247906.IAF-ML1-2011 Exchange of Documents Pub

IAF ML 1:2011
International Accreditation Forum, Inc. (IAF)
IAF MLA Document
Guidance for the Exchange of

Documentation among MLA
Signatories for the Purposes of
Assessment of Conformity
Assessment Bodies
Issue 2
(IAF ML 1:2011)
Issue: 27 April 2011 Date of Application: 27 April 2011 IAF ML 1:2011_Exchange of Documents
© Copyright International Accreditation Forum, Inc. 2011
IAF ML 1:2011 International Accreditation Forum, Inc.
Guidance for Exchange of Documentation among MLA Signatories Page 2 of 9
Issue 2
for the Purposes of Assessment of Conformity Assessment Bodies
The International Accreditation Forum, Inc. (IAF) operates programs for the accreditation
of bodies that provide conformity assessment services. Such accreditation facilitates trade
and reduces demands for multiple certifications.
Accreditation reduces risk for business and its customers by assuring them that accredited
Conformity Assessment Bodies (CABs) are competent to carry out the work they undertake
within their scope of accreditation. Accreditation Bodies (ABs) which are members of IAF
and their accredited CABs are required to comply with appropriate international standards
and IAF mandatory documents for the consistent application of those standards.
AB members of the IAF Multilateral Recognition Arrangement (MLA) conduct regular

evaluations of each other to assure the equivalence of their accreditation programs. The
IAF MLAs operate at two levels:
• A MLA for the accreditation of CABs to standards including ISO/IEC 17021 for
management systems CABs, ISO/IEC 17024 for personnel CABs and ISO/IEC
Guide 65 for product CABs, is considered a framework MLA. A framework MLA
provides confidence that accredited CABs are equally reliable in the performance of
conformity assessment activities.
• A MLA for the accreditation of CABs that also includes the specific conformity
assessment standard or scheme as a scope of accreditation provides confidence in
the equivalence of certification.
The IAF MLA delivers the confidence needed for market acceptance of certification. An
organization, product or person with certification to a specific standard or scheme that is
accredited by an IAF MLA signatory AB can be recognized worldwide thereby facilitating
international trade.
Issue 2
Table of Contents
1.Introduction 4
1.1. Scope 4
1.2. Purpose 4
1.3. References 4
1.4. Terms 5
2.Routes and Method of Exchange 5
3.Review of Exchanged Documentation 6
4.Outcome of Review 6
5.Accreditation Decision 7
ANNEX 1 (Non-mandatory) 8
Prepared by: IAF MLA Committee

Approved by IAF Members Date: 28 March 2011
Issue Date: 27 April 2011 Application Date: 27 April 2011
Name for Enquiries: John Owen, IAF Corporate Secretary
Contact Phone: +61 2 9481 7343
Email <[email protected]>
Issue 2
Guidance for Exchange of Documentation among MLA Signatories for the

Purposes of Assessment of Conformity Assessment Bodies
1. Introduction
1.1 Scope
1.1.1. This document provides guidance for the exchange of documentation among IAF
MLA signatories, where such documentation issued by the originating accreditation body is
requested for consideration as part of assessment activities relating to the granting,
maintaining, extending, reducing, suspending and withdrawing of accreditation by the
receiving accreditation body. The publication of this document by IAF does not make it
mandatory for IAF member accreditation bodies to exchange documents. It sets out
guidelines for such an exchange when it is appropriate to do so, for example see IAF GD3
Guidance on Cross Frontier Accreditation.
Note: This document may also be used by accreditation bodies that are not IAF MLA
signatories when receiving documentation from IAF MLA signatories.
1.2. Purpose
1.2.1. The purpose of this guidance is:
(i) to provide recommended practices by which documentation may be requested and

shared among IAF MLA signatories in support of:
a) Cross frontier accreditation; and/or
b) any other need for documentation an accreditation body may have,

e.g.transfer of accreditation
(ii) to optimize cooperation among IAF MLA signatories, enabling the receiving AB to
gather appropriate and relevant information for their specific purpose. As a consequence of
increasing the available information on a CAB, this should assist in reducing time spent by
the receiving accreditation body thus reducing the overall cost of accreditation and
certification.
1.3. References
1.3.1 ISO/IEC 17011:2004 Conformity assessment – General requirements for

accreditation bodies accrediting conformity assessment bodies
Issue 2
1.3.2 IAF/ILAC A5:2009 IAF/ILAC Multi-Lateral Mutual Recognition Arrangements

(Arrangements) Application of ISO/IEC 17011:2004
1.3.3 IAF GD3:2003 Guidance on Cross Frontier Accreditation
1.3.4 IAF PR4:2010 Structure of IAF MLA and Endorsed Normative Documents
1.4 Terms
Abbreviations and definitions given in references of 1.3 above and the following apply.
1.4.1. Documentation: any relevant and pertinent documented information such as

assessment reports, and that relating to complaints, appeals, and the current conformity
status of a Conformity Assessment Body (CAB).
Note: Whenever the term “CAB” is used in the text, it applies to both the “applicant
and accredited conformity assessment body” unless otherwise specified.
1.4.2. Originating accreditation body (AB): IAF MLA signatory that issued
documentation.
1.4.3. Receiving accreditation body (AB): IAF MLA signatory that receives
documentation.
1.4.4. Transfer of Accreditation: the termination of accreditation with the originating

