BS PD ISO IEC TR 17028-2017 Conformity assessment Guidelines and examples of a certification scheme for services《合格评定 服务认证计划指南和示例》.pdf

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1、Conformity assessment Guidelines and examples of a certification scheme for services PD ISO/IEC TR 17028:2017 BSI Standards Publication WB11885_BSI_StandardCovs_2013_AW.indd 1 15/05/2013 15:06Conformity assessment Guidelines and examples of a certification scheme for services valuation de la conform

2、it Lignes directrices et exemples dun schma de certification pour les services TECHNICAL REPORT ISO/IEC TR 17028 First edition 2017-06 Reference number ISO/IEC TR 17028:2017(E) ISO/IEC 2017 National foreword This Published Document is the UK implementation of ISO/IEC TR 17028:2017. The UK participat

3、ion in its preparation was entrusted to Technical Committee CAS/1, Conformity assessment. A list of organizations represented on this committee can be obtained on request to its secretary. This publication does not purport to include all the necessary provisions of a contract. Users are responsible

4、for its correct application. The British Standards Institution 2017 Published by BSI Standards Limited 2017 ISBN 978 0 580 98929 2 ICS 13.020.10; 03.120.20; 03.100.70; 03.120.10Compliance with a British Standard cannot confer immunity from legal obligations. This Published Document was published und

5、er the authority of the Standards Policy and Strategy Committee on 30 September 2017. Amendments/corrigenda issued since publication Date Text affected PUBLISHED DOCUMENT PD ISO/IEC TR 17028:2017Conformity assessment Guidelines and examples of a certification scheme for services valuation de la conf

6、ormit Lignes directrices et exemples dun schma de certification pour les services TECHNICAL REPORT ISO/IEC TR 17028 First edition 2017-06 Reference number ISO/IEC TR 17028:2017(E) ISO/IEC 2017 PD ISO/IEC TR 17028:2017 ii ISO/IEC 2017 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2017, Pub

7、lished in Switzerland All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, including photocopying, or posting on the internet or an intranet, without prior written permission. Permi

8、ssion can be requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Ch. de Blandonnet 8 CP 401 CH-1214 Vernier, Geneva, Switzerland Tel. +41 22 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.org ISO/IEC TR 17028:2017(E) PD IS

9、O/IEC TR 17028:2017 ii ISO/IEC 2017 All rights reserved COPYRIGHT PROTECTED DOCUMENT ISO/IEC 2017, Published in Switzerland All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized otherwise in any form or by any means, electronic or mechanical, incl

10、uding photocopying, or posting on the internet or an intranet, without prior written permission. Permission can be requested from either ISO at the address below or ISOs member body in the country of the requester. ISO copyright office Ch. de Blandonnet 8 CP 401 CH-1214 Vernier, Geneva, Switzerland

11、Tel. +41 22 749 01 11 Fax +41 22 749 09 47 copyrightiso.org www.iso.org ISO/IEC TR 17028:2017(E)ISO/IEC TR 17028:2017(E)Foreword v Introduction vi 1 Scope . 1 2 Normative references 1 3 Terms and definitions . 1 4 Fundamentals of certification of services 2 4.1 General . 2 4.2 Functional approach 2

12、5 Development and management of certification schemes for services .3 5.1 General . 3 5.2 Scheme owner . 3 5.3 Stakeholder engagement 4 5.4 Scheme management . 4 5.4.1 Scheme documentation 4 5.4.2 Reporting to the scheme owner 5 5.4.3 Subcontracting of the administration of the scheme . 5 5.4.4 Mark

13、eting . 5 5.4.5 Fraudulent claim of certification 5 5.4.6 Complaints and appeals . 5 6 Content of a certification scheme for services . 5 6.1 General . 5 6.2 Scope of the scheme . 5 6.3 Elements of a certification scheme 5 6.4 Selection elements in the scheme . 7 6.4.1 Certification requirements 7 6

