IAF PL3 Issue 4 Version3 19072023

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IAF PL 3:2023 International Accreditation Forum, Inc.

IAF Policy Document

Policies and Procedures on the IAF


MLA Structure and for Expansion of the
Scope of the IAF MLA

Issue 4, Version 3

(IAF PL 3:2023)

Issued: 19 July 2023 Application Date: 07 October 2022 IAF PL 3:2023


Issue 4, Version 3
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IAF PL 3:2023 International Accreditation Forum, Inc.

Issue 4, Version 3 Policies and Procedures on the IAF MLA Structure Page 2 of 20
and for Expansion of the Scope of the IAF MLA

The International Accreditation Forum, Inc. (IAF) facilitates trade and supports
industry and regulators by operating a worldwide mutual recognition arrangement
among Accreditation Bodies (ABs) in order that the results issued by Conformity
Assessment Bodies (CABs) accredited by IAF members can be accepted globally.

Accreditation reduces risk for business and its customers by assuring them that
accredited CABs are competent to carry out the work they undertake within their
scope of accreditation. ABs that 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.

ABs that are signatories to the IAF Multilateral Recognition Arrangement (MLA) are
evaluated regularly by an appointed team of peers to provide confidence in the
operation of their accreditation programs. The structure of the IAF MLA is detailed in
IAF PL 3 - Policies and Procedures on the IAF MLA Structure and for Expansion of
the Scope of the IAF MLA. The scope of the IAF MLA is detailed in the IAF MLA
Status document.

The IAF MLA is structured in five levels: Level 1 specifies mandatory criteria that
apply to all ABs, ISO/IEC 17011. The combination of a Level 2 activity(ies) and the
corresponding Level 3 normative document(s) is called the main scope of the MLA,
and the combination of Level 4 (if applicable) and Level 5 relevant normative
documents is called a sub-scope of the MLA.

• The main scope of the MLA includes activities e.g. product certification and
associated mandated standards e.g. ISO/IEC 17065. The attestations made by
CABs at the main scope level are considered to be equally reliable.

• The sub scope of the MLA includes conformity assessment requirements e.g.
ISO 9001 and scheme specific requirements, where applicable, e.g. ISO 22003-
1. The attestations made by CABs at the sub scope level are considered to be
equivalent.

The IAF MLA delivers the confidence needed for market acceptance of conformity
assessment outcomes. An attestation issued, within the scope of the IAF MLA, by a
body that is accredited by an IAF MLA signatory AB can be recognized worldwide,
thereby facilitating international trade.

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and for Expansion of the Scope of the IAF MLA

Table of Contents

1. SCOPE AND DEFINITIONS ............................................................................ 4


2. STRUCTURE OF THE IAF MLA ..................................................................... 4
3. PROCESS FOR PUBLICATION OF THE ACTUAL STATUS OF THE SCOPE
OF THE IAF MLA ........................................................................................... 6
4. EXPANSION OF THE SCOPE OF THE IAF MLA ........................................... 6
ANNEX 1 .............................................................................................................. 12
ANNEX 2 .............................................................................................................. 15

Issue No 4, Version 3
Prepared by: IAF Executive
Approved by: IAF Members Date: 07 November 2021
Issue Date: 19 July 2023 Application Date: 07 October 2022
Name for Enquiries: Elva Nilsen
IAF Corporate Secretary
IAF Corporate Secretary
Phone: +1 613 454-8159
Email: [email protected]

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and for Expansion of the Scope of the IAF MLA

Policies and Procedures on the IAF MLA Structure and for


Expansion of the Scope of the IAF MLA

1. SCOPE AND DEFINITIONS

This document describes:

- the general structure of the IAF Multilateral Recognition Arrangement (MLA);


- the process for publication of the actual status of the scope of the IAF MLA;
and
- the processes to expand the scope of the IAF MLA.

Definition 1: Schemes are also known as programs (specifically in the field of


Validation and Verification).

Definition 2: Endorsed normative document - International standards, guides or


sector specific schemes approved by the IAF General Assembly for
inclusion in the scope of the IAF MLA.

