**USDA ISO Guide 65 Program Checklist**

> *This checklist is for referencing the client\'s documentation to
> program criteria.*

-   *New clients must submit a completed checklist in the application
    for service. (Refer to ARC 1000 Procedure and ARC 1012 Procedure.)*

-   *Accredited client are asked to update the checklist prior to any
    surveillance assessments and reassessments.*

  ------------------- ---------------------------------------------------
  **Date:**           

  **Name of Company   
  :**                 

  **Est. No.:**       

  **Company           
  Address:**          

  **City, State,      
  Zip:**              

  **Contact Name:**   

  **Title:**          

  **Phone #:**        

  **Email:**          

  **Location(s) of    
  Program             
  Activities:**       

  **Standards         
  Applied:**          

  **Scope of Program  
  Activities:**       
  ------------------- ---------------------------------------------------

**PROGRAM REQUIREMENTS**

-   *Section (1) is to be completed by the client. Identify
    certification program documents and sections that address each
    criterion.*

-   *Section (2) is to be completed by the audit team.*

-   *Section (3) is to be completed by the audit team. Explanations
    and/or comments must be provided to provide evidence of conformance
    or non-conformance, as applicable.*

+----------------------+--------------+---+---+-----------------------+
| **ISO/IEC Guide 65** | **Client\'s  | * |   | **Remarks (3)**       |
|                      | Reference**  | * |   |                       |
|                      |              | C |   |                       |
|                      | **Document   | o |   |                       |
|                      | (1)**        | n |   |                       |
|                      |              | f |   |                       |
|                      |              | o |   |                       |
|                      |              | r |   |                       |
|                      |              | m |   |                       |
|                      |              | s |   |                       |
|                      |              | ( |   |                       |
|                      |              | 2 |   |                       |
|                      |              | ) |   |                       |
|                      |              | * |   |                       |
|                      |              | * |   |                       |
+======================+==============+===+===+=======================+
|                      |              | * | * |                       |
|                      |              | * | * |                       |
|                      |              | Y | N |                       |
|                      |              | e | o |                       |
|                      |              | s | * |                       |
|                      |              | * | * |                       |
|                      |              | * |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ## 4.                |              |   |   |                       |
| 0 Certification Body |              |   |   |                       |
|                      |              |   |   |                       |
| ### 4.               |              |   |   |                       |
| 1 General Provisions |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 4.1.1 The policies   |              |   |   |                       |
| and procedures under |              |   |   |                       |
| which the            |              |   |   |                       |
| certification body   |              |   |   |                       |
| operates and their   |              |   |   |                       |
| administration shall |              |   |   |                       |
| be                   |              |   |   |                       |
| non-discriminatory,  |              |   |   |                       |
| and shall be         |              |   |   |                       |
| administered in a    |              |   |   |                       |
| non-discriminatory   |              |   |   |                       |
| manner. Procedures   |              |   |   |                       |
| shall not be used to |              |   |   |                       |
| impede or inhibit    |              |   |   |                       |
| access by            |              |   |   |                       |
| applicants, other    |              |   |   |                       |
| than as provided for |              |   |   |                       |
| in this Guide.       |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 4.1.2 The            |              |   |   |                       |
| certification body   |              |   |   |                       |
| shall make its       |              |   |   |                       |
| services accessible  |              |   |   |                       |
| to all applicants    |              |   |   |                       |
| whose activities     |              |   |   |                       |
| fall within the      |              |   |   |                       |
| declared field of    |              |   |   |                       |
| operation. There     |              |   |   |                       |
| shall not be undue   |              |   |   |                       |
| financial or other   |              |   |   |                       |
| conditions. Access   |              |   |   |                       |
| shall not be         |              |   |   |                       |
| conditional upon the |              |   |   |                       |
| size of the          |              |   |   |                       |
| supplier, or         |              |   |   |                       |
| membership in any    |              |   |   |                       |
| association or       |              |   |   |                       |
| group, nor shall     |              |   |   |                       |
| certification be     |              |   |   |                       |
| conditional upon the |              |   |   |                       |
| number of            |              |   |   |                       |
| certificates already |              |   |   |                       |
| issued.              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 4.1.3 The criteria   |              |   |   |                       |
| against which the    |              |   |   |                       |
| products of a        |              |   |   |                       |
| supplier are         |              |   |   |                       |
| evaluated shall be   |              |   |   |                       |
| those outlined in    |              |   |   |                       |
| specified standards. |              |   |   |                       |
| Requirements for     |              |   |   |                       |
| standards suitable   |              |   |   |                       |
| for this purpose are |              |   |   |                       |
| contained in ISO/IEC |              |   |   |                       |
| Guide 7. If          |              |   |   |                       |
| explanation is       |              |   |   |                       |
| required as to the   |              |   |   |                       |
| application of these |              |   |   |                       |
| documents for a      |              |   |   |                       |
| specific             |              |   |   |                       |
| certification        |              |   |   |                       |
| system, it shall be  |              |   |   |                       |
| formulated by        |              |   |   |                       |
| relevant and         |              |   |   |                       |
| impartial committees |              |   |   |                       |
| or persons           |              |   |   |                       |
| possessing the       |              |   |   |                       |
| necessary technical  |              |   |   |                       |
| competence and       |              |   |   |                       |
| published by the     |              |   |   |                       |
| certification body.  |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 4.1.4 The            |              |   |   |                       |
| certification body   |              |   |   |                       |
| shall confine its    |              |   |   |                       |
| requirements,        |              |   |   |                       |
| evaluation and       |              |   |   |                       |
| decision on          |              |   |   |                       |
| certification to     |              |   |   |                       |
| those matters        |              |   |   |                       |
