為確保疫情防控期間認(rèn)證機(jī)構(gòu)能夠采取一致和適當(dāng)?shù)拇胧_保認(rèn)證有效性，國(guó)際認(rèn)可論壇（IAF）公布了一系列“問(wèn)與答”（FAQ），涉及疫情期間的一些認(rèn)證和認(rèn)可工作的常見(jiàn)問(wèn)題及答復(fù)。目前IAF發(fā)布的“問(wèn)與答”文件涉及25個(gè)條目。中國(guó)合格評(píng)定國(guó)家認(rèn)可委員會(huì)（CNAS）全程參與了“問(wèn)與答”的研究，并在CNAS官網(wǎng)上提供了英文鏈接和中文參考譯文，供認(rèn)證機(jī)構(gòu)在疫情期間開(kāi)展認(rèn)證審核活動(dòng)時(shí)參考使用。這些常見(jiàn)問(wèn)題源自疫情期間IAF成員認(rèn)可機(jī)構(gòu)（AB）及其認(rèn)可的合格評(píng)定機(jī)構(gòu)（CBs）向IAF問(wèn)詢頻率較高的一些問(wèn)題。

這份“問(wèn)與答”文件形成了一個(gè)共同的理解和指南，使認(rèn)可機(jī)構(gòu)及其認(rèn)可的合格評(píng)定機(jī)構(gòu)能夠協(xié)調(diào)一致地管理疫情特定情況下的合格評(píng)定活動(dòng)。CNAS將以“問(wèn)與答”文件為認(rèn)可工作指南。凡是“問(wèn)與答”中IAF已回答的內(nèi)容，CNAS將按此執(zhí)行。

The FAQs are some of the questions that we are frequently asked in some (but not all) of the areas in which IAF Accreditation Body (AB) members and their accredited Certification Bodies (CBs) practice. The questions and answers are not intended to be exhaustive; however, they constitute a common understanding and a guidance to manage, in a harmonized way, the conformity assessment activities under the specific situation of COVID-19.

常見(jiàn)問(wèn)題是我們經(jīng)常被問(wèn)到的一些問(wèn)題 （但不是全部），這些問(wèn)題來(lái)自于IAF成員認(rèn)可機(jī)構(gòu)(AB)及其認(rèn)可的合格評(píng)定機(jī)構(gòu)(CBs) 的實(shí)踐。雖然，問(wèn)題和解答做不到詳盡全面；然而，它們構(gòu)成了一個(gè)共同的理解和指南，以協(xié)調(diào)一致的方式管理COVID-19（新冠疫情）特定情況下的合格評(píng)定活動(dòng)。

Q25: During the COVID-19 crisis, if a CAB conducts a part of the recertification of a management system with remote audit activities and plans to complete the remainder of the audit onsite within six months, is it possible to reissue the certificate at the conclusion of the remote audit activities?

A25: If the CAB is not able to perform evaluation activities physically or when these cannot fully be replaced with evaluation activities as per IAF MD 4, then the normal scheduled recertification activities may be postponed for up to 6 months (see Q13)

Despite of this, if the certificate is expired, according to ISO/IEC 17021-1 § 9.6.3.2.5, the certification body can restore certification within 6 months provided that the outstanding recertification activities are completed, otherwise at least a stage 2 shall be conducted.

a certificate can only be renewed if the CAB is able to evaluate all the applicable requirements of ISO/IEC 17021-1 (9.6.3.2) through a complete and effective audit of the client’s management system, followed by a successful review and decision making activities

by IAF FAQ TF  May 7, 2020

問(wèn)題25：在COVID-19新冠疫情危機(jī)期間，如果一個(gè)合格評(píng)定機(jī)構(gòu)通過(guò)遠(yuǎn)程審核活動(dòng)實(shí)施了一部分的管理體系再認(rèn)證，并計(jì)劃在六個(gè)月內(nèi)完成剩余部分的現(xiàn)場(chǎng)審核，是否有可能基于遠(yuǎn)程審核活動(dòng)的結(jié)論重新頒發(fā)證書？

回答25：如果CAB不能在現(xiàn)場(chǎng)實(shí)施評(píng)價(jià)活動(dòng)，或者評(píng)價(jià)活動(dòng)也不能完全由依據(jù)IAF MD 4規(guī)定的評(píng)價(jià)活動(dòng)所取代時(shí)，那么正常計(jì)劃的再認(rèn)證活動(dòng)可能會(huì)推遲6個(gè)月(見(jiàn)Q13)

盡管如此，如果認(rèn)證證書過(guò)期了，根據(jù)ISO/IEC17021-1 9.6.3.2.5，“如果認(rèn)證機(jī)構(gòu)能夠在6個(gè)月內(nèi)完成未盡的再認(rèn)證活動(dòng)，則可以恢復(fù)認(rèn)證，否則應(yīng)至少進(jìn)行一次第二階段才能恢復(fù)認(rèn)證。”

只有合格評(píng)定機(jī)構(gòu)通過(guò)對(duì)客戶管理體系進(jìn)行完整而有效的審核，確保ISO/IEC17021-1（9.6.3.2）的所有適用要求都得到滿足，并隨后實(shí)施了成功的復(fù)核和（認(rèn)證）決定活動(dòng)，認(rèn)證證書才能更新

IAF FAQ 特別工作組  2023年5月7日

Q24: What will happen to IAF MDs that are in transition (e.g. MD5, MD22)?; Will these be extended?

