ISO PAS 17004-2005 Conformity assessement - Disclosure of information - Principles and requirements《合格评定 信息披露 原则和要求》.pdf

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1、 Reference numberISO/PAS 17004:2005(E)ISO 2005PUBLICLY AVAILABLE SPECIFICATION ISO/PAS17004First edition2005-10-01Conformity assessment Disclosure of information Principles and requirements valuation de la conformit Divulgation dinformations Principes et exigences Copyright International Organizatio

2、n for Standardization Reproduced by IHS under license with ISO Not for ResaleNo reproduction or networking permitted without license from IHS-,-,-ISO/PAS 17004:2005(E) PDF disclaimer This PDF file may contain embedded typefaces. In accordance with Adobes licensing policy, this file may be printed or

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5、ble for use by ISO member bodies. In the unlikely event that a problem relating to it is found, please inform the Central Secretariat at the address given below. ISO 2005 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any

6、means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail co

7、pyrightiso.org Web www.iso.org Published in Switzerland ii ISO 2005 All rights reservedCopyright International Organization for Standardization Reproduced by IHS under license with ISO Not for ResaleNo reproduction or networking permitted without license from IHS-,-,-ISO/PAS 17004:2005(E) ISO 2005 A

8、ll rights reserved iiiForeword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a

9、 subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the International Electrotechnical Commissio

10、n (IEC) on all matters of electrotechnical standardization. In the field of conformity assessment, the ISO Committee on conformity assessment (CASCO) is responsible for the development of International Standards and Guides. International Standards are drafted in accordance with the rules given in th

11、e ISO/IEC Directives, Part 2. Draft International Standards are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. In other circumstances, particularly when there is an urgent market requirement

12、 for such documents, a technical committee may decide to publish other types of normative document: an ISO Publicly Available Specification (ISO/PAS) represents an agreement between technical experts in an ISO working group and is accepted for publication if it is approved by more than 50 % of the m

13、embers of the parent committee casting a vote; an ISO Technical Specification (ISO/TS) represents an agreement between the members of a technical committee and is accepted for publication if it is approved by 2/3 of the members of the committee casting a vote. An ISO/PAS or ISO/TS is reviewed after

14、three years in order to decide whether it will be confirmed for a further three years, revised to become an International Standard, or withdrawn. If the ISO/PAS or ISO/TS is confirmed, it is reviewed again after a further three years, at which time it must either be transformed into an International

15、 Standard or be withdrawn. 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. ISO/PAS 17004 was prepared by the ISO Committee on conformity assessment (

16、CASCO). Copyright International Organization for Standardization Reproduced by IHS under license with ISO Not for ResaleNo reproduction or networking permitted without license from IHS-,-,-ISO/PAS 17004:2005(E) iv ISO 2005 All rights reservedIntroduction In 2001 the ISO Council asked its policy comm

17、ittee on conformity assessment (CASCO) to study and prepare a group of common elements for application in future ISO documents on conformity assessment. Subsequent to this request, ISO/CASCO approved the formation of Working Group 23, Common elements in ISO/IEC Standards for conformity assessment ac

18、tivities, to undertake this task. The working group has identified several common elements, including among others impartiality (ISO/PAS 17001), confidentiality (ISO/PAS 17002), complaints and appeals (ISO/PAS 17003), disclosure of information (ISO/PAS 17004), management systems (ISO/PAS 17005). In

19、the process of developing ISO/PAS 17002, which addresses the common element of “confidentiality”, CASCO Working Group 23 identified the need to elaborate on the related common element of “disclosure of information”. This Publicly Available Specification (PAS) addresses the “disclosure of information

20、” element that occurs in many of the ISO/IEC Guides and International Standards on conformity assessment. This Publicly Available Specification covers the agreed principles that give substance to the element of disclosure of information, and also provides requirements clauses intended to be included

21、 in future ISO/IEC International Standards on conformity assessment. This Publicly Available Specification is intended to apply to the drafting of documents on conformity assessment by ISO/CASCO. Clause 4 (Background) contains some comments on the importance of disclosure of information to conformit

22、y assessment. Clause 5 (Principles) contains statements that are intended to orientate ISO/CASCO working groups in their task of creating requirements to address disclosure of information in their documents. The requirements to be inserted into future ISO/CASCO documents that cover the common elemen

23、t of “disclosure of information” are detailed in Clause 6. ISO/CASCO has adopted a common structure for the presentation of requirements. Requirements are grouped under one or more of the following headings: a) General requirements; b) Structural requirements; c) Resource requirements; d) Process re

24、quirements; e) Management system requirements. As such, each of the common elements will have requirements related to it grouped under one or more of the headings given in a) to e). This PAS is not intended to become a future International Standard. At the end of three years after the date of public

25、ation, it is expected this PAS will be withdrawn and its contents incorporated as appropriate in relevant ISO/CASCO normative and guidance documents. Copyright International Organization for Standardization Reproduced by IHS under license with ISO Not for ResaleNo reproduction or networking permitte

26、d without license from IHS-,-,-PUBLICLY AVAILABLE SPECIFICATION ISO/PAS 17004:2005(E) ISO 2005 All rights reserved 1Conformity assessment Disclosure of information Principles and requirements 1 Scope This Publicly Available Specification (PAS) contains principles and requirements for the element of