14、.4.2 Sampling 7 6.4.3 Acceptance of conformity assessment results . 8 6.4.4 Selection of evaluation activities 8 6.4.5 Outsourcing of the conformity assessment activities 9 6.5 Certification process 9 6.5.1 Certification phases . 9 6.5.2 Application for certification and the certification agreement

15、9 6.5.3 Evaluation 9 6.6 Attestation10 6.7 Licensing the use of certificates and marks of conformity 10 6.7.1 Licensing and control of the mark .10 6.7.2 Mark of conformity .10 6.7.3 Misuse of the mark 10 6.8 Surveillance.11 6.9 Changes affecting certification .11 6.9.1 Changes in specified requirem

16、ents .11 6.9.2 Other changes to the scheme .11 6.9.3 Review of scheme operation .11 Annex A (informative) Examples of certification schemes for services 12 Annex B (informative) Example of information provided with an application for service certification 24 Annex C (informative) Example of contents

17、 of a certification agreement 25 Annex D (informative) Example of information to be included in certification documentation 27 Annex E (informative) Example of contents of a licensing agreement for the use of a certificate and mark of conformity 28 ISO/IEC 2017 All rights reserved iii Contents Page

18、PD ISO/IEC TR 17028:2017 ISO/IEC TR 17028:2017(E)Annex F (informative) Example of information to be included in a licence for the use of a certificate or mark of conformity.31 Bibliography .32 iv ISO/IEC 2017 All rights reserved PD ISO/IEC TR 17028:2017 ISO/IEC TR 17028:2017(E)Annex F (informative)

19、Example of information to be included in a licence for the use of a certificate or mark of conformity.31 Bibliography .32 iv ISO/IEC 2017 All rights reserved ISO/IEC TR 17028:2017(E) Foreword ISO (the International Organization for Standardization) is a worldwide federation of national standards bod

20、ies (ISO member bodies). The work of preparing International Standards is normally carried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organization

21、s, governmental and non-governmental, in liaison with ISO, also take part in the work. In the field of conformity assessment, ISO and the International Electrotechnical Commission (IEC) develop joint ISO/IEC documents under the management of the ISO Committee on Conformity assessment (ISO/CASCO). Th

22、e 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 ISO documents should be noted. This document was drafted in accordance with the e

23、ditorial rules of the ISO/IEC Directives, Part 2 (see www .iso .org/ directives). 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. Details of any pate

24、nt 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). Any trade name used in this document is information given for the convenience of users and does not constitute an endorsement.

25、For an explanation on the voluntary nature of standards, the meaning of ISO specific terms and expressions related to conformity assessment, as well as information about ISOs adherence to the World Trade Organization (WTO) principles in the Technical Barriers to Trade (TBT) see the following URL: ww

26、w .iso .org/ iso/ foreword .html. This document was prepared by the ISO Committee on Conformity Assessment (CASCO) and circulated for voting to the national bodies of both ISO and IEC, and was approved by both organizations. ISO/IEC 2017 All rights reserved v PD ISO/IEC TR 17028:2017 ISO/IEC TR 1702

27、8:2017(E) Introduction The term “product certification” has been used traditionally to cover not only tangible products but also services and processes. With the growing importance of services within the overall economic activity, current thinking is that a service is sufficiently different from a t

28、angible product to require a different approach when it comes to specifying requirements (e.g. in international standards) and to assessing conformity of services with those requirements. The principal differences between a service and a product are the following: a service is generally intangible;

29、a service requires an interface between the provider and the customer; each instance of a service is transient even though it can be repeated many times; a service is often provided and used at the same time; the success of a service is related to the interaction with customers. While services are r

30、ecognized in the scheme type 6 in ISO/IEC 17067, ISO/IEC 17067 does not provide sufficient information on the process for the certification of services. This document is intended to help those involved in the development and operation of service certification schemes. The range of conformity assessm

31、ent activities used, and the intensity with which they are applied, needs to be proportionate to the likelihood of a service failing to fulfil a specified requirement and the consequences of such a failure. Factors such as the particular characteristics of the marketplace, the nature of the service

