ISO/IEC 19770-11:2021

INTERNATIONAL ISO/IEC
STANDARD 19770-11
First edition
2021-06
Information technology — IT asset
management —
Part 11:
Requirements for bodies providing
audit and certification of IT asset
management systems
Technologies de l'information — Gestion de biens de logiciel —
Partie 11: Exigences pour les organismes procédant à l’audit et à la
certification des systèmes de management de la gestion des actifs
logiciels
Reference number
©
ISO/IEC 2021
© ISO/IEC 2021
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ii © ISO/IEC 2021 – 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 . 2
5.1 Legal and contractual matters . 2
5.2 Management of impartiality . 2
5.2.1 General. 2
5.2.2 SM5.2.2 Conflicts of interest . 2
5.3 Liability and financing . 2
6 Structural requirements . 2
7 Resource requirements . 3
7.1 Competence of personnel . 3
7.1.1 General considerations . 3
7.1.2 Determination of competence criteria . 3
7.1.3 Evaluation processes . 5
7.1.4 Other considerations . 6
7.2 Personnel involved in certification activities . 6
7.3 Use of individual external auditors and external technical experts . 6
7.4 Personnel records. 6
7.5 Outsourcing. 6
8 Information requirements . 6
8.1 Public information . 6
8.2 Certification documents . 6
8.2.1 General. 6
8.2.2 SM8.2.2 Scope definition . 6
8.3 Reference to certification and use of marks . 6
8.4 Confidentiality . 7
8.4.1 General. 7
8.4.2 SM8.4.2 Access to the client’s documents, including records . 7
8.5 Information exchange between a certification body and its clients . 7
9 Process requirements . 7
9.1 Pre-certification activities . 7
9.1.1 Application . 7
9.1.2 Application review . 7
9.1.3 Audit programme . 7
9.1.4 Determining audit time . 7
9.1.5 Multi-site sampling .10
9.1.6 Multiple management systems standards .11
9.2 Planning audits .11
9.2.1 Determining audit objectives, scope and criteria .11
9.2.2 Audit team selection and assignments .11
9.2.3 Audit plan .11
9.3 Initial certification .12
9.3.1 General.12
9.3.2 SM9.3.2 Identification of other parties .12
9.3.3 SM9.3.3 Integration of ITAMS documentation with that for other
management systems .12
9.4 Conducting audits .12
© ISO/IEC 2021 – All rights reserved iii

9.4.1 General.12
9.4.2 Conducting the opening meeting .12
9.4.3 Communication during the audit .12
9.4.4 Obtaining and verifying information .13
9.4.5 Identifying and recording audit findings .13
9.4.6 Preparing audit conclusions .13
9.4.7 Conducting the closing meeting .13
9.4.8 Audit report .13
9.4.9 Cause analysis of nonconformities .13
9.4.10 Effectiveness of corrections and corrective actions .13
9.5 Certification decision .13
9.6 Maintaining certification .13
9.7 Appeals .13
9.8 Complaints .13
9.9 Client records .14
10 Management system requirements for certification bodies .14
Annex A Knowledge and skills for ITAMS auditing and certification .15
Bibliography .16
iv © ISO/IEC 2021 – 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.
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 or www .iec .ch/ members
_experts/ refdocs).
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) or the IEC
list of patent declarations received (see patents.iec.ch).
Any trade name used in this document is information given for the convenience of users and does not
constitute an endorsement.
For an explanation of 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 www .iso .org/
iso/ foreword .html. In the IEC, see www .iec .ch/ understanding -standards.
This document was prepared by Joint Technical Committee ISO/IEC JTC 1, Information technology,
subcommittee SC 7, Software and systems engineering.
A list of all parts in the ISO/IEC 19770 series can be found on the ISO and IEC websites.
Any feedback or questions on this document should be directed to the user’s national standards body. A
complete listing of these bodies can be found at www .iso .org/ members .html and www .iec .ch/ national
-committees.
© ISO/IEC 2021 – All rights reserved v

Introduction
This document is for use by certification bodies for auditing and certifying a management system for
IT asset management (ITAM), referred to as an “IT asset management system” (ITAMS) in accordance
with ISO/IEC 19770-1. It can also be used by accreditation bodies when assessing certification bodies.
It is intended to be used in conjunction with ISO/IEC 17021-1, which sets out criteria for certification
bodies providing audit and certification of management systems. This document provides requirements
additional to those in ISO/IEC 17021-1.
Correct application of this document enables certification bodies to harmonize their application
of ISO/IEC 17021-1 for audits against ISO/IEC 19770-1. It will also enable accreditation bodies to
harmonize their application of the standards they use to audit certification bodies.
This document follows the structure of ISO/IEC 17021-1, as far as possible. The requirements additional
to those in ISO/IEC 17021-1 are identified by subclauses titles that include “SMxxx”.
ISO/IEC 17021-1 and this document use the term “client” for the organization seeking certification.
vi © ISO/IEC 2021 – All rights reserved

