ISO/IEC 20000-6:2017

INTERNATIONAL ISO/IEC
STANDARD 20000-6
First edition
2017-06
Information technology — Service
management —
Part 6:
Requirements for bodies providing
audit and certification of service
management systems
Technologies de l’information — Gestion des services —
Partie 6: Exigences pour les organismes procédant à l’audit et à la
certification des systèmes de management de la gestion des services
Reference number
©
ISO/IEC 2017
© ISO/IEC 2017, Published in Switzerland
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ii © ISO/IEC 2017 – All rights reserved

Contents Page
Foreword .v
Introduction .vi
1 Scope . 1
2 Normative references . 1
3 Terms and definitions . 1
4 Principles . 1
5 General requirements . 1
5.1 Legal and contractual matters . 1
5.2 Management of impartiality . 2
5.3 Liability and financing . 2
6 Structural requirements . 2
7 Resource requirements . 2
7.1 Competence of personnel . 2
7.1.1 General considerations . 2
7.1.2 Determination of competence criteria . 2
7.1.3 Evaluation processes . 3
7.1.4 Other considerations . 3
7.2 Personnel involved in certification activities . 3
7.3 Use of individual external auditors and external technical experts . 3
7.4 Personnel records. 3
7.5 Outsourcing. 3
8 Information requirements . 4
8.1 Public information . 4
8.2 Certification documents . 4
8.3 Reference to certification and use of marks . 4
8.4 Confidentiality . 4
8.5 Information exchange between a certification body and its clients . 4
9 Process requirements . 4
9.1 Pre-certification activities . 4
9.1.1 Application . 4
9.1.2 Application review . 4
9.1.3 Audit programme . 5
9.1.4 Determining audit time . 5
9.1.5 Multi-site sampling . 8
9.1.6 Multiple management systems standards . 8
9.2 Planning audits . 9
9.2.1 Determining audit objectives, scope and criteria . 9
9.2.2 Audit team selection and assignments . 9
9.2.3 Audit plan . 9
9.3 Initial certification .10
9.4 Conducting audits .10
9.4.1 General.10
9.4.2 Conducting the opening meeting .10
9.4.3 Communication during the audit .10
9.4.4 Obtaining and verifying information .10
9.4.5 Identifying and recording audit findings .11
9.4.6 Preparing audit conclusions .11
9.4.7 Conducting the closing meeting .11
9.4.8 Audit report .11
9.4.9 Cause analysis of nonconformities .11
9.4.10 Effectiveness of corrections and corrective actions .11
© ISO/IEC 2017 – All rights reserved iii

9.5 Certification decision .11
9.6 Maintaining certification .11
9.7 Appeals .11
9.8 Complaints .11
9.9 Client records .11
9.10 Management system requirements for certification bodies .12
Bibliography .13
iv © ISO/IEC 2017 – All rights reserved

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 information technology, ISO and IEC have established a joint technical committee,
ISO/IEC JTC 1.
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 ISO documents 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 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 . i so .org/ iso/ foreword .html.
For an explanation on the voluntary nature of standards, 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: w w w . i s o .org/ iso/ foreword .html.
This document was prepared by Technical Committee ISO/IEC JTC 1, Information technology,
subcommittee, SC 40, IT Service Management and IT Governance.
A list of all parts in the ISO/IEC 20000 series can be found on the ISO website.
© ISO/IEC 2017 – All rights reserved v

Introduction
This document is for us
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