A24: Yes, transition periods of all IAF mandatory documents are extended for six months.

by IAF FAQ TF  April 26, 2020

問(wèn)題24：處于轉(zhuǎn)換過(guò)渡階段的IAF MD文件(如MD5、MD22)將會(huì)發(fā)生什么？這些文件的轉(zhuǎn)換期會(huì)延長(zhǎng)嗎？

回答24：是的，IAF所有的強(qiáng)制性文件的轉(zhuǎn)換過(guò)渡期延長(zhǎng)六個(gè)月。

IAF FAQ 特別工作組  2023年4月26日

Q23: In consideration of this extraordinary period, if a Management Systems Certification Body is not able to perform audits, physically or with remote audit technique, can an Accreditation Body replace a witness assessment, as required in IAF MD17, with a remote office assessment or with other assessment activities (IAF MD17, § 2.2.1)?

A23: If witnessing cannot be delayed, instead of observing a CAB carrying out conformity assessment services, an Accreditation Body may either :

use other mechanisms (office assessment activities or other assessment activities IAF MD17, § 2.2.1) to assess the scope of accreditation.

or maintain the scope of accreditation providing that the witnessing assessment shall still be conducted immediately once it is possible.  

by IAF FAQ TF  April 22, 2020

問(wèn)題23: 考慮到這一非常時(shí)期，如果管理體系認(rèn)證機(jī)構(gòu)不能實(shí)施審核，無(wú)論是現(xiàn)場(chǎng)審核還是使用遠(yuǎn)程審核技術(shù)，認(rèn)可機(jī)構(gòu)能否按照IAF MD17的要求，用遠(yuǎn)程辦公室評(píng)審或其他評(píng)審活動(dòng)（IAF MD17，2.2.1）取代見(jiàn)證評(píng)審？

回答23：如果見(jiàn)證不能延期，認(rèn)可機(jī)構(gòu)可以不用觀察認(rèn)證機(jī)構(gòu)的合格評(píng)定服務(wù)活動(dòng)，而是采取:

使用其他機(jī)制(辦公室評(píng)審活動(dòng)或其他評(píng)審活動(dòng)，IAF MD17，2.2.1)來(lái)評(píng)審認(rèn)可的范圍。

或者保持認(rèn)可范圍，只要有可能，恢復(fù)正常后仍應(yīng)立即進(jìn)行見(jiàn)證評(píng)審。

IAF FAQ 特別工作組  2023年4月22日

Q22: Could time duration for closure of Non Conformities be prolonged taken into consideration the COVID-19 outbreak? If so, what will be the mechanism / procedure and who is responsible for decision making?

A22: Yes, If it is not possible to perform evaluation activities to effectively close the nonconformities (physically or as per IAF MD4: 2018), and if the conditions recommended by IAF ID3: 2011 are satisfied, closure of nonconformities could be prolonged. However, the postponement of any conformity assessment activity (e.g. surveillances, recertification) can only be postponed for up to 6 months in accordance with FAQ 10.

by IAF FAQ TF  April 11, 2020

問(wèn)題22: 考慮到COVID-19（新冠疫情）的爆發(fā)，關(guān)閉不符合項(xiàng)的時(shí)限可以延長(zhǎng)嗎？如果是，什么機(jī)制/程序以及誰(shuí)負(fù)責(zé)決策？

回答22: 是，如果無(wú)法實(shí)施評(píng)價(jià)活動(dòng)來(lái)有效地關(guān)閉不符合項(xiàng)(在現(xiàn)場(chǎng)或按照IAF MD4: 2018的方式)，并且如果IAF ID3: 2011推薦的條件都可以滿足，不符合項(xiàng)的關(guān)閉可能會(huì)延長(zhǎng)。然而，根據(jù)常見(jiàn)問(wèn)題FAQ10，任何合格評(píng)定活動(dòng)（例如，監(jiān)督、再認(rèn)證）的延期最多只能延期6個(gè)月。

IAF FAQ 特別工作組  2023年4月11日

Q21: A number of CB clients are, as a result of the COVID-19 outbreak, switching their manufacturing to manufacture items such as face masks or ventilators, some governments are requesting that they have these items within their scope of management system certification approvals. Can such scope extension be done by remote means using MD4?

