7.1 OH&S terms, principles, processes and concepts During implementation, please review to determine the required competence of the audit team, select audit members and determine the personnel who conduct the audit. The personnel who conduct the audit shall have and maintain up-to-date knowledge of OH&S terms, principles, processes and concepts appropriate to their functions. The terms, principles, processes and concepts of OH&.S and OH&.S management include but are not limited to: a) Expected outcomes of the HI&.S management system: Hazards and OII8.S risks:
Risks should be minimized and minimised:
Level of control:
Procurement (including outsourcing and contractors):
Joint control over the work performed
The environment in which the organization is located
Personnel who are required to review during implementation to determine the required competence of the audit team, select audit team members and determine the timing of the audit should have: a) Knowledge of factors, risks and complexity related to the site and organizational activities in order to determine the audit timing and select a competent audit team:
h) Knowledge of determining whether the scope of certification requested by the organization is appropriate to the environment in which the organization is located and its work-related activities, -rKaeerkca-4 Legal and regulatory requirements and other requirements
The person who reviews the audit report and makes the certification decision shall understand the legal and regulatory requirements and other requirements related to health and safety at work.
6.5 OH&S risks and opportunities and other risks and opportunities 6.5.1 Hazard identification
The person who reviews the audit report and makes the certification decision shall have knowledge of hazards and their identification methods, including relevant knowledge in the field of H&S technology.
The person who reviews the audit report and makes the certification decision shall have knowledge of the following categories of hazards, including but not limited to; a) physical;
b) chemical;
biological;
d) biohazard;
Mechanical;
Electrical;
Psychosocial;
Kinetics or energy.
6.5.2OH&S risk assessment
The person who reviews the audit report and makes the certification decision should have knowledge of the methods and criteria for evaluating H&S risks, including the above knowledge related to the technical field of 0H&.S. 6.5.30H&S opportunities
The person who reviews the audit report and makes the certification decision should understand the concept of H&S inspection. 6.6 Performance evaluationbzxZ.net
The person who reviews the audit report and makes the certification decision should have knowledge of H&S performance evaluation methods, 5
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GB/T 27021.10—2021/IS0/IEC TS 17021-10:2018 Elimination of hazard sources and reduction of OH&S risks
Personnel who review the internal report and make the certification decision shall have knowledge of the concepts of the control hierarchy of the equipment. 6.8
8 Incident investigation
Personnel who review the internal report and make the certification decision shall have knowledge of the methods of investigation of various incidents. 7 Competence requirements for other certification personnel
7.1 OH&S terms, principles, processes and concepts During the implementation, please review to determine the required competence of the audit team, select the audit team members and determine the personnel who conduct the audit. The personnel who conduct the audit shall have and maintain up-to-date knowledge of OH&S terms, principles, processes and concepts appropriate to their functions. The terms, principles, processes and concepts of OH&.S and OH&.S management include but are not limited to: a) Expected outcomes of the HI&.S management system: Hazards and OII8.S risks:
Risks should be minimized and minimised:
Level of control:
Procurement (including outsourcing and contractors):
Joint control over the work performed
The environment in which the organization is located
Personnel who are required to review during implementation to determine the required competence of the audit team, select audit team members and determine the timing of the audit should have: a) Knowledge of factors, risks and complexity related to the site and organizational activities in order to determine the audit timing and select a competent audit team:
h) Knowledge of determining whether the scope of certification requested by the organization is appropriate to the environment in which the organization is located and its work-related activities, -rKaeerkca-
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