| specifically related |              |   |   |                       |
| to the scope of the  |              |   |   |                       |
| certification being  |              |   |   |                       |
| considered.          |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| **4.2 Organization** |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| The structure of the |              |   |   |                       |
| certification body   |              |   |   |                       |
| shall be such as to  |              |   |   |                       |
| foster confidence in |              |   |   |                       |
| its certifications.  |              |   |   |                       |
| In particular, the   |              |   |   |                       |
| certification body   |              |   |   |                       |
| shall:               |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| a\) be impartial;    |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| b\) be responsible   |              |   |   |                       |
| for decisions        |              |   |   |                       |
| relating to the      |              |   |   |                       |
| granting,            |              |   |   |                       |
| maintaining,         |              |   |   |                       |
| extending,           |              |   |   |                       |
| suspending and       |              |   |   |                       |
| withdrawing of       |              |   |   |                       |
| certification;       |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| c\) identify the     |              |   |   |                       |
| management           |              |   |   |                       |
| (committee, group or |              |   |   |                       |
| person) which shall  |              |   |   |                       |
| have overall         |              |   |   |                       |
| responsibility for   |              |   |   |                       |
| all of the           |              |   |   |                       |
| following:           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 1\) performance of |              |   |   |                       |
| > testing,           |              |   |   |                       |
| > inspection,        |              |   |   |                       |
| > evaluation, and    |              |   |   |                       |
| > certification as   |              |   |   |                       |
| > defined in this    |              |   |   |                       |
| > Guide,             |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 2\) formulation of |              |   |   |                       |
| > policy matters     |              |   |   |                       |
| > relating to the    |              |   |   |                       |
| > operation of the   |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body,              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 3\) decisions on   |              |   |   |                       |
| > certification,     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4\) supervision of |              |   |   |                       |
| > the implementation |              |   |   |                       |
| > of its polices,    |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 5\) supervision of |              |   |   |                       |
| > the finances of    |              |   |   |                       |
| > the body,          |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 6\) delegation of  |              |   |   |                       |
| > authority to       |              |   |   |                       |
| > committees or      |              |   |   |                       |
| > individuals as     |              |   |   |                       |
| > required to        |              |   |   |                       |
| > undertake defined  |              |   |   |                       |
| > activities on its  |              |   |   |                       |
| > behalf,            |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 7\) technical      |              |   |   |                       |
| > basis for granting |              |   |   |                       |
| > certification;     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| d\) have documents   |              |   |   |                       |
| which demonstrate it |              |   |   |                       |
| is a legal entity;   |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| e\) have a           |              |   |   |                       |
| documented structure |              |   |   |                       |
| which safeguards     |              |   |   |                       |
| impartiality         |              |   |   |                       |
| including provisions |              |   |   |                       |
| to ensure the        |              |   |   |                       |
| impartiality of the  |              |   |   |                       |
| operations of the    |              |   |   |                       |
| certification body;  |              |   |   |                       |
| this structure shall |              |   |   |                       |
| enable the           |              |   |   |                       |
| participation of all |              |   |   |                       |
| parties              |              |   |   |                       |
| significantly        |              |   |   |                       |
| concerned in the     |              |   |   |                       |
| development of       |              |   |   |                       |
| policies and         |              |   |   |                       |
| principles regarding |              |   |   |                       |
| the content and      |              |   |   |                       |
| functioning of the   |              |   |   |                       |
| certification        |              |   |   |                       |
| system;              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > f\) ensure that    |              |   |   |                       |
| > each decision on   |              |   |   |                       |
| > certification is   |              |   |   |                       |
| > taken by a         |              |   |   |                       |
| > person(s)          |              |   |   |                       |
| > different from     |              |   |   |                       |
| > those who carried  |              |   |   |                       |
| > out the            |              |   |   |                       |
| > evaluation;        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > g\) have rights    |              |   |   |                       |
| > and                |              |   |   |                       |
| > responsibilities   |              |   |   |                       |
| > relevant to its    |              |   |   |                       |
| > certification      |              |   |   |                       |
| > activities;        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > h\) have adequate  |              |   |   |                       |
| > arrangements to    |              |   |   |                       |
| > cover liabilities  |              |   |   |                       |
| > arising from its   |              |   |   |                       |
| > operations and/or  |              |   |   |                       |
| > activities;        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| i\) have the         |              |   |   |                       |
| financial stability  |              |   |   |                       |
| and resources        |              |   |   |                       |
| required for the     |              |   |   |                       |
| operation of a       |              |   |   |                       |
| certification        |              |   |   |                       |
| system;              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| j\) employ a         |              |   |   |                       |
| sufficient number of |              |   |   |                       |
| personnel having the |              |   |   |                       |
| necessary education, |              |   |   |                       |
| training, technical  |              |   |   |                       |
| knowledge and        |              |   |   |                       |
| experience for       |              |   |   |                       |
| performing           |              |   |   |                       |
| certification        |              |   |   |                       |
| functions relating   |              |   |   |                       |
| to the type, range   |              |   |   |                       |
| and volume of work   |              |   |   |                       |