2. STRUCTURE OF THE IAF MLA

2.1 The IAF has established a Multilateral Recognition Arrangement (MLA) in the
following form:

Level 1 ISO/IEC 17011 specifies the criteria for the


Accreditation Body (AB)
Level 2 IAF MLA Accreditation Activities, in which the AB has
main scope demonstrated competence to perform
accreditation as specified by the IAF endorsed
generic accreditation normative documents
listed in Level 3
Level 3 IAF endorsed generic accreditation normative
document used by the AB to assess the
Conformity Assessment Body (CAB) for each
accreditation activity of Level 2
Level 4 IAF MLA IAF endorsed sector specific normative
sub-scope documents, which specify internationally
recognized applications of the generic
accreditation normative document listed in Level
3. The documents are used by the AB, in

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combination with the generic normative


document listed in Level 3 to assess the CAB
competence in the relevant sector.
Level 5 IAF endorsed conformity assessment normative
document used by the accredited CABs.

Note 1: The combination of a Level 2 activity and the Level 3 relevant normative
document is called a main scope of the MLA.

Note 2: Level 4 and Level 5 do not exist for all main scopes. Level 4 and Level 5
are called sub-scopes of the MLA.

Note 3: Even though IAF documents with a mandatory application status are not
specifically referenced in the IAF MLA structure these documents must still
be followed accordingly.

2.2 The scope of the IAF MLA includes main scopes and sub-scopes. The main
scopes include accreditation activities (Level 2) such as the accreditation of CABs
providing certification of management systems, certification of persons, certification
of products, and validation & verification. These are based on international
standards for conformity assessment bodies (Level 3) such as ISO/IEC 17021-1,
ISO/IEC 17024, ISO/IEC 17065, and ISO/IEC 17029, as endorsed by IAF, and
associated IAF application documents to the standards (see Note 3 above).

Membership to the IAF MLA for a main scope provides confidence that attestations
made by CABs accredited by IAF MLA accreditation body signatories under that
main scope are equally reliable in the outcomes of conformity assessment
activities.

2.3 A main scope of the IAF MLA may specifically define sub-scopes which are
conformity assessment schemes (e.g. for specific product, management system,
persons or validation & verification) based on relevant standards or normative
documents as endorsed by IAF and associated IAF application documents (see
Note 3 above), as appropriate.

Membership to the IAF MLA for a sub-scope provides confidence that attestations
of the outcomes of the specific conformity assessment scheme (e.g. ISO 9001, ISO
14001, etc) operated by CABs accredited by the IAF MLA accreditation body
signatories of that sub-scope are equivalent.

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3. PROCESS FOR PUBLICATION OF THE ACTUAL STATUS OF THE


SCOPE OF THE IAF MLA

3.1. The actual endorsed status of the scope of the IAF MLA is available as a
separate document “IAF MLA Status DDMMYYYY”. In this document the standards
or sector schemes are referenced by their names and version numbers/dates.

3.2. The “IAF MLA Status DDMMYYYY” document does not require a separate
membership ballot for publication as corresponding decisions on the IAF MLA shall
have been taken in advance by the IAF Membership.

3.3. The IAF Secretariat is responsible for updating the “IAF MLA Status
DDMMYYYY” document, which is published on the IAF MLA page of the IAF
website, at www.iaf.nu, after a final check by the IAF MLAC Chairperson.

4. EXPANSION OF THE SCOPE OF THE IAF MLA

4.1. Procedure for Expansion of the Scope of the IAF MLA Based on
Publicly Owned (Including Regulatory) Normative Documents

4.1.1 This procedure applies to both IAF MLA main scope expansions and IAF
MLA sub-scope expansions.

4.1.2 Publicly owned (including regulatory) normative documents are documents


from international, regional or national standardisation/standard-setting
organisations or regulatory authorities.

4.1.3 IAF members can propose to the IAF MLA Committee Chairperson to expand
the IAF MLA to a specific scheme based on publicly owned normative documents
which have not yet been endorsed as scopes of the IAF MLA. Following approval by
the IAF MLA Committee, the IAF MLA Committee Chairperson shall bring the
proposal to the IAF Executive Committee.