27、disclosure of information as it relates to standards for conformity assessment. It is an internal tool for use in the ISO/IEC standards development process by ISO/CASCO working groups when considering the element of disclosure of information in preparation of their documents. This Publicly Available

28、 Specification is not a standalone normative document to be used directly in conformity assessment activities. 2 Normative references The following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated reference

29、s, the latest edition of the referenced document (including any amendments) applies. ISO/IEC 17000:2004, Conformity assessment Vocabulary and general principles 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO/IEC 17000 apply. NOTE The use of the term

30、 “body” in this Publicly Available Specification means either an accreditation body or a conformity assessment body as defined in ISO/IEC 17000. 4 Background to information disclosure 4.1 Managing the balance between confidentiality and disclosure of information related to fulfilment of requirements

31、 affects stakeholders trust and their perception of value in the conformity assessment activity being performed. 4.2 Legal requirements may provide the basis for what, how and to whom, information associated with conformity assessment activities may be disclosed. The content of this Publicly Availab

32、le Specification, and the application of any subsequent requirements in CASCO documents, are subservient to the provisions found in those legal requirements. 5 Principles of disclosure of information The following principles included in the common element of disclosure of information apply to bodies

33、 and their activities. Copyright International Organization for Standardization Reproduced by IHS under license with ISO Not for ResaleNo reproduction or networking permitted without license from IHS-,-,-ISO/PAS 17004:2005(E) 2 ISO 2005 All rights reserveda) Openness: A body needs to disclose inform

34、ation about its conformity assessment activities to any user. Subject to relevant legal requirements, the current status of an attestation for any object of conformity that the body has made an assessment of, may be publicly disclosed with the permission of the customer, or in response to a query ab

35、out the authenticity of a claim by a user. A body needs to provide access or disclosure to specific interested parties of non-confidential and non-proprietary information about the attestations it has made for specific objects of conformity, in order to gain or maintain confidence in its conformity

36、assessment activities. b) Access to information: Any information held by the body on an object of conformity that is the subject of an assessment should, upon request, be made accessible to the person or organization which contracted the conformity assessment body to undertake the conformity assessm

37、ent activity. c) Challenging confidentiality and disclosure of information: An individual or organization should be able to submit a challenge to the body concerning that bodys conformity with requirements related to confidentiality and disclosure of information. 6 Requirements for disclosure of inf

38、ormation 6.1 General In developing this Publicly Available Specification, it was recognized that there are varying degrees of specificity that ISO/CASCO working groups should consider. Consequently, the requirements in this clause are categorized into three levels of specificity as follows: a) Oblig

39、atory: These are specific drafted requirements that shall be used by ISO/CASCO working groups where the element has to be addressed, without modification, except for substitution of more specific terms. For example, the phrase “Conformity assessment activities shall be undertaken impartially”, may b

40、e substituted more specifically with “Management system certification activities shall be undertaken impartially”. Justification is required from ISO/CASCO working groups that do not use these requirements when dealing with the relevant common element. b) Recommended: These are drafted requirements

41、that working groups should use if they wished to have a greater degree of specification. Modification is permissible. c) Suggested: These are considerations that could be taken into account in the drafting of requirements by the ISO/CASCO working group. By providing for these different levels of spe

42、cificity, the Publicly Available Specification achieves the ISO/CASCO intent to have an agreed statement on elements that are common to all conformity assessment activities and, at the same time, maintains some flexibility for specific wording by individual ISO/CASCO working groups. When formulating

43、 requirements that are related to disclosure of information, CASCO working groups should take into account the following aspects: Copyright International Organization for Standardization Reproduced by IHS under license with ISO Not for ResaleNo reproduction or networking permitted without license fr

44、om IHS-,-,-ISO/PAS 17004:2005(E) ISO 2005 All rights reserved 3 whether all information is confidential unless explicitly stated as not being so, or whether all information is considered freely available unless explicitly stated as being confidential; in cases where disclosure of information is perm

45、itted, the extent to which the conformity assessment body should be obligated to be proactive in disclosing that information (including any obligation to voluntarily inform stakeholders of changes in attestation status); whether the organization or person for whom the assessment of the object of con

46、formity was performed needs to be informed of the disclosure of such information. As an aid to future CASCO working groups, the following text that they shall either use (obligatory requirements) or otherwise incorporate (recommended requirements) in future International Standards is that which is c

47、ontained in the boxes; the rest of the text is explanatory in nature. 6.2 General requirements Obligatory requirement The body, or the issuer of a suppliers declaration of conformity, shall upon request provide a general description of the conformity assessment system and the status of the attestati

48、on for objects of conformity it has assessed. 6.3 Process requirements Recommended requirements 6.3.1 The body shall have a process by which individuals and organizations can complain about, or appeal against, a decision by the body to publicly disclose information or keep it confidential. 6.3.2 In

49、response to any complaint or appeal, the body shall determine whether its original decision remains valid, and shall also provide reasons why it has decided to publicly disclose information or keep it confidential. Copyright International Organization for Standardization Reproduced by IHS under license with ISO Not for ResaleNo reproduction or netw