A21: Yes, following what was already clarified in Q5.

by IAF FAQ TF April 11, 2020

問(wèn)題21: 由于COVID-19的爆發(fā)，許多認(rèn)證機(jī)構(gòu)CB的客戶正在將其生產(chǎn)轉(zhuǎn)向，生產(chǎn)諸如口罩或呼吸機(jī)等產(chǎn)品，一些政府要求將這些產(chǎn)品納入其管理體系認(rèn)證批準(zhǔn)的范圍。這樣的擴(kuò)大范圍審核可以通過(guò)使用MD4的遠(yuǎn)程方式來(lái)完成嗎？

回答21: 可以，遵循問(wèn)題5中已經(jīng)闡明的內(nèi)容。

IAF FAQ 特別工作組  2023年4月11日

Q20: What will happen to the Transition periods (e.g. ISO 22000:2018, ISO 50000:2018); will these be extended?

A20: Yes, transition periods are extended for six mouths. The audit for transition can be done with remote audit techniques, following what has already been clarified in Q5.

by IAF FAQ TF  April 11, 2020

問(wèn)題20：標(biāo)準(zhǔn)轉(zhuǎn)換的過(guò)渡期將如何安排(例如，ISO22000:2018，ISO 50000:2018)；這些轉(zhuǎn)換期會(huì)延長(zhǎng)嗎？

回答20：是的，過(guò)渡期延長(zhǎng)了六個(gè)月。根據(jù)Q5中已經(jīng)闡明的內(nèi)容，可以使用遠(yuǎn)程審核技術(shù)進(jìn)行轉(zhuǎn)換審核。

IAF FAQ 特別工作組  2023年4月11日

Q19: According ISO/IEC 17021-1, § 7.2.4, “The initial competence evaluation of an auditor shall include the ability to apply required knowledge and skills during audits, as determined by a competent evaluator observing the auditor conducting an audit”. Is it possible to conduct this observation if the observer is using remote audit techniques?

A19: Yes, provided that the remote audit being observed can fully replace physical audit.

by IAF FAQ TF April 11, 2020

Q19: 根據(jù)ISO/IEC 17021-1，7.2.4，“審核員的初始能力評(píng)價(jià)應(yīng)包括在審核中應(yīng)用所需知識(shí)與技能的本領(lǐng)的證實(shí)。在審核中應(yīng)用所需知識(shí)與技能的本領(lǐng)應(yīng)由有能力的評(píng)價(jià)者在對(duì)審核員審核的見(jiàn)證中確定。”。如果觀察者使用遠(yuǎn)程審核技術(shù)，是否有可能進(jìn)行這種觀察？

回答19：是的，只要被觀察的遠(yuǎn)程審核可以完全取代在現(xiàn)場(chǎng)實(shí)施的審核。

IAF FAQ 特別工作組  2023年4月11日

Q18: IAF ID 3:2011 §3 says that “If the risk of continuing certification is low, and based on the collected information the CAB may need to consider alternative short-term methods of assessment to verify continuing system effectiveness for the organization. This may include requesting relevant documentation (for example, management review meeting minutes, corrective action records, results of internal audits, test/inspection reports, etc.) to be reviewed off site by the CAB to determine continuing suitability of the certification (on a short-term basis only)”. Is this time, used to off-site review the documentation provided by the company, to be considered as “audit time” according to IAF MD 5:2019?

A18: yes, the off-site review of the documentation provided by the company is needed to plan and accomplish a complete and effective audit of the client organization’s management system. This time is to be considered as “audit time” according to IAF MD 5:2019. Audit duration may be reduced due to such off-site documentation review.

by IAF FAQ TF April 11, 2020

Q18：IAF ID 3:2011 文件的第3節(jié)提到“如果持續(xù)認(rèn)證的風(fēng)險(xiǎn)較低，并且基于收集到的信息，合格評(píng)定機(jī)構(gòu)（CABs）可能需要考慮替代的短期評(píng)審方法，以驗(yàn)證組織的管理體系的持續(xù)有效性。這可能包括要求組織提供相關(guān)文件（例如，管理評(píng)審會(huì)議記錄、糾正措施記錄、內(nèi)審結(jié)果記錄、檢測(cè)/檢驗(yàn)報(bào)告等）。由合格評(píng)定機(jī)構(gòu)（CABs）實(shí)施非現(xiàn)場(chǎng)的審查，以確定認(rèn)證的持續(xù)適宜性（僅短期）”根據(jù)IAF MD 5:2019，用于對(duì)公司提供的文件進(jìn)行非現(xiàn)場(chǎng)審核的時(shí)間是否被視為“審核時(shí)間”？

回答18：是的，需要對(duì)公司提供的文件進(jìn)行非現(xiàn)場(chǎng)審核，以計(jì)劃和完成對(duì)客戶組織管理體系全面有效的審核。根據(jù)IAF MD 5:2019，該時(shí)間將被視為“審核時(shí)間”。由于這樣的非現(xiàn)場(chǎng)文件審查占用了時(shí)間，審核持續(xù)時(shí)間可能會(huì)縮短。

IAF FAQ 特別工作組  2023年4月11日

Q17: During the COVID-19 crisis, if a CAB conducts a part of the initial certification of a management system with remote audit activities and plans to complete the remainder of the audit onsite within six months, is it possible to issue the certificate at the conclusion of the remote audit activities?