| performed, under a   |              |   |   |                       |
| responsible senior   |              |   |   |                       |
| executive;           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > k\) have a quality |              |   |   |                       |
| > system giving      |              |   |   |                       |
| > confidence in its  |              |   |   |                       |
| > ability to operate |              |   |   |                       |
| > a certification    |              |   |   |                       |
| > system for         |              |   |   |                       |
| > products;          |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| l\) have policies    |              |   |   |                       |
| and procedures that  |              |   |   |                       |
| distinguish between  |              |   |   |                       |
| product              |              |   |   |                       |
| certification and    |              |   |   |                       |
| any other activities |              |   |   |                       |
| in which the body is |              |   |   |                       |
| engaged;             |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| m\) together with    |              |   |   |                       |
| its senior executive |              |   |   |                       |
| and staff, be free   |              |   |   |                       |
| from any commercial, |              |   |   |                       |
| financial and other  |              |   |   |                       |
| pressures which      |              |   |   |                       |
| might influence the  |              |   |   |                       |
| results of the       |              |   |   |                       |
| certification        |              |   |   |                       |
| process;             |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| n\) have formal      |              |   |   |                       |
| rules and structures |              |   |   |                       |
| for the appointment  |              |   |   |                       |
| and operation of any |              |   |   |                       |
| committees which are |              |   |   |                       |
| involved in the      |              |   |   |                       |
| certification        |              |   |   |                       |
| process; such        |              |   |   |                       |
| committees shall be  |              |   |   |                       |
| free from any        |              |   |   |                       |
| commercial,          |              |   |   |                       |
| financial and other  |              |   |   |                       |
| pressures that might |              |   |   |                       |
| influence decisions; |              |   |   |                       |
| a structure where    |              |   |   |                       |
| members are chosen   |              |   |   |                       |
| to provide a balance |              |   |   |                       |
| of interests where   |              |   |   |                       |
| no single interest   |              |   |   |                       |
| predominates will be |              |   |   |                       |
| deemed to satisfy    |              |   |   |                       |
| this provision;      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| o\) ensure that      |              |   |   |                       |
| activities of        |              |   |   |                       |
| related bodies do    |              |   |   |                       |
| not affect the       |              |   |   |                       |
| confidentiality,     |              |   |   |                       |
| objectivity, or      |              |   |   |                       |
| impartiality of its  |              |   |   |                       |
| certifications, and  |              |   |   |                       |
| it shall not         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 1\) supply or      |              |   |   |                       |
| > design products of |              |   |   |                       |
| > the type it        |              |   |   |                       |
| > certifies,         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 2\) give advice or |              |   |   |                       |
| > provide            |              |   |   |                       |
| > consultancy        |              |   |   |                       |
| > services to the    |              |   |   |                       |
| > applicant as to    |              |   |   |                       |
| > methods of dealing |              |   |   |                       |
| > with matters which |              |   |   |                       |
| > are barriers to    |              |   |   |                       |
| > the certification  |              |   |   |                       |
| > requested,         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 3\) provide any    |              |   |   |                       |
| > other products or  |              |   |   |                       |
| > services which     |              |   |   |                       |
| > could compromise   |              |   |   |                       |
| > the                |              |   |   |                       |
| > confidentiality,   |              |   |   |                       |
| > objectivity or     |              |   |   |                       |
| > impartiality of    |              |   |   |                       |
| > its certification  |              |   |   |                       |
| > process and        |              |   |   |                       |
| > decisions;         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > p\) have policies  |              |   |   |                       |
| > and procedures for |              |   |   |                       |
| > the resolution of  |              |   |   |                       |
| > complaints,        |              |   |   |                       |
| > appeals and        |              |   |   |                       |
| > disputes received  |              |   |   |                       |
| > from suppliers or  |              |   |   |                       |
| > other parties      |              |   |   |                       |
| > about the handling |              |   |   |                       |
| > of certification   |              |   |   |                       |
| > or any other       |              |   |   |                       |
| > related matters.   |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.3 Operations     |              |   |   |                       |
| >                    |              |   |   |                       |
| > The certification  |              |   |   |                       |
| > body shall take    |              |   |   |                       |
| > all steps          |              |   |   |                       |
| > necessary to       |              |   |   |                       |
| > evaluate           |              |   |   |                       |
| > conformance with   |              |   |   |                       |
| > the relevant       |              |   |   |                       |
| > product standards  |              |   |   |                       |
| > according to the   |              |   |   |                       |
| > requirements of    |              |   |   |                       |
| > specific product   |              |   |   |                       |
| > certification      |              |   |   |                       |
| > system (see clause |              |   |   |                       |
| > 3). The            |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall specify the  |              |   |   |                       |
| > relevant standards |              |   |   |                       |
| > or parts thereof   |              |   |   |                       |
| > and any other      |              |   |   |                       |
| > requirements such  |              |   |   |                       |
| > as sampling,       |              |   |   |                       |
| > testing and        |              |   |   |                       |
| > inspection         |              |   |   |                       |
| > requirements which |              |   |   |                       |
| > form the basis for |              |   |   |                       |
| > the applicable     |              |   |   |                       |
| > certification      |              |   |   |                       |
| > system.            |              |   |   |                       |
| >                    |              |   |   |                       |
| > In conducting its  |              |   |   |                       |