4.1.4 Following approval of the IAF Executive Committee, the IAF Executive
Committee will establish a Task Force Group (TFG) and a TFG lead responsible for
the administration of the IAF MLA scope expansion process. The competence for
the project is provided by representation from a number of IAF committees; the TFG
will consist of at least the IAF MLA Committee, the IAF Technical Committee and
the IAF User Advisory Committee Chairpersons or their nominees. The Committee
Chairpersons can assign relevant issues to sub-structures in their committees
during the scope expansion process.

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4.1.5 The assigned TFG shall analyse the scheme as per the criteria detailed in
Annex 1. The IAF Technical Committee shall consider Annex 1 points 2, 3.a. and
3.d., and the IAF MLA Committee shall consider Annex 1 points 3.b., 3.c.and 3.d.

4.1.6 Once satisfied that the scheme conforms to the criteria in Annex 1, the TFG
shall establish a recommendation for the scope of the IAF MLA to be expanded to
include the scheme.

4.1.7 The TFG Lead shall submit the final recommendation to the Executive
Committee for approval.

4.1.8 The Executive Committee shall ensure that the documentation and
recommendation from the TFG are sufficiently clear to submit them to IAF Members
for decision.

4.1.9 The decision to include an additional main scope and/or sub-scope in the IAF
MLA shall be voted on in an IAF General Assembly or by electronic ballot. If
accepted, it will be added to the document “IAF MLA Status DDMMYYYY” by the
final day of the voting event.

4.1.10 Requests of Regions and/or ABs to extend their recognition to the new
IAF MLA main scope or sub-scope are only possible after:

a) the IAF Technical Committee has developed a specific IAF application


document, if required; and
b) the IAF MLA Committee has decided on additional preparation/measures
of inclusion in the peer evaluation system, if required.

The IAF Secretary will inform members as soon as applications are possible.

4.2 Policy and Procedure for Expansion of the Scope of the IAF MLA Based
on Privately Owned Sector Schemes

4.2.1 Policy for Expansion of the Scope of the IAF MLA based on Privately Owned
Sector Schemes

4.2.1.1. IAF welcomes the opportunity to work with Scheme Owners operating
a third-party international sector scheme wishing to expand the IAF MLA to include
a scheme-specific IAF MLA sub-scope.

4.2.1.2. Expanding the IAF MLA is also beneficial to the Scheme Owner as it
allows IAF Accreditation Body Members to contribute their expertise to the ongoing
development of the scheme.

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4.2.1.3 An IAF MLA sub-scope expansion to a privately owned sector scheme


only demonstrates that the scheme conforms to IAF MLA requirements and the
scheme is included in the IAF peer evaluation process of ABs endorsed for the
scheme-specific IAF MLA sub-scope. It must not be considered a judgement on the
market value or usefulness of the technical requirements of the given sector
scheme or preference for use of that scheme in the scheme’s sector.

4.2.2 Procedure for Expansion of the Scope of the IAF MLA based on Privately
Owned Sector Schemes

4.2.2.1 A Scheme Owner wishing to receive an IAF MLA sub-scope


expansion for a sector scheme must be an IAF member.

4.2.2.2. An application for a privately owned third-party sector scheme to be


included as an IAF MLA sub-scope shall be submitted to the IAF Secretary by the
Scheme Owner. The application shall at a minimum include comprehensive
answers to all questions in Annex 2 and all scheme-relevant documentation (at no
charge to IAF). The Scheme Owner shall agree to pay fees to the ABs evaluating
the scheme on behalf of IAF, except if an evaluation of the sector scheme has
already been performed based on the requirements of Annex 2 within a Recognized
Regional Group and the outcome of the evaluation can be used by IAF.

4.2.2.3. The new IAF MLA scope-expansion application shall be circulated to


the IAF MLA Committee, IAF Technical Committee and IAF User Advisory
Committee Chairpersons, who will submit their opinion and proposal to the IAF
Secretary within 30 days.

4.2.2.4. The IAF Secretary shall distribute the application and feedback from
the IAF MLA Committee, IAF Technical Committee and IAF User Advisory
Committee Chairpersons to the IAF Executive Committee for approval to start the
IAF MLA sub-scope expansion process to the Sector scheme.