A17: No, a certificate can only be issued if the CAB is able to evaluate all the applicable requirements of ISO/IEC 17021-1 (9.3.1.2 Stage 1 and 9.3.1.3 Stage 2) through a complete and effective audit of the client’s management system, followed by a successful review and decision making activities. However, this could change for specific schemes.

by IAF FAQ TF April 7, 2020

問(wèn)題17：在新冠肺炎疫情危機(jī)期間，如果CAB（合格評(píng)定機(jī)構(gòu)）在對(duì)客戶管理體系進(jìn)行初次認(rèn)證時(shí)，一部分審核通過(guò)遠(yuǎn)程審核的方式進(jìn)行，并計(jì)劃在六個(gè)月內(nèi)完成剩余部分的現(xiàn)場(chǎng)審核，是否有可能基于遠(yuǎn)程審核活動(dòng)的結(jié)論頒發(fā)證書？

回答17：不可以。如果認(rèn)證機(jī)構(gòu)能夠評(píng)審所有適用的ISO/IEC 17021-1 (9.3.1.2第一階段和9.3.1.3第二階段)的要求，通過(guò)對(duì)客戶管理體系全面有效的審核，以及隨后的成功復(fù)核并做出（認(rèn)證）決定，才能頒發(fā)證書。然而，對(duì)于特定的認(rèn)證制度，這種情況可能會(huì)有所不同。

IAF FAQ 特別工作組  2023年4月7日

Q16: in order to transfer an Accredited Certification of Management Systems (IAF MD2:2017), is it possible to conduct the pre-transfer visit with remote auditing techniques?

A16: Yes, if all the points listed in § 2.2.4 of IAF MD2:2017 and any issues arising from the document review, for example major nonconformities (2.2.2) can be evaluated remotely. However, this could change for specific schemes.

by IAF FAQ TF April 3, 2020

問(wèn)題16: 為了轉(zhuǎn)換一個(gè)獲認(rèn)可的管理體系認(rèn)證證書（IAF MD2:2017），是否可以使用遠(yuǎn)程審核技術(shù)進(jìn)行轉(zhuǎn)換前的訪問(wèn)？

回答16：可以。如果IAF MD2:2017的2.2.4中列出的所有要點(diǎn)以及文件評(píng)審中提出的任何問(wèn)題，例如，嚴(yán)重不符合項(xiàng)(2.2.2)，都可以通過(guò)遠(yuǎn)程的方式評(píng)價(jià)。然而，對(duì)于特定的認(rèn)證制度，這種情況可能會(huì)有所不同。

IAF FAQ 特別工作組 2023年4月3日

Q15: What will happen to the Migration period for ISO 45001; will it be extended?

A15: OHSAS 18001 certification can be extended by up to six months as detailed in FAQ 10. This means that transition period for migrating accredited certifications from OHSAS 18001:2007 to ISO 45001:2018 is extended to:

30 September 2021.

The audit for migration can be done with remote audit technique, following what already clarified in Q5.

(Answer updated 11/04/2020)

問(wèn)題15：ISO 45001的轉(zhuǎn)換期將會(huì)發(fā)生什么？會(huì)延長(zhǎng)嗎？

回答15：如FAQ 第10項(xiàng)所述，OHSAS 18001認(rèn)證可以延長(zhǎng)六個(gè)月。這意味著將獲認(rèn)可的認(rèn)證從OHSAS 18001:2007轉(zhuǎn)換到ISO 45001:2018的過(guò)渡期延長(zhǎng)至：2023年9月30日。

轉(zhuǎn)換審核可以使用遠(yuǎn)程審核技術(shù)來(lái)完成，遵循問(wèn)題5中已經(jīng)闡明的內(nèi)容。

（答案更新于2023年4月11日）

Q14: For OH&SMS, according to IAF MD5:2019 (applicable from 7 May 2020), remote auditing techniques shall be limited to reviewing documents/records and to interviewing staff and workers. In addition for OH&SMS, process control and OH&S risk control cannot be audited using remote audit techniques. Considering the specific circumstances, is this valid?

A14: No, considering the specific circumstances, and that the applicability of IAF MD5:2019 has been extended from 7 May 2020 to 7 November 2020 (see Q24), the restriction placed on remote audit activities by IAF MD 5 shall not apply. This means that process control and OH&S risk control can be audited using remote audit techniques until the end of the COVID-19 emergency.