| > certification      |              |   |   |                       |
| > operations, the    |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall observe, as  |              |   |   |                       |
| > appropriate, the   |              |   |   |                       |
| > requirements for   |              |   |   |                       |
| > the suitability    |              |   |   |                       |
| > and competence of  |              |   |   |                       |
| > body(ies) or       |              |   |   |                       |
| > person(s) carry    |              |   |   |                       |
| > out testing,       |              |   |   |                       |
| > inspection and     |              |   |   |                       |
| > certif             |              |   |   |                       |
| ication/registration |              |   |   |                       |
| > as specified in    |              |   |   |                       |
| > ISO/IEC Guides 25, |              |   |   |                       |
| > 39 and 62.         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ##                   |              |   |   |                       |
| # 4.4 Subcontracting |              |   |   |                       |
|                      |              |   |   |                       |
| > When a             |              |   |   |                       |
| > certification body |              |   |   |                       |
| > decides to         |              |   |   |                       |
| > subcontract work   |              |   |   |                       |
| > related to the     |              |   |   |                       |
| > certification      |              |   |   |                       |
| > (e.g. testing or   |              |   |   |                       |
| > inspection) to an  |              |   |   |                       |
| > external body or   |              |   |   |                       |
| > person, a properly |              |   |   |                       |
| > documented         |              |   |   |                       |
| > agreement covering |              |   |   |                       |
| > the arrangements   |              |   |   |                       |
| > including          |              |   |   |                       |
| > confidentiality    |              |   |   |                       |
| > and conflicts of   |              |   |   |                       |
| > interests shall be |              |   |   |                       |
| > drawn up. The      |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall:             |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) take full      |              |   |   |                       |
| > responsibility for |              |   |   |                       |
| > such subcontracted |              |   |   |                       |
| > work and maintain  |              |   |   |                       |
| > its responsibility |              |   |   |                       |
| > for granting,      |              |   |   |                       |
| > maintaining,       |              |   |   |                       |
| > extending,         |              |   |   |                       |
| > suspending or      |              |   |   |                       |
| > withdrawing        |              |   |   |                       |
| > certification;     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) ensure that    |              |   |   |                       |
| > the subcontracted  |              |   |   |                       |
| > body or person is  |              |   |   |                       |
| > competent and      |              |   |   |                       |
| > complies with the  |              |   |   |                       |
| > applicable         |              |   |   |                       |
| > provisions of this |              |   |   |                       |
| > Guide and other    |              |   |   |                       |
| > standards and      |              |   |   |                       |
| > guides relevant to |              |   |   |                       |
| > testing,           |              |   |   |                       |
| > inspection or      |              |   |   |                       |
| > other technical    |              |   |   |                       |
| > activities (see    |              |   |   |                       |
| > clause 2), and is  |              |   |   |                       |
| > not involved,      |              |   |   |                       |
| > either directly or |              |   |   |                       |
| > through the        |              |   |   |                       |
| > person\'s employer |              |   |   |                       |
| > with the design or |              |   |   |                       |
| > production of the  |              |   |   |                       |
| > product in such a  |              |   |   |                       |
| > way that           |              |   |   |                       |
| > impartiality would |              |   |   |                       |
| > be compromised;    |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > c\) obtain the     |              |   |   |                       |
| > applicant's        |              |   |   |                       |
| > consent.           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > *NOTE:*            |              |   |   |                       |
| >                    |              |   |   |                       |
| > 2\. Where work     |              |   |   |                       |
| > related to         |              |   |   |                       |
| > certification has  |              |   |   |                       |
| > been undertaken    |              |   |   |                       |
| > prior to the       |              |   |   |                       |
| > application for    |              |   |   |                       |
| > certification, the |              |   |   |                       |
| > body may take      |              |   |   |                       |
| > account of it,     |              |   |   |                       |
| > provided it can    |              |   |   |                       |
| > take               |              |   |   |                       |
| > responsibility as  |              |   |   |                       |
| > detailed in 4.4 a) |              |   |   |                       |
| > and satisfy itself |              |   |   |                       |
| > regarding the      |              |   |   |                       |
| > matters detailed   |              |   |   |                       |
| > in 4.4 b).         |              |   |   |                       |
| >                    |              |   |   |                       |
| > 3\. The            |              |   |   |                       |
| > requirements given |              |   |   |                       |
| > in 4.4 a) and b)   |              |   |   |                       |
| > are also relevant, |              |   |   |                       |
| > by extension, when |              |   |   |                       |
| > a certification    |              |   |   |                       |
| > body uses, for     |              |   |   |                       |
| > granting its own   |              |   |   |                       |
| > certification,     |              |   |   |                       |
| > work provided by   |              |   |   |                       |
| > another            |              |   |   |                       |
| > certification body |              |   |   |                       |
| > with which it has  |              |   |   |                       |
| > signed an          |              |   |   |                       |
| > agreement.         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ###                  |              |   |   |                       |
|  4.5 Quality system  |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.5.1 The          |              |   |   |                       |
| > management of the  |              |   |   |                       |
| > certification body |              |   |   |                       |
| > having executive   |              |   |   |                       |
| > responsibility for |              |   |   |                       |
| > the quality system |              |   |   |                       |
| > shall define and   |              |   |   |                       |
| > document its       |              |   |   |                       |
| > policy for quality |              |   |   |                       |
| > and its objectives |              |   |   |                       |
| > for, and its       |              |   |   |                       |
| > commitment to,     |              |   |   |                       |
| > quality. The       |              |   |   |                       |