Following approval of the IAF Executive Committee, the IAF Executive Committee
will establish a Task Force Group (TFG) and a TFG lead responsible for the
administration of the IAF MLA scope expansion process. The competence for the
project is provided by representation from a number of IAF committees; the TFG will
consist of at least the IAF MLA Committee, the IAF Technical Committee and the
IAF User Advisory Committee Chairpersons or their nominees. The Committee
Chairpersons can assign relevant issues to sub-structures in their committees
during the scope expansion process.

4.2.2.5. Actions to be taken shall include the following:

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a) The TFG will request the Recognized Regional Groups to propose an AB


of their Region interested in evaluating the scheme.

The Recognized Regional Group and AB cited above must be IAF MLA
signatories to the IAF MLA main scope the sector scheme is built upon.
ABs with competence in accrediting CABs to the scheme are preferred
choices.
b) The TFG will assign at least 2 Accreditation Bodies from 2 different
Recognized Regional Groups in which the scheme is active or is expected
to be active in the short term to separately evaluate the Sector scheme
according to the requirements included in Annex 2. If Accreditation Bodies
of only one Recognized Regional Group are interested in performing the
evaluation of a sector scheme, the IAF EC can decide to extraordinarily
agree to assign 2 ABs from only one Region.
If an evaluation of the sector scheme was already performed based on the
requirements of Annex 2 within a Recognized Regional Group, the
outcome should be used by the assigned AB of that Recognized Regional
Group.
c) The Scheme Owner will be informed:
• by the TFG lead of the assignment and will be requested to provide
answers to representatives of the assigned ABs.
• of the fees which will be charged by the involved ABs for the
evaluation of the scheme, notably when the scheme has not already
been evaluated at the level of the Recognized Regional Group of the
concerned ABs.
d) The assigned ABs will finish their respective evaluations within 6 weeks.
e) The assigned ABs will exchange their findings and work together to come
to a mutual conclusion within another 6 weeks. At that stage the assigned
ABs may jointly need to request clarifications/information and necessary
changes to the scheme from the assigned Scheme Owner, hence the
Scheme Owner representative is required to expeditiously answer any
requests.
f) The assigned ABs and Scheme Owner representative will develop a
proposal for an implementation plan/work program for the proposed new
sector scheme within another 4 weeks. This plan will include the
identification of the needs and expectations of the sector scheme that can
currently be met, and those needs and expectations that will require
further scheme development.

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g) The assigned ABs will transmit the common result/conclusions of the


evaluation (even if some issues remain open/unresolved) and proposed
implementation plan/work program to the TFG Lead within a maximum of
16 weeks after assignment.
h) The TFG will review the results of the assigned AB evaluations and
implementation plan/work program within 30 days and work with the
Scheme Owner to develop a specific MoU agreement between IAF and
the Scheme Owner.
i) If sufficiently satisfied, the TFG - via the IAF MLA Secretary – will submit
the result of the analysis including the implementation plan/work program
to IAF MLA Committee members for a 30-day comment period.
j) The TFG and assigned ABs will review the IAF MLA Committee members’
feedback.
k) The TFG and/or the assigned ABs will liaise with the Scheme Owner to
close-out open issues or any required changes to the scheme.
l) The TFG will provide a proposal ready for voting on by the IAF
membership to the Executive Committee for consideration.

4.2.2.6. If the Executive Committee supports the positive result of the TFG, an
IAF membership ballot for IAF MLA sub-scope expansion will be conducted (in an
IAF General Assembly or by electronic balloting) based on the result of the
evaluation process (including all the relevant documents) and including the IAF-
Scheme Owner MoU referenced in 4.2.2.5.h).

4.2.2.7. The sector scheme will become an IAF MLA sub-scope once the IAF
Chair and a Scheme Owner delegated management representative sign the MoU
agreement after a successful ballot in accordance with 4.2.2.6. The newly endorsed
normative documents for the sector scheme specific sub-scope shall be added to
the document “IAF MLA Status DDMMYYYY” as described in clause 3 above.