AB and the application to the receiving AB.
2. Routes and Method of Exchange

2.1. The exchange of documentation among IAF MLA signatories typically occurs via
two routes as described in 2.2 and 2.3 below:
2.2. An accredited CAB may submit documentation provided by the originating AB to

the receiving AB.
2.2.1. In the case of 2.2 above, the receiving AB should request the CAB to provide a
written consent (see example in ANNEX 1) to permit exchange of information, including
additional documentation by the originating AB for acceptability review. The receiving AB
is responsible to check the authenticity and should communicate with the originating AB in
accordance with 2.3 and 2.3.1 below.
Issue 2
2.3. The receiving AB can request documentation from the originating AB concerning
a CAB.
2.3.1. In the case of 2.3 above, the originating AB should obtain written consent from
the CAB prior to releasing the requested documentation to the receiving AB (see example
in ANNEX 1).
3. Review of Exchanged Documentation

3.1. The originating AB is responsible for the correctness and accuracy of the
documentation exchanged.
3.1.1 Unless otherwise requested by the receiving AB, the latest documentation should
be provided. Arrangement for translation of the documentation, if necessary, should be
agreed upon between the originating and receiving accreditation bodies. The arrangement
should involve the CAB if it is to bear the cost of translation.
3.2. The receiving AB should review and analyse the documentation exchanged to
determine acceptability as an alternate to all or part of their standard assessment process.
3..2.1 If the documentation exchanged is not deemed sufficient, the receiving AB should
communicate with the CAB and the originating AB to request additional information.
3.3 If the CAB does not allow the originating AB to provide confidential
documentation to the receiving AB, then the receiving AB may not possess all the
information needed to make a valid decision based on the documentation. In this
circumstance, the receiving AB should not rely on documentation provided by the CAB and
should consider undertaking an initial assessment.
4. Outcome of Review
4.1. Should the final analysis result in the conclusion that the documentation is
insufficient to suit the needs of the receiving AB, it should inform the CAB and the
originating AB.
4.2. If the documentation in part or entirety is found acceptable for purposes of

assessment, the receiving AB should inform the CAB what assessment process, will be
used.
Issue 2
5. Accreditation Decision
5.1. The use of exchanged documentation from the originating AB for the purposes of
initial accreditation, re-accreditation or surveillance assessments (including witnessing) by
the receiving AB should not be used as a means to delegate its decision making authority
and/or to exonerate from responsibility. (ISO/IEC 17011 clauses 4.2.2, 7.4.1 and 7.4.2a
refer)
5.2. Each IAF MLA signatory should make its own independent accreditation decision
based on available information and should not feel obliged to agree with conclusions found
in exchanged documentation.
Issue 2
ANNEX 1
(Non-mandatory)
Example of Consent to Exchange of Documentation among IAF MLA

signatories
(Name of CAB) hereby agrees to the exchange of mutually relevant accreditation
information, including documentation from (name of originating AB) to (name of receiving
AB) for use in assessment activities relating to the granting, maintaining, extending,
reducing, suspending and withdrawing of accreditation, as appropriate, under the
International Accreditation Forum Multilateral Recognition Arrangement.
Documentation will be held confidential in accordance with the requirements of the

ISO/IEC 17011:2004 Conformity assessment – General requirements for accreditation
bodies accrediting conformity assessment bodies, clause 4.4.
This release is effective for the entire term of (CAB’s) accreditation.
Authorized Signature:
Name:
Title:
CAB:
Date:
Issue 2
Further Information
For further Information on this document or other IAF documents, contact any member of
IAF or the IAF Secretariat.
For contact details of members of IAF see - IAF Web Site - <http://www.iaf.nu>
Secretariat -
John Owen,
IAF Corporate Secretary,
Telephone +612 9481 7343
email <[email protected]>

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IAF ML 1:2011

International Accreditation Forum, Inc. (IAF)

IAF MLA Document

Guidance for the Exchange of

AB members of the IAF Multilateral Recognition Arrangement (MLA) conduct regular

Prepared by: IAF MLA Committee

Guidance for Exchange of Documentation among MLA Signatories for the

1.2.1. The purpose of this guidance is:

(i) to provide recommended practices by which documentation may be requested and

a) Cross frontier accreditation; and/or

b) any other need for documentation an accreditation body may have,

1.3.1 ISO/IEC 17011:2004 Conformity assessment – General requirements for

1.3.2 IAF/ILAC A5:2009 IAF/ILAC Multi-Lateral Mutual Recognition Arrangements

1.3.3 IAF GD3:2003 Guidance on Cross Frontier Accreditation

1.4.1. Documentation: any relevant and pertinent documented information such as

1.4.4. Transfer of Accreditation: the termination of accreditation with the originating

2. Routes and Method of Exchange

2.2. An accredited CAB may submit documentation provided by the originating AB to

3. Review of Exchanged Documentation

4.2. If the documentation in part or entirety is found acceptable for purposes of

Example of Consent to Exchange of Documentation among IAF MLA

Documentation will be held confidential in accordance with the requirements of the

This release is effective for the entire term of (CAB’s) accreditation.

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