| > management shall   |              |   |   |                       |
| > ensure that this   |              |   |   |                       |
| > policy is          |              |   |   |                       |
| > understood,        |              |   |   |                       |
| > implemented and    |              |   |   |                       |
| > maintained at all  |              |   |   |                       |
| > levels of the      |              |   |   |                       |
| > organization.      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.5.2 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall operate an   |              |   |   |                       |
| > effective quality  |              |   |   |                       |
| > system in          |              |   |   |                       |
| > accordance with    |              |   |   |                       |
| > the relevant       |              |   |   |                       |
| > elements of this   |              |   |   |                       |
| > Guide and          |              |   |   |                       |
| > appropriate for    |              |   |   |                       |
| > the type, range    |              |   |   |                       |
| > and volume of work |              |   |   |                       |
| > performed. This    |              |   |   |                       |
| > quality system     |              |   |   |                       |
| > shall be           |              |   |   |                       |
| > documented and the |              |   |   |                       |
| > documentation      |              |   |   |                       |
| > shall be available |              |   |   |                       |
| > for use by the     |              |   |   |                       |
| > certification body |              |   |   |                       |
| > staff. The         |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall ensure       |              |   |   |                       |
| > effective          |              |   |   |                       |
| > implementation of  |              |   |   |                       |
| > the documented     |              |   |   |                       |
| > quality system,    |              |   |   |                       |
| > procedures and     |              |   |   |                       |
| > instructions. The  |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall designate a  |              |   |   |                       |
| > person having      |              |   |   |                       |
| > direct access to   |              |   |   |                       |
| > its highest        |              |   |   |                       |
| > executive level    |              |   |   |                       |
| > who, irrespective  |              |   |   |                       |
| > of other           |              |   |   |                       |
| > responsibilities,  |              |   |   |                       |
| > shall have defined |              |   |   |                       |
| > authority for:     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) ensuring that  |              |   |   |                       |
| > a quality system   |              |   |   |                       |
| > is established,    |              |   |   |                       |
| > implemented and    |              |   |   |                       |
| > maintained in      |              |   |   |                       |
| > accordance with    |              |   |   |                       |
| > this Guide, and    |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) reporting on   |              |   |   |                       |
| > the performance of |              |   |   |                       |
| > the quality system |              |   |   |                       |
| > to the             |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body's management  |              |   |   |                       |
| > for review and as  |              |   |   |                       |
| > a basis for        |              |   |   |                       |
| > improvement of the |              |   |   |                       |
| > quality system.    |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.5.3 The quality  |              |   |   |                       |
| > system shall be    |              |   |   |                       |
| > documented in a    |              |   |   |                       |
| > quality manual and |              |   |   |                       |
| > associated quality |              |   |   |                       |
| > procedures, and    |              |   |   |                       |
| > the manual shall   |              |   |   |                       |
| > contain or refer   |              |   |   |                       |
| > to at least the    |              |   |   |                       |
| > following:         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) a quality      |              |   |   |                       |
| > policy statement;  |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) a brief        |              |   |   |                       |
| > description of the |              |   |   |                       |
| > legal status of    |              |   |   |                       |
| > the certification  |              |   |   |                       |
| > body, including    |              |   |   |                       |
| > names of its       |              |   |   |                       |
| > owners and, if     |              |   |   |                       |
| > different, names   |              |   |   |                       |
| > of the persons who |              |   |   |                       |
| > control it;        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > c\) the names,     |              |   |   |                       |
| > qualifications,    |              |   |   |                       |
| > experience and     |              |   |   |                       |
| > terms of reference |              |   |   |                       |
| > of the senior      |              |   |   |                       |
| > executive and      |              |   |   |                       |
| > other              |              |   |   |                       |
| > certification      |              |   |   |                       |
| > personnel, both    |              |   |   |                       |
| > internal and       |              |   |   |                       |
| > external;          |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > d\) an             |              |   |   |                       |
| > organization chart |              |   |   |                       |
| > showing lines of   |              |   |   |                       |
| > authority,         |              |   |   |                       |
| > responsibility and |              |   |   |                       |
| > allocation of      |              |   |   |                       |
| > functions stemming |              |   |   |                       |
| > from the senior    |              |   |   |                       |
| > executive;         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > e\) a description  |              |   |   |                       |
| > of the             |              |   |   |                       |
| > organization of    |              |   |   |                       |
| > the certification  |              |   |   |                       |
| > body, including    |              |   |   |                       |
| > details of the     |              |   |   |                       |
| > management         |              |   |   |                       |
| > (committee, group  |              |   |   |                       |
| > or person)         |              |   |   |                       |
| > identified in      |              |   |   |                       |
| > clause 4.2 c), its |              |   |   |                       |
| > constitution,      |              |   |   |                       |
| > terms of reference |              |   |   |                       |
| > and rules of       |              |   |   |                       |
| > procedure;         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > f\) the policy and |              |   |   |                       |
| > procedures for     |              |   |   |                       |
| > conducting         |              |   |   |                       |
| > management         |              |   |   |                       |
| > reviews;           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > g\) administrative |              |   |   |                       |
| > procedures         |              |   |   |                       |
| > including document |              |   |   |                       |
| > control;           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > h\) the            |              |   |   |                       |