4.2.2.8. Requests of Regions and/or ABs to extend their recognition to the new
IAF MLA sub-scope are only possible after:

a) the Technical Committee has developed a specific IAF application


document, if required; and
b) the MLA Committee has decided on additional preparation/measures of
inclusion in the peer evaluation system, if required.

The IAF Secretary will inform members as soon as applications are accepted.

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4.2.2.9. Once the scheme has been included as an IAF MLA sub-scope, any
subsequent changes must be approved via the following process:

a) The new draft (as soon as only editorial changes to the scheme version
are possible) or final version and other document(s) shall be submitted by
the Scheme Owner together with a detailed gap analysis and proposed
transition plan for implementation of the new version document(s) to the
IAF Secretary.
b) The TC Chair and MLAC Chair shall each at least assign one competent
person to review the submission and the adequacy of the transition period
to allow CABs/ABs to adjust their operation to the introduced changes.
c) The result of the review shall be transmitted by the assigned persons
according to point b) above within 4 weeks to the Technical Committee
and MLA Committee Chairpersons for their decision as to whether the
scheme continues to comply with IAF PL3. If the changes to the scheme
are substantial, an evaluation according to 4.2.2.5 will be initiated and an
IAF membership ballot for the new version of the scheme will be
conducted.

End of Policies and Procedures on the IAF MLA Structure and for Expansion of the
Scope of the IAF MLA

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 the IAF website: http://www.iaf.nu

Secretariat:
IAF Corporate Secretary
Telephone: +1 613 454-8159
Email: [email protected]

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ANNEX 1

Information to be provided on the proposed inclusion of standards/normative documents in the IAF MLA

1. General description/explanation of the proposed standards/normative documents (including the scope of the MLA for
the standards/normative documents):

IAF Requirement
2. General Criteria (IAF TC responsibility) Descriptive information of how Comments**
requirement is met or to be met*
a) Significant relevance to the accreditation of
conformity assessment bodies under the
scope of the IAF activities.
b) Sufficient substance to enhance the
recognition of professional competence.
c) Fulfils appropriate needs on an
international, regional or national basis.
d) Lack of inclusion poses threats to IAF
leadership in accreditation.
e) Complementary to or supportive of any of
the other standards being currently used.
f) Does not contradict any existing standard
under the MLA, including ISO/IEC 17011.

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g) Document must be produced by a


consensus process.
h) As a precondition for IAF expanding the IAF
MLA into a new main scope an international
standard for accreditation of conformity
assessment bodies has been developed
and published which contains requirements
applicable to the types of conformity
assessment bodies other than those
covered by the existing IAF MLA main
scopes.
3. Further Actions Required Descriptive information of how Comments**
requirement is met or to be met*
a. Need for the development of specific IAF
application documents for inclusion of
publicly owned standards/normative
documents in the MLA (IAF TC
responsibility*).
IF YES, development of the document
b. Need for additional preparation of peer
evaluation (IAF MLAC responsibility*).
c. Peer evaluation methodology to be used
(IAF MLAC responsibility*)
d. IAF MLA levels of the new

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standards/normative documents (Joint IAF


TC and IAF MLAC responsibilities*)

* to be filled in by the Person(s) proposing the IAF MLA sub-scope expansion

** to be filled in by the respective Committees, which need to recommend the IAF MLA sub-scope expansion in their
respective (and indicated) field of competence

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ANNEX 2

Information to be provided for the inclusion of a private sector scheme as a new sub-scope in the IAF MLA

1. General description/explanation of the proposed sector scheme


(please provide information on its scope and any other information relevant to the scheme’s operation, which is not covered
in the tables 2,3 4 below):

IAF Requirement
2. Objective Evidence Information and/or evidence of how Comments**
requirement is met or to be met*
a) Evidence of the scheme owner representing
a substantial part of the affected sector and
market impact of the sector scheme.
b) Evidence that normative document(s) of the
sector scheme (e.g. for specific product,
management system, person certification or
validation & verification) are based upon
publicly available normative documents,
which has(have) been developed and will be
reviewed and updated as required at
appropriate intervals in an open and
transparent manner, is(are) set out preferably