INTERNATIONAL STANDARD ISO/IEC 19770-11:2021(E)
Information technology — IT asset management —
Part 11:
Requirements for bodies providing audit and certification
of IT asset management systems
1 Scope
This document specifies requirements and provides guidance for certification bodies providing audit
and certification of an ITAMS in accordance with ISO/IEC 19770-1. It does not change the requirements
specified in ISO/IEC 19770-1.
This document can also be used by accreditation bodies for the accreditation of certification bodies.
However, this document does not specify requirements or provides guidance for accreditation bodies to
audit certification bodies.
A certification body providing ITAMS certification is expected to be able to demonstrate fulfilment of
the requirements specified in this document, in addition to the requirements in 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
ISO/IEC 19770-1, Information technology — IT asset management — Part 1: IT asset management
systems — Requirements
ISO/IEC 19770-5, Information technology — IT asset management — Part 5: Overview and vocabulary
ISO/IEC 20000-1, Information technology — Service management — Part 1: Service management system
requirements
3 Terms and definitions
For the purposes of this document, the terms and definitions given in ISO/IEC 17021-1 and
ISO/IEC 19770-5 apply.
ISO and IEC maintain terminological databases for use in standardization at the following addresses:
— ISO Online browsing platform: available at https:// www .iso .org/ obp
— IEC Electropedia: available at http:// www .electropedia .org/
4 Principles
The principles in ISO/IEC 17021-1:2015, Clause 4 apply.
© ISO/IEC 2021 – All rights reserved 1

5 General requirements
5.1 Legal and contractual matters
The requirements in ISO/IEC 17021-1:2015, 5.1 apply.
5.2 Management of impartiality
5.2.1 General
The requirements in ISO/IEC 17021-1:2015, 5.2 apply. In addition, the following requirements and
guidance apply.
5.2.2 SM5.2.2 Conflicts of interest
Certification bodies may carry out the following duties without them being considered as consultancy
or having a potential conflict of interest:
a) arranging and participating as a lecturer in training courses; where these courses relate to ITAM,
related management systems or auditing, certification bodies shall confine themselves to the
provision of generic information and advice which is publicly available, i.e. they shall not provide
company-specific advice;
b) making available or publishing on request information describing the certification body’s
interpretation of the requirements of the certification audit standards;
c) activities prior to audit, solely aimed at determining readiness for certification audit; these
activities shall not result in the provision of recommendations or advice that would contravene this
subclause; certification bodies shall be able to confirm that such activities do not contravene these
requirements and that they are not used to justify a reduction in the eventual certification audit
duration;
d) performing second and third-party audits according to other standards or regulations not directly
related to the ITAMS;
e) adding value during certification audits, e.g. by identifying opportunities for improvement, as they
become evident during the audit, without recommending specific solutions.
Certification bodies shall not provide internal ITAM reviews of the client’s ITAMS subject to
certification. Certification bodies shall be independent of the body or bodies (including any individuals)
which provide the internal ITAMS audit.
5.3 Liability and financing
The requirements in ISO/IEC 17021-1:2015, 5.3 apply.
6 Structural requirements
The requirements in ISO/IEC 17021-1:2015, Clause 6 apply.
2 © ISO/IEC 2021 – All rights reserved

7 Resource requirements
7.1 Competence of personnel
7.1.1 General considerations
7.1.1.1 General
The requirements in ISO/IEC 17021-1:2015, 7.1.1 apply. In addition, the following requirements and
guidance apply.
7.1.1.2 SM7.1.1.2 Generic competence requirements
The certification body shall ensure that it has knowledge of the technological, legal and regulatory
developments relevant to the ITAMS of the client which it assesses.
The certification body shall define the competence requirements for each certification function as
referenced in ISO/IEC 17021-1:2015, Table A.1. The certification body shall take into account all the
requirements specified in ISO/IEC 17021-1, 7.1.2 and 7.2.2 that are relevant for the ITAMS technical
areas as determined by the certification body.
NOTE Annex A provides a summary of the competence requirements for personnel involved in specific
certification functions.
7.1.2 Determination of competence criteria
7.1.2.1 General
The requirements in ISO/IEC 17021-1:2015, 7.1.2 apply. In addition, the following requirements and
guidance apply.
7.1.2.2 SM7.1.2.2 Competence requirements for ITAMS auditing
7.1.2.2.1 The term “technical area”
ISO/IEC 19770-1 states that all requirements are generic and intended to be applicable to IT assets of
organizations regardless of their types and sizes. IT assets encompass asset types such as executable
software (e.g. application programs, operating systems), non-executable software (e.g. fonts,
configuration information), and IT hardware (e.g. PC, server, printer). In addition, the requirements
of ISO/IEC 19770-1 can be applied to all technological environments and computing platforms (e.g.
virtualized software applications, cloud-based software-as-a-service). For ISO/IEC 19770-1 audits, the
term “technical area” relates to the ITAMS, including all ITAM-related processes and governance within
the scope of the ITAMS. “Technical area” does not relate to any underlying technology used to enable
ITAM.
7.1.2.2.2 General requirements
The audit team members shall at least have knowledge of:
a) management systems in general;
b) ITAMS maturity assessments;
c) service management system (SMS) or information security management systems (ISMS) as ITAMS
related management systems;
d) principles of auditing.
© ISO/IEC 2021 – All rights reserved 3

NOTE Further information on the principles of auditing can be found in ISO 19011.
Criteria a), b) and d) apply to all auditors being part of the audit team. Criteria c) is only relevant for
audit team members involved in a combined management system audit as addressed in 9.1.6.
7.1.2.2.3 ITAMS standards and normative documents
Collectively, all members of the audit team shall have knowledge of all requirements specified in
ISO/IEC 19770-1 as well as the terminology specified in ISO/IEC 19770-5.
7.1.2.2.4 ITAM principles, practices and techniques
All members of the audit team shall have knowledge of:
a) ITAM roles and responsibilities;
b) processes applicable to ITAM;
c) organizational interfaces of ITAMS;
d) ITAM related tools, methods, techniques and their application;
The audit team shall also have team members with knowledge of IT compliance and software license
compliance in particular. This competency can be shared among the auditors in the audit team.
7.1.2.2.5 Business management practices
Auditors involved in ITAMS auditing shall have knowledge of:
a) business requirements for ITAM;
b) ITAM stakeholders;
c) general business management concepts, practices and the in
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