| > operational and    |              |   |   |                       |
| > functional duties  |              |   |   |                       |
| > and services       |              |   |   |                       |
| > pertaining to      |              |   |   |                       |
| > quality, so that   |              |   |   |                       |
| > the extent and     |              |   |   |                       |
| > limits of each     |              |   |   |                       |
| > person's           |              |   |   |                       |
| > responsibility are |              |   |   |                       |
| > known to all       |              |   |   |                       |
| > concerned;         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > I\) the procedure  |              |   |   |                       |
| > for the            |              |   |   |                       |
| > recruitment,       |              |   |   |                       |
| > selection and      |              |   |   |                       |
| > training of        |              |   |   |                       |
| > certification body |              |   |   |                       |
| > personnel and      |              |   |   |                       |
| > monitoring of      |              |   |   |                       |
| > their performance; |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > j\) a list of its  |              |   |   |                       |
| > approved           |              |   |   |                       |
| > subcontractors and |              |   |   |                       |
| > the procedures for |              |   |   |                       |
| > assessing,         |              |   |   |                       |
| > recording and      |              |   |   |                       |
| > monitoring their   |              |   |   |                       |
| > competence;        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > k\) its procedures |              |   |   |                       |
| > for handling       |              |   |   |                       |
| > nonconformities    |              |   |   |                       |
| > and for assuring   |              |   |   |                       |
| > the effectiveness  |              |   |   |                       |
| > of any corrective  |              |   |   |                       |
| > and preventive     |              |   |   |                       |
| > actions taken;     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > I\) the procedures |              |   |   |                       |
| > for evaluating     |              |   |   |                       |
| > products and       |              |   |   |                       |
| > implementing the   |              |   |   |                       |
| > certification      |              |   |   |                       |
| > process,           |              |   |   |                       |
| > including:         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 1\) the conditions |              |   |   |                       |
| > for issue,         |              |   |   |                       |
| > retention and      |              |   |   |                       |
| > withdrawal of      |              |   |   |                       |
| > certification      |              |   |   |                       |
| > documents,         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 2\) controls over  |              |   |   |                       |
| > the use and        |              |   |   |                       |
| > application of     |              |   |   |                       |
| > documents employed |              |   |   |                       |
| > in the             |              |   |   |                       |
| > certification of   |              |   |   |                       |
| > products;          |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > m\) the policy and |              |   |   |                       |
| > procedure for      |              |   |   |                       |
| > dealing with       |              |   |   |                       |
| > appeals,           |              |   |   |                       |
| > complaints and     |              |   |   |                       |
| > disputes ;         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > n\) its procedures |              |   |   |                       |
| > for conducting     |              |   |   |                       |
| > internal audits,   |              |   |   |                       |
| > based on the       |              |   |   |                       |
| > provisions of ISO  |              |   |   |                       |
| > 10011-1.           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.6 Conditions and |              |   |   |                       |
| > procedures for     |              |   |   |                       |
| > granting,          |              |   |   |                       |
| > maintaining,       |              |   |   |                       |
| > extending,         |              |   |   |                       |
| > suspending, and    |              |   |   |                       |
| > withdrawing        |              |   |   |                       |
| > certification      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.6.1 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall specify the  |              |   |   |                       |
| > conditions for     |              |   |   |                       |
| > granting,          |              |   |   |                       |
| > maintaining, and   |              |   |   |                       |
| > extending          |              |   |   |                       |
| > certification and  |              |   |   |                       |
| > the conditions     |              |   |   |                       |
| > under which        |              |   |   |                       |
| > certification may  |              |   |   |                       |
| > be suspended or    |              |   |   |                       |
| > withdrawn,         |              |   |   |                       |
| > partially or in    |              |   |   |                       |
| > total.             |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.6.2 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall have         |              |   |   |                       |
| > procedures to:     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) grant,         |              |   |   |                       |
| > maintain, withdraw |              |   |   |                       |
| > and, if            |              |   |   |                       |
| > applicable,        |              |   |   |                       |
| > suspend            |              |   |   |                       |
| > certification;     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) extend or      |              |   |   |                       |
| > reduce the scope   |              |   |   |                       |
| > of certification;  |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > c\) re-evaluate in |              |   |   |                       |
| > the event of       |              |   |   |                       |
| > changes            |              |   |   |                       |
| > significantly      |              |   |   |                       |
| > affecting the      |              |   |   |                       |
| > product's design   |              |   |   |                       |
| > or specification,  |              |   |   |                       |
| > or changes in      |              |   |   |                       |
| > standards to which |              |   |   |                       |
| > compliance of the  |              |   |   |                       |
| > product is         |              |   |   |                       |
| > certified, or      |              |   |   |                       |
| > changes in the     |              |   |   |                       |
| > ownership,         |              |   |   |                       |
| > structure or       |              |   |   |                       |
| > management of the  |              |   |   |                       |
| > supplier, if       |              |   |   |                       |
| > relevant, or in    |              |   |   |                       |
| > the case of any    |              |   |   |                       |
| > other information  |              |   |   |                       |
| > indicating that    |              |   |   |                       |
| > the product may no |              |   |   |                       |
| > longer comply with |              |   |   |                       |
| > the requirements   |              |   |   |                       |
| > of the             |              |   |   |                       |