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in separate normative documents from the


conformity assessment requirements, in
order to assist transparency, non-
discrimination and open competition among
conformity assessment through a consensus
process involving participation by interested
parties and is publicly available.
c) Evidence that the sector scheme has clear
international, regional or national market
support.
d) Evidence of operating and administrating in
an open, non-discriminatory and transparent
manner, avoiding conflicts of interest or
limitation on the acceptance of conformity
assessment bodies or accreditation bodies
other than relevant technical considerations.
e) Evidence that the sector scheme is based on
the international standards for accreditation
of conformity assessment bodies without any
requirements which either contradict or
exclude any of the requirements of ISO/IEC
17011 nor of the relevant IAF MLA level 3
accreditation standard.
3. Policy Declarations Declaration on how the IAF Policy Comments**

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requirements will be met*


a) Intends to make effective use of the expertise
of IAF MLA signatories and the value of the
IAF worldwide MLA.
b) Commits to use IAF application documents,
with specific requirements for accreditation
bodies and conformity assessment bodies
which are prepared by IAF in co-operation
with the scheme owner, where such
documents are required as determined by
IAF.
c) Confirms that no discrimination of ABs
wishing to provide accreditation to an IAF
MLA sub-scope endorsed sector scheme are
contained in the scheme.
d) Commits to involve only the accreditation
bodies which are signatories of the IAF MLA
in the operation of the scheme.
e) Agrees to make all normative documents
relevant to its sector scheme available at a
fair and reasonable cost for Members of IAF
and their applicants/accredited bodies to
adopt into their accreditation/conformity
assessment programs.

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f) Understands what IAF can and can not


provide.
g) Agrees to contribute to the development of
specific requirements for accreditation bodies
and conformity assessment bodies for the
sector scheme if needed.
h) Agrees to contribute to the development and
preparation of any requirements specific to its
scheme in order to meet the scheme owner’s
particular needs (if such specific
requirements are needed).
i) Guarantees that the sector scheme does not
include provisions violating the requirements
of the IAF MLA level 3 standard the sector
scheme is built upon.
j) Accepts that changes of the sector scheme
after IAF endorsement are not automatically
covered by an IAF MLA sector scheme sub-
scope.
k) Accepts and understands the IAF policy for
endorsement of privately owned normative
documents as set out in Clause 4.2.1.
l) Agrees to provide new draft version
document(s) with a gap analysis for

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© International Accreditation Forum, Inc. 2023
IAF PL 3:2023 International Accreditation Forum, Inc.

Issue 4, Version 3 Policies and Procedures on the IAF MLA Structure Page 19 of 20
and for Expansion of the Scope of the IAF MLA

evaluation (4.2.2.9) and proposed transition


plan for implementation of new version
document(s) to IAF in order to allow IAF to
make sure, that the scheme continues to
comply with the requirements in PL3 in a
timely manner.
4. Specific Requirements Information* Comments
a) scheme owner must be an IAF Member **
(membership since when)
b) scheme owner liaison representative’s name **
and contact details with decision-making
responsibilities sufficient to be able to answer
corresponding questions expeditiously (within
at least 7 days).
c) Specific requirements for accreditation bodies ***
and conformity assessment bodies
prescribed by the sector scheme (if any) not
included in the corresponding IAF MLA level
3 standard the sector scheme is built upon.
d) Need for IAF to develop specific ****
requirements for accreditation bodies and
conformity assessment bodies for the sector
scheme.

Issued: 19 July 2023 Application Date: 07 October 2022 IAF PL 3:2023


Issue 4, Version 3
© International Accreditation Forum, Inc. 2023
IAF PL 3:2023 International Accreditation Forum, Inc.

Issue 4, Version 3 Policies and Procedures on the IAF MLA Structure Page 20 of 20
and for Expansion of the Scope of the IAF MLA

* Information and/or documented evidence as to how the IAF requirements are met, or will be met by the sector scheme, to
be filled in by the scheme owner for every field.

** to be filled in by the assigned ABs involved in the review and, where required, by the Task Force Group appointed by
the Executive Committee

*** to be filled in by the IAF TC

**** to be verified by the IAF Secretary

Issued: 19 July 2023 Application Date: 07 October 2022 IAF PL 3:2023


Issue 4, Version 3
© International Accreditation Forum, Inc. 2023

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