Posted 1st of April and updated the 26th of April

問(wèn)題14: 對(duì)于職業(yè)健康安全管理體系，根據(jù)IAF MD5:2019(自2023年5月7日起生效)，遠(yuǎn)程審核技術(shù)應(yīng)僅限于審查文件/記錄和采訪員工和工人。另外，對(duì)于職業(yè)健康安全管理，過(guò)程控制和職業(yè)健康安全風(fēng)險(xiǎn)控制不能使用遠(yuǎn)程審核技術(shù)進(jìn)行審核。考慮到具體情況，這是否還有效？

回答14：不，考慮到具體情況，并且IAF MD5:2019的適用期已從2023年5月7日延長(zhǎng)至2023年11月7日(見(jiàn)問(wèn)題24)，IAF MD5對(duì)遠(yuǎn)程審核活動(dòng)的限制將不再適用。這意味著過(guò)程控制和職業(yè)健康安全風(fēng)險(xiǎn)控制可以使用遠(yuǎn)程審核技術(shù)進(jìn)行審核，直到COVID-19緊急事件結(jié)束。

IAF FAQ 特別工作組 4月1日發(fā)布，4月26日更新

Q13: In consideration of this extraordinary period ,may all of:

l the conformity assessment activities (e.g. surveillances, recertification) be postponed for up to 6 months, and

l The validity of any output of any conformity assessment activity (e.g. a certificate or report) be extended for a corresponding period of up to 6 months?

A13: No. In cases where CABs are still able to perform evaluation activities physically or when these can be fully replaced with evaluation activities as per IAF MD 4, then normal scheduled conformity assessment activities (e.g. surveillances, recertification) should be performed. Otherwise, if the conditions recommended by IAF ID 3: 2011 are satisfied, the normal scheduled conformity assessment activities may be postponed for up to 6 months, and the validity of any output of the conformity assessment activity (e.g. a certificate or report) may be extended for a corresponding period of up to 6 months.

by IAF FAQ TF April 1, 2020

問(wèn)題13：考慮到這個(gè)非常時(shí)期。是否所有的合格評(píng)定活動(dòng)，例如監(jiān)督、再認(rèn)證，可推遲六個(gè)月任何輸出或任何合格評(píng)定活動(dòng)(例如證書或報(bào)告)的有效期可相應(yīng)延長(zhǎng)至六個(gè)月

回答13: 否。如果認(rèn)證機(jī)構(gòu)仍然能夠?qū)嵤┑浆F(xiàn)場(chǎng)的審核活動(dòng)，或者根據(jù)IAF MD4可以完全實(shí)施代替審核的活動(dòng)，則應(yīng)執(zhí)行正常計(jì)劃的合格評(píng)定活動(dòng)(例如監(jiān)督、再認(rèn)證)。否則，如果滿足IAF ID 3: 2011建議的條件，正常計(jì)劃的合格評(píng)定活動(dòng)可以推遲最多6個(gè)月，并且合格評(píng)定活動(dòng)的任何輸出(例如證書或報(bào)告)的有效性可相應(yīng)延長(zhǎng)最多6個(gè)月。

IAF FAQ   特別工作組 2023年4月1日

Q12: Is IAF MD4:2018 exclusively applicable for management systems, persons, and product?

A12: No, Although the scope of IAF MD4:2018 is for the auditing /assessment of management systems, persons, and product (see IAF MD4:2018 Section 1-Scope), it can also be used for other types of conformity assessment activities under the IAF MLA, e.g. validation or verification, as referenced in Section 2 – para. 2 of MD4.

by IAF FAQ TF  March 23, 2020

問(wèn)題12: IAF MD4:2018是否僅適用于管理體系、人員和產(chǎn)品？

回答12: 否，盡管IAF MD4:2018的范圍是針對(duì)管理體系、人員和產(chǎn)品的審核/評(píng)審(參見(jiàn)IAF MD4:2018第1節(jié)-范圍)，但它也可用于IAF MLA框架下的其他類型的合格評(píng)定活動(dòng)，例如，審定或者核查，如MD4文件第2節(jié)第二段所述。

IAF FAQ  特別工作組 2023年3月23日

Q11: Is IAF ID3:2011 exclusively applicable for management systems certification?

A11: No, IAF ID3:2011 is primarily applicable for management systems certification, but it can be applied to all the accreditation and conformity assessment activities under the IAF MLA (see IAF ID3:2011 para. 1): Management systems certification Product certification Certification of persons Validation and Verification

by IAF FAQ TF March 23, 2020

問(wèn)題11：IAF ID3:2011是否僅適用于管理體系認(rèn)證？

回答11：否，IAF ID3:2011主要適用于管理體系認(rèn)證，但它也可以適用于IAF多邊協(xié)議下的所有認(rèn)可和合格評(píng)定活動(dòng)(見(jiàn)IAF ID3:2011第1段)：管理體系認(rèn)證、產(chǎn)品認(rèn)證、人員認(rèn)證、審定與核查。

IAF FAQ   特別工作組 2023年3月23日

Q10: For schemes under IAF MLA (Management system certification, Product certification, Certification of persons, Validation and Verification), how are conformity assessment activities to be managed in this extraordinary period?