| > certification      |              |   |   |                       |
| > system.            |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.7 Internal       |              |   |   |                       |
| > audits and         |              |   |   |                       |
| > management reviews |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.7.1 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall conduct      |              |   |   |                       |
| > periodic internal  |              |   |   |                       |
| > audits covering    |              |   |   |                       |
| > all procedures in  |              |   |   |                       |
| > a planned and      |              |   |   |                       |
| > systematic manner, |              |   |   |                       |
| > to verify that the |              |   |   |                       |
| > quality system is  |              |   |   |                       |
| > implemented and is |              |   |   |                       |
| > effective.         |              |   |   |                       |
| >                    |              |   |   |                       |
| > The certification  |              |   |   |                       |
| > body shall ensure  |              |   |   |                       |
| > that:              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) personnel      |              |   |   |                       |
| > responsible for    |              |   |   |                       |
| > the area audited   |              |   |   |                       |
| > are informed of    |              |   |   |                       |
| > the outcome of the |              |   |   |                       |
| > audit;             |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) corrective     |              |   |   |                       |
| > action is taken in |              |   |   |                       |
| > a timely and       |              |   |   |                       |
| > appropriate        |              |   |   |                       |
| > manner;            |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > c\) the results of |              |   |   |                       |
| > the audit are      |              |   |   |                       |
| > documented.        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.7.2 The body's   |              |   |   |                       |
| > management with    |              |   |   |                       |
| > executive          |              |   |   |                       |
| > responsibility     |              |   |   |                       |
| > shall review its   |              |   |   |                       |
| > quality system at  |              |   |   |                       |
| > defined intervals  |              |   |   |                       |
| > which are          |              |   |   |                       |
| > sufficiently short |              |   |   |                       |
| > to ensure its      |              |   |   |                       |
| > continuing         |              |   |   |                       |
| > suitability and    |              |   |   |                       |
| > effectiveness in   |              |   |   |                       |
| > satisfying the     |              |   |   |                       |
| > requirements of    |              |   |   |                       |
| > this Guide and the |              |   |   |                       |
| > stated quality     |              |   |   |                       |
| > policy and         |              |   |   |                       |
| > objectives.        |              |   |   |                       |
| > Records of such    |              |   |   |                       |
| > reviews shall be   |              |   |   |                       |
| > maintained.        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| #                    |              |   |   |                       |
| ## 4.8 Documentation |              |   |   |                       |
|                      |              |   |   |                       |
| ###                  |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.8.1 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall provide      |              |   |   |                       |
| > (through           |              |   |   |                       |
| > publications,      |              |   |   |                       |
| > electronic media   |              |   |   |                       |
| > or other means),   |              |   |   |                       |
| > update at regular  |              |   |   |                       |
| > intervals, and     |              |   |   |                       |
| > make available on  |              |   |   |                       |
| > request, the       |              |   |   |                       |
| > following:         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) information    |              |   |   |                       |
| > about the          |              |   |   |                       |
| > authority under    |              |   |   |                       |
| > which the          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > operates;          |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) a documented   |              |   |   |                       |
| > statement of its   |              |   |   |                       |
| > product            |              |   |   |                       |
| > certification      |              |   |   |                       |
| > system, including  |              |   |   |                       |
| > its rules and      |              |   |   |                       |
| > procedures for     |              |   |   |                       |
| > granting,          |              |   |   |                       |
| > maintaining,       |              |   |   |                       |
| > extending,         |              |   |   |                       |
| > suspending and     |              |   |   |                       |
| > withdrawing        |              |   |   |                       |
| > certification;     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > c\) information    |              |   |   |                       |
| > about the          |              |   |   |                       |
| > evaluation         |              |   |   |                       |
| > procedures and     |              |   |   |                       |
| > certification      |              |   |   |                       |
| > process related to |              |   |   |                       |
| > each product       |              |   |   |                       |
| > certification      |              |   |   |                       |
| > system;            |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > d\) a description  |              |   |   |                       |
| > of the means by    |              |   |   |                       |
| > which the          |              |   |   |                       |
| > organization       |              |   |   |                       |
| > obtains financial  |              |   |   |                       |
| > support and        |              |   |   |                       |
| > general            |              |   |   |                       |
| > information on the |              |   |   |                       |
| > fees charged to    |              |   |   |                       |
| > applicants and to  |              |   |   |                       |
| > suppliers of       |              |   |   |                       |
| > certified          |              |   |   |                       |
| > products;          |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > e\) a description  |              |   |   |                       |
| > of the rights and  |              |   |   |                       |
| > duties of          |              |   |   |                       |
| > applicants and     |              |   |   |                       |
| > suppliers of       |              |   |   |                       |
| > certified          |              |   |   |                       |
| > products,          |              |   |   |                       |
| > including          |              |   |   |                       |
| > requirements,      |              |   |   |                       |
| > restrictions or    |              |   |   |                       |
| > limitations on the |              |   |   |                       |
| > use of the         |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body's logo and on |              |   |   |                       |
| > the ways of        |              |   |   |                       |
| > referring to the   |              |   |   |                       |
| > certification      |              |   |   |                       |
