GB/Z 27021.14-2025Conformity assessment - Requirements for bodies providing audit and certification of management systems - Part 14: Competence requirements for auditing and certification of management systems for records (English PDF)

Foreword

This document is a standard or guiding technical document.

This document conforms to GB/T 1.1-2020 "Standardization Work Guidelines Part 1: Structure and Drafting Rules of Standardization Documents". Drafting is scheduled.

This document is Part 14 of GB/T 27021, "Requirements for audit and certification bodies of conformity assessment management systems". GB/T 27021 has been... The following sections have been released.

--Part 1: Requirements;

--Part 2: Requirements for Environmental Management System Audit and Certification Capabilities;

--Part 3: Requirements for Quality Management System Audit and Certification Capabilities;

--Part 4: Requirements for Auditing and Certification Capabilities of Sustainability Management Systems for Large-Scale Events;

--Part 5: Requirements for Asset Management System Audit and Certification Capabilities;

--Part 6: Requirements for Business Continuity Management System Audit and Certification Capabilities;

--Part 7: Requirements for Audit and Certification Capabilities of Road Traffic Safety Management Systems;

--Part 8: Requirements for Auditing and Certification Capabilities of Urban and Community Sustainable Development Management Systems;

--Part 9: Requirements for Auditing and Certification Capabilities of the Anti-Bribery Management System;

--Part 10: Requirements for Occupational Health and Safety Management System Audit and Certification Capabilities;

--Part 11: Requirements for Facility Management System Audit and Certification Capabilities;

--Part 12: Audit and Certification Capabilities Requirements for Collaborative Business Relationship Management System;

--Part 13: Requirements for Compliance Management System Audit and Certification Capabilities;

--Part 14: Requirements for auditing and certification capabilities of the document (archive) management system.

This document is equivalent to ISO /IEC TS 17021-14:2022 "Conformity assessment management systems - Requirements for audit and certification bodies - Part 14".

Section. Requirements for Audit and Certification Capabilities of Document (Archives) Management System. 1)

Introduction

Document creation and management are integral parts of any organization's activities, processes, and systems, and can improve business effectiveness and efficiency, and strengthen accountability.

Assigning responsibilities, managing risks, and ensuring business continuity encourage organizations to manage information resources as strategic assets, which helps preserve collective memory. Addressing the challenges posed by globalization and the digital environment.

ISO 30301 specifies the requirements that a document (records) management system (MSR) should meet to support an organization in achieving its responsibilities, mission, and strategy.

And objectives. It focuses on the establishment and implementation of document policies and objectives, and provides information for the measurement and monitoring of document management performance.

This document supplements GB/T 27021.1-2017, and in particular clarifies the provisions of Appendix A of GB/T 27021.1-2017. Personnel competency requirements during the certification process.

Certification bodies have a corresponding responsibility to relevant parties (including their clients and customers of the organizations whose management systems are certified) to ensure that only... Only auditors who have been proven to have the corresponding competence can conduct MSR audits.

This document aims to ensure that all personnel involved in the MSR audit and certification process possess the general competence described in GB/T 27021.1, as well as the competence outlined in this document.

The specific capabilities of the MSR described in the document. The certification body needs to identify the capabilities required by the specific audit team for each MSR's audit scope.

GB/T 27021 is proposed to be released in the following parts, of which Part 1 is the general requirements, and the other parts are for management system audits in different fields. The certification capability requirements supplement Part 1.

--Part 1: Requirements;

--Part 2: Requirements for Environmental Management System Audit and Certification Capabilities;

--Part 3: Requirements for Quality Management System Audit and Certification Capabilities;

--Part 4: Requirements for Auditing and Certification Capabilities of Sustainability Management Systems for Large-Scale Events;

--Part 5: Requirements for Asset Management System Audit and Certification Capabilities;

--Part 6: Requirements for Business Continuity Management System Audit and Certification Capabilities;

--Part 7: Requirements for Audit and Certification Capabilities of Road Traffic Safety Management Systems;

--Part 8: Audit and Certification Capabilities Requirements for Urban and Community Sustainable Development Management Systems;

--Part 9: Requirements for Auditing and Certification Capabilities of the Anti-Bribery Management System;

--Part 10: Requirements for Occupational Health and Safety Management System Audit and Certification Capabilities;

--Part 11: Requirements for Facility Management System Audit and Certification Capabilities;

--Part 12: Audit and Certification Capabilities Requirements for Collaborative Business Relationship Management System;

--Part 13: Requirements for Compliance Management System Audit and Certification Capabilities;

--Part 14: Requirements for auditing and certification capabilities of the document (archive) management system.

1 Scope

This document specifies the specific competency requirements for personnel involved in the audit and certification process of the Document (Record) Management System (MSR).

GB/T 27021.1-2017 Supplement to existing requirements.

Note: This document applies to audits and certifications based on ISO 30301 MSR. It also applies to other MSRs.

2 Normative references

The contents of the following documents, through normative references within the text, constitute essential provisions of this document. Dated citations are listed below.

For references to documents, only the version corresponding to that date applies to this document; for undated references, the latest version (including all amendments) applies. This document.

GB/T 27021.1-2017 Requirements for Conformity Assessment Management Systems - Audit and Certification Bodies - Part 1: Requirements (ISO /IEC 17021-1. 2015, IDT)

ISO 30300 Core Concepts and Terminology for Information and Documentation Management

ISO 30301 Requirements for Information and Documentation Management Systems ment systems for records-Requirements)

Note: GB/T 34112-2022 Requirements for information and documentation (archives) management systems (ISO 30301:2019, IDT)

3 Terms and Definitions

The terms and definitions defined in GB/T 27021.1-2017, ISO 30301 and ISO 30300 apply to this document.

The certification body shall determine the capability requirements for each certification function as described in Table A.1 of GB/T 27021.1-2017. In determining these... When specifying capability requirements, the certification body shall comply with all requirements stipulated in GB/T 27021.1-2017, as well as those outlined in Chapters 5 and 6 of this document.

The requirements are specified and relate to the MSR technical fields as defined by the certification body (see 7.1.2 in GB/T 27021.1-2017).

Note 2.GB/T 19011 provides information on the audit principles.

4 General competency requirements

Note 1. Appendix A provides a summary of the knowledge required for MSR audit and certification.

5 MSR Auditor Competency Requirements