A10:In consideration of this extraordinary period, for schemes of management system certification, product certification and certification of persons under IAF MLA, if it is not possible to perform evaluation activities (physically or as per IAF MD4: 2018), such as  audits or exams, and if the conditions recommended by IAF ID3: 2011 are satisfied, all the conformity assessment activities (e.g. surveillances, recertification) may be postponed for up to 6 months, and the validity of any output of any conformity assessment activity (e.g. a certificate or report) may be extended for a corresponding period of up to 6 months. In this last instance, in order to document this to the client, if applicable, it is strongly suggested to issue an extension letter, which ratifies this extended validity and its period. This is essential to guarantee transparency and a correct communication to the external market. Appropriate records should also be updated. However, this could change for specific schemes. For validation and verification, particularly the greenhouse gas (GHG) validation and verification at project or organizational level, they are normally one-off conformity activities, therefore the IAF ID3 guidelines related to surveillance, recertification, extension of certification and recertification cycle etc. may not be applicable. However, for the assessment and accreditation of validation and verification bodies (VVBs), IAF ID3 can be used (see A11), and the remote approaches as per IAF MD4:2018 can be used by both ABs and VVBs (see A12).

Updated on 23/03/2020 to include all IAF MLA main scopes.

問(wèn)題10：對(duì)于IAF MLA下的認(rèn)證制度（管理體系認(rèn)證、產(chǎn)品認(rèn)證、人員認(rèn)證、審定和核查），在此非常時(shí)期應(yīng)該如何管理合格評(píng)定活動(dòng)？

回答10：考慮到這一非常時(shí)期，對(duì)于在IAF多邊互認(rèn)制度下的管理體系認(rèn)證、產(chǎn)品認(rèn)證和人員認(rèn)證制度，如果無(wú)法開(kāi)展審核活動(dòng)(到現(xiàn)場(chǎng)或按照IAF MD4: 2018的方法)，如審核或考試，并且如果符合IAF ID3: 2011建議的條件，所有合格評(píng)定活動(dòng)(如監(jiān)督、再認(rèn)證)可推遲6個(gè)月，任何合格評(píng)定活動(dòng)(如證書或報(bào)告)的任何輸出的有效性可推遲6個(gè)月。在最后一種情況下，為了向客戶證明這一點(diǎn)，如果適用的話，強(qiáng)烈建議簽發(fā)一份延期信，批準(zhǔn)延長(zhǎng)有效性和延長(zhǎng)期限。這對(duì)于保證透明度和與外部市場(chǎng)的正確溝通至關(guān)重要。適當(dāng)?shù)挠涗涍€應(yīng)保持更新。然而，對(duì)于特定的認(rèn)證制度，這種情況可能會(huì)有所不同。對(duì)于審定與核查，尤其是是項(xiàng)目或組織層面的溫室氣體(GHG)審定與核查，它們通常是一次性的符合性活動(dòng)，因此，IAF ID3準(zhǔn)則涉及的監(jiān)督、再認(rèn)證、擴(kuò)大認(rèn)證和再認(rèn)證周期等，可能不適用。然而，對(duì)于審定與核查機(jī)構(gòu)的評(píng)審和認(rèn)可，可以使用IAF ID3(見(jiàn)A11)。并且認(rèn)可機(jī)構(gòu)和核查機(jī)構(gòu)也可以按照IAF MD4:2018使用遠(yuǎn)程審核的方法(見(jiàn)A12)。

于2023年3月23日更新，以包括所有IAF MLA多邊互認(rèn)的主要范圍。

Q9: Is IAF ID3:2011 still applicable even though ID3:2011 refers to an accreditation standard that is no longer valid (ISO/IEC 17021:2011)?

A9: Yes. It is applicable. IAF General Assembly Resolution 2015–15 was taken to confirm this. For the maintenance of IAF Technical Committee documents it states: “The General Assembly, acting on the recommendation of the Technical Committee, resolved that references to ISO/IEC 17021 in IAF documents shall be understood to refer to ISO/IEC 17021-1:2015 in relation to CABs that have completed the transition and after the transition period. However, ABs and CABs will need to take account of the changes in ISO/IEC 17021-1 when using IAF documents which may not be revised until after the transition period to reference ISO/IEC 17021-1.”

問(wèn)題9：即使ID3:2011引用的標(biāo)準(zhǔn)（17021:2011）是失效的，IAF ID3:2011是否仍然適用？

回答9：是的。它是適用的。IAF全會(huì)第2015-15號(hào)決議已經(jīng)確認(rèn)了這一點(diǎn)。關(guān)于IAF技術(shù)委員會(huì)文件的維護(hù)，該決議指出:“全會(huì)根據(jù)技術(shù)委員會(huì)的建議，決定在IAF文件中提及的ISO/IEC17021應(yīng)理解為是ISO/IEC17021-1:2015，涉及已完成轉(zhuǎn)換和轉(zhuǎn)換過(guò)渡期后的合格評(píng)定機(jī)構(gòu)。然而，在使用IAF文件時(shí)，認(rèn)可機(jī)構(gòu)ABs和合格評(píng)定機(jī)構(gòu)將需要考慮到ISO/IEC17021-1中的變化，這些文件可能在轉(zhuǎn)換期結(jié)束后才能修訂，以參考ISO/IEC17021-1。”

IAF FAQ   特別工作組 2023年3月20日

Q8: If there is a postponement of 6 months in the deadline of a certificate, according to IAF ID3, will the next accreditation/certification cycle start from the new deadline, or does the original one need to remain?