32、and the service delivery methods also need to be taken into account. The principal stakeholders, who are most affected by the rules, procedures and management of the scheme, are the following: the scheme owner; the certification body/bodies; the providers of certified services; the customers for the

33、 certified services and entities that rely on certification. NOTE Where a certification body develops and operates its own scheme, the certification body is the scheme owner. Other stakeholders include, but are not limited to: regulatory authorities; specifiers, and purchasers of certified services;

34、 conformity assessment bodies (e.g. inspection bodies and management system auditing bodies) involved in the service certification process; accreditation bodies and peer assessment groups; organizations that facilitate the recognition of certification status from one scheme owner to another. This do

35、cument is informative in nature and provides guidelines accompanied by examples which are used to illustrate ways in which the guidelines could be used, without precluding other approaches as decided by the scheme owner in consultation with the other stakeholders. Annex A contains examples of existi

36、ng certification schemes for services.vi ISO/IEC 2017 All rights reserved PD ISO/IEC TR 17028:2017 ISO/IEC TR 17028:2017(E) Introduction The term “product certification” has been used traditionally to cover not only tangible products but also services and processes. With the growing importance of se

37、rvices within the overall economic activity, current thinking is that a service is sufficiently different from a tangible product to require a different approach when it comes to specifying requirements (e.g. in international standards) and to assessing conformity of services with those requirements

38、. The principal differences between a service and a product are the following: a service is generally intangible; a service requires an interface between the provider and the customer; each instance of a service is transient even though it can be repeated many times; a service is often provided and

39、used at the same time; the success of a service is related to the interaction with customers. While services are recognized in the scheme type 6 in ISO/IEC 17067, ISO/IEC 17067 does not provide sufficient information on the process for the certification of services. This document is intended to help

40、 those involved in the development and operation of service certification schemes. The range of conformity assessment activities used, and the intensity with which they are applied, needs to be proportionate to the likelihood of a service failing to fulfil a specified requirement and the consequence

41、s of such a failure. Factors such as the particular characteristics of the marketplace, the nature of the service and the service delivery methods also need to be taken into account. The principal stakeholders, who are most affected by the rules, procedures and management of the scheme, are the foll

42、owing: the scheme owner; the certification body/bodies; the providers of certified services; the customers for the certified services and entities that rely on certification. NOTE Where a certification body develops and operates its own scheme, the certification body is the scheme owner. Other stake

43、holders include, but are not limited to: regulatory authorities; specifiers, and purchasers of certified services; conformity assessment bodies (e.g. inspection bodies and management system auditing bodies) involved in the service certification process; accreditation bodies and peer assessment group

44、s; organizations that facilitate the recognition of certification status from one scheme owner to another. This document is informative in nature and provides guidelines accompanied by examples which are used to illustrate ways in which the guidelines could be used, without precluding other approach

45、es as decided by the scheme owner in consultation with the other stakeholders. Annex A contains examples of existing certification schemes for services.vi ISO/IEC 2017 All rights reserved Conformity assessment Guidelines and examples of a certification scheme for services 1 Scope This document provi

46、des guidelines and principles of service certification schemes. NOTE 1 In the context of this document, the assessment of a management system as part of service certification does not constitute the certification of the management system. NOTE 2 This document is not intended to limit in any way the

47、decisions of scheme owners when developing and operating their own schemes. 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

48、undated references, the latest edition of the referenced document (including any amendments) applies. ISO/IEC 17000:2004, Conformity assessment Vocabulary and general principles ISO/IEC 17065:2012, Conformity assessment Requirements for bodies certifying products, processes and services ISO/IEC 1706

49、7:2013, Conformity assessment Fundamentals of product certification and guidelines for product certification schemes 3 Terms and definitions For the purposes of this document, the terms and definitions given in ISO/IEC 17000, ISO/IEC 17067, ISO/IEC 17065 and the following apply. ISO and IEC maintain terminological databases for use in standardization at the following addresses: ISO Online browsing platform: available at h t t p :/ www .iso .org/ obp IEC Elect