A8：The deadline remains the original one. However, it could happen that in specific circumstances the timeline of surveillance could be modified accordingly.

by IAF FAQ TF March 13, 2020

問(wèn)題8：根據(jù)IAF ID3，如果證書的截止日期延期了6個(gè)月，下一個(gè)認(rèn)可/認(rèn)證周期是從新的截止日期開(kāi)始，還是需要保留原來(lái)的周期？

回答8：截止日期仍然是按照原來(lái)的認(rèn)證周期。然而，在特定情況下，監(jiān)督審核的時(shí)間表可能會(huì)做相應(yīng)修改。

IAF FAQ   特別工作組 2023年3月13日

Q7: What happens if a Company/CB is not comfortable in this period to give access to its location to the AB audit / assessment team for witnessing?

A7：IAF ID3 allows, in extraordinary events or circumstances like this, postponement of the assessment / audits. Moreover, according to IAF MD17:2015 Witnessing Activities for the Accreditation of Management System Certification Bodies and/or relevant timeline modified accordingly, it is justifiable and understandable in this situation that a CB or its client refuses a witness assessment by the AB. It is important to make audits only when there is agreement of all the parties involved (client, CB and AB). See MD17, 2.2.2 and 2.4.2. It is also possible to perform partial witnessing (2.4.10).

問(wèn)題7：如果一個(gè)公司/認(rèn)證機(jī)構(gòu)在此期間不愿意讓認(rèn)可機(jī)構(gòu)AB的審核/評(píng)審組進(jìn)入其所在地進(jìn)行見(jiàn)證，會(huì)發(fā)生什么情況？

回答7：在特殊事件或類似情況下，IAF ID3允許推遲評(píng)審/審核。此外，根據(jù)IAF MD17:2015《管理體系認(rèn)證機(jī)構(gòu)的認(rèn)可見(jiàn)證活動(dòng)》和/或相關(guān)的已修改的時(shí)間表，在這種情況下，一個(gè)認(rèn)證機(jī)構(gòu)CB或者他的客戶拒絕認(rèn)可機(jī)構(gòu)AB的見(jiàn)證評(píng)審是合理和可以理解的。只有在所有相關(guān)方(客戶、CB和AB)同意的情況下，安排審核才是重要的。參見(jiàn)MD17文件的2.2.2和2.4.2條款。也可以進(jìn)行部分見(jiàn)證(參見(jiàn)2.4.10條款)。

IAF FAQ   特別工作組 2023年3月13日

Q6: Is the limit imposed by ISO/IEC 27006 (maximum 30% of remote audit) still valid?

A6：ISO/IEC 27006 was published in 2015, while IAF MD4 was published in 2018 (Issue 2, Issued 04 July 2018, application from 04 July 2019). So, considering the specific circumstances, for ISO/IEC 27006 the relevant rules of IAF MD4 also are applicable. This means that is possible to adopt to ISO/IEC 27006 the MD4 approach, that is to exceed 30% “off-site” and allow a 100% off-site, during this COVID-19 period.

問(wèn)題6: ISO/IEC27006(遠(yuǎn)程審核的時(shí)間占比最大不超過(guò)30%)規(guī)定的限制仍然有效嗎？

回答6：ISO/IEC 27006于2015年發(fā)布，而IAF MD4于2018年發(fā)布(第2版，2018年7月4日發(fā)布，2023年7月4日開(kāi)始生效)。因此，考慮到具體情況，對(duì)于ISO/IEC27006，IAF MD4的相關(guān)規(guī)則也適用。這意味著MD4中的方法可以在ISO/IEC27006的審核中應(yīng)用，即在COVID-19（新冠疫情）期間超過(guò)30%的“非現(xiàn)場(chǎng)”，并允許100%的非現(xiàn)場(chǎng)。

IAF FAQ   特別工作組 2023年3月13日

Q5: Is it possible to perform a full certification audit remotely?

A5: Yes, in theory it is possible, if for the specific scheme all the requirements can be evaluated remotely, including observation of activities. However, this could change for specific schemes.

by IAF FAQ TF  March 13, 2020

問(wèn)題5: 是否有可能以遠(yuǎn)程的方式實(shí)施一次完整的認(rèn)證審核？

回答5：是的，理論上這是可能的，如果對(duì)于特定的認(rèn)證制度，所有的要求都可以被遠(yuǎn)程評(píng)審，包括對(duì)活動(dòng)的觀察。然而，對(duì)于特定的認(rèn)證制度，這種情況可能會(huì)有所不同。

IAF FAQ   特別工作組 2023年3月13日

Q4:  Will the Nov. 2020 deadline for implementation of the new version of ISO/IEC 17011 still hold?

A4： The joint committee with ILAC that looks after all peer evaluations has developed a related document. The document has the agreement of the Regional MLA Chairs and is available on the IAF Website under:

https://www.iaf.nu/articles/ISOIEC_17011_Transition_and_COVID19/637 https://www.iaf.nu/upFiles/IAF-ILAC%20Statement%20re%20delayed%20evaluations%2012%20March%202020.pdf

by IAF FAQ TF  March 13, 2020

問(wèn)題4:  實(shí)施新版ISO/IEC 17011的截止日期是否仍然是2023年11月?

回答4：IAF與ILAC聯(lián)合委員會(huì)負(fù)責(zé)實(shí)施所有同行評(píng)審的事項(xiàng)，該委員會(huì)制定了一份相關(guān)的文件。該文件獲得了區(qū)域MLA主席的同意，并可在IAF網(wǎng)站下獲得:

https://www.iaf.nu/articles/ISOIEC_17011_Transition_and_COVID19/637

https://www.iaf.nu/upFiles/IAF-ILAC%20Statement%20re%20delayed%20evaluations%2012%20March%202020.pdf

IAF FAQ TF 2023年3月13日

Q3: What is happening with IAF MLA peer evaluations during the outbreak?

A3：The joint committee with ILAC that looks after all peer evaluations has developed a related document. The document has the agreement of the Regional MLA Chairs and is available on the IAF Website under:

https://www.iaf.nu/upFiles/IAF-ILAC%20Statement%20re%20delayed%20evaluations%2012%20March%202020.pdf https://www.iaf.nu/articles/ISOIEC_17011_Transition_and_COVID19/637

by IAF FAQ TF March 13, 2020

問(wèn)題3：在疫情爆發(fā)期間，IAF MLA同行評(píng)審是如何安排的？

回答3：責(zé)所有同行評(píng)審的ILAC聯(lián)合委員會(huì)制定了一份相關(guān)文件。該文件得到了區(qū)域MLA主席的同意，并可在IAF網(wǎng)站上查閱，網(wǎng)址為:

https://www.iaf.nu/upFiles/IAF-ILAC%20Statement%20re%20delayed%20evaluations%2012%20March%202020.pdf

https://www.iaf.nu/articles/ISOIEC_17011_Transition_and_COVID19/637

IAF FAQ TF 2023年3月13日

Q2: Is it permissible to use remote assessments and audits to maintain the validity of accredited certifications during the COVID-19 crisis? 

A2：Yes. The IAF Statement on COVID-19 referenced the use of remote assessments and the mandatory document to be used by ABs and CBs, IAF MD4:2018 IAF Mandatory document for the Use of Information and Communication Technology (ICT) for Auditing and Assessment Purposes. In addition, there is also informative document on principles for remote assessments – IAF ID12:2015 Principles on Remote Assessment that can be used in this instance.  It is necessary to bear in mind however, that regulatory bodies, scheme owners and purchasers may have specific requirements that may need to be adhered to, and which may take precedence. IAF ID3 may also assist readers.

問(wèn)題2：在新冠肺炎疫情危機(jī)期間，是否允許使用遠(yuǎn)程評(píng)審和審核來(lái)維護(hù)認(rèn)證的有效性？

回答2：是的。IAF關(guān)于新冠肺炎疫情的聲明中提到了遠(yuǎn)程評(píng)審的使用，以及ABs和CBs使用的強(qiáng)制性文件，IAF MD4:2018， IAF的強(qiáng)制性文件“信息和通信技術(shù)在審核和評(píng)審中的應(yīng)用”。此外，還有關(guān)于遠(yuǎn)程評(píng)審原則的資料性文件—IAF ID12:2015,該文件中所規(guī)定的遠(yuǎn)程審核原則可在此時(shí)期使用。然而需注意是監(jiān)管機(jī)構(gòu)、方案所有者和購(gòu)買者可能有其他首先需要遵守的具體要求。IAF ID3也可以幫助其他適用的用戶。

IAF FAQ   特別工作組 2023年3月13日

Q1: Are IAF and ILAC going ahead with the Joint IAF-ILAC Mid-term meetings in Beijing in March considering the COVID-19 outbreak, and subsequent travel restrictions?

A1：No, these meetings have been cancelled and not being re-scheduled. The work will be progressed by other means.

問(wèn)題1：考慮到新冠肺炎疫情的爆發(fā)以及隨后的旅行限制，IAF和ILAC是否會(huì)在3月份在北京舉行IAF-ILAC聯(lián)合中期會(huì)議？

回答：不，這些會(huì)議已經(jīng)取消，沒(méi)有重新安排。這項(xiàng)工作將通過(guò)其他方式進(jìn)行。

IAF FAQ   特別工作組 2023年3月13日