| > granted;           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > f\) information on |              |   |   |                       |
| > procedures for     |              |   |   |                       |
| > handling           |              |   |   |                       |
| > complaints,        |              |   |   |                       |
| > appeals and        |              |   |   |                       |
| > disputes;          |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > g\) a directory of |              |   |   |                       |
| > certified products |              |   |   |                       |
| > and their          |              |   |   |                       |
| > suppliers.         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.8.2 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall establish    |              |   |   |                       |
| > and maintain       |              |   |   |                       |
| > procedures to      |              |   |   |                       |
| > control all        |              |   |   |                       |
| > documents and data |              |   |   |                       |
| > that relate to its |              |   |   |                       |
| > certification      |              |   |   |                       |
| > functions. These   |              |   |   |                       |
| > documents shall be |              |   |   |                       |
| > reviewed and       |              |   |   |                       |
| > approved for       |              |   |   |                       |
| > adequacy by        |              |   |   |                       |
| > appropriately      |              |   |   |                       |
| > authorized and     |              |   |   |                       |
| > competent          |              |   |   |                       |
| > personnel prior to |              |   |   |                       |
| > issuing any        |              |   |   |                       |
| > documents          |              |   |   |                       |
| > following initial  |              |   |   |                       |
| > development or any |              |   |   |                       |
| > subsequent         |              |   |   |                       |
| > amendment or       |              |   |   |                       |
| > change being made. |              |   |   |                       |
| > A listing of all   |              |   |   |                       |
| > appropriate        |              |   |   |                       |
| > documents with the |              |   |   |                       |
| > respective issue   |              |   |   |                       |
| > and/or amendment   |              |   |   |                       |
| > status identified  |              |   |   |                       |
| > shall be           |              |   |   |                       |
| > maintained. The    |              |   |   |                       |
| > distribution of    |              |   |   |                       |
| > all such documents |              |   |   |                       |
| > shall be           |              |   |   |                       |
| > controlled to      |              |   |   |                       |
| > ensure that the    |              |   |   |                       |
| > appropriate        |              |   |   |                       |
| > documentation is   |              |   |   |                       |
| > made available to  |              |   |   |                       |
| > personnel of the   |              |   |   |                       |
| > certification body |              |   |   |                       |
| > or suppliers when  |              |   |   |                       |
| > they are required  |              |   |   |                       |
| > to perform any     |              |   |   |                       |
| > function relating  |              |   |   |                       |
| > to the             |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body's activities. |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| **4.9 Records**      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.9.1 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall maintain a   |              |   |   |                       |
| > record system to   |              |   |   |                       |
| > suit its           |              |   |   |                       |
| > particular         |              |   |   |                       |
| > circumstances and  |              |   |   |                       |
| > to comply with     |              |   |   |                       |
| > existing           |              |   |   |                       |
| > regulations. The   |              |   |   |                       |
| > records shall      |              |   |   |                       |
| > demonstrate that   |              |   |   |                       |
| > the certification  |              |   |   |                       |
| > procedures have    |              |   |   |                       |
| > been effectively   |              |   |   |                       |
| > fulfilled,         |              |   |   |                       |
| > particularly with  |              |   |   |                       |
| > respect to         |              |   |   |                       |
| > application forms, |              |   |   |                       |
| > evaluation         |              |   |   |                       |
| > reports,           |              |   |   |                       |
| > surveillance       |              |   |   |                       |
| > activities, and    |              |   |   |                       |
| > other documents    |              |   |   |                       |
| > relating to        |              |   |   |                       |
| > granting,          |              |   |   |                       |
| > maintaining,       |              |   |   |                       |
| > extending,         |              |   |   |                       |
| > reducing,          |              |   |   |                       |
| > suspending or      |              |   |   |                       |
| > withdrawing        |              |   |   |                       |
| > certification. The |              |   |   |                       |
| > records shall be   |              |   |   |                       |
| > identified,        |              |   |   |                       |
| > managed and        |              |   |   |                       |
| > disposed of in     |              |   |   |                       |
| > such a way as to   |              |   |   |                       |
| > ensure integrity   |              |   |   |                       |
| > of the process and |              |   |   |                       |
| > confidentiality of |              |   |   |                       |
| > the information.   |              |   |   |                       |
| > The records shall  |              |   |   |                       |
| > be kept for a      |              |   |   |                       |
| > period of time so  |              |   |   |                       |
| > that continued     |              |   |   |                       |
| > confidence may be  |              |   |   |                       |
| > demonstrated for   |              |   |   |                       |
| > at least one full  |              |   |   |                       |
| > certification      |              |   |   |                       |
| > cycle, or as       |              |   |   |                       |
| > required by law.   |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 2.  The              |              |   |   |                       |
|     certification    |              |   |   |                       |
|     body shall have  |              |   |   |                       |
|     policies and     |              |   |   |                       |
|     procedures for   |              |   |   |                       |
|     retaining        |              |   |   |                       |
|     records for a    |              |   |   |                       |
|     period           |              |   |   |                       |
|     consistent with  |              |   |   |                       |
|     its contractual, |              |   |   |                       |
|     legal or other   |              |   |   |                       |
|     obligations. The |              |   |   |                       |
|     certification    |              |   |   |                       |
|     body shall have  |              |   |   |                       |
|     a policy and     |              |   |   |                       |
|     procedures       |              |   |   |                       |
|     concerning       |              |   |   |                       |
|     access to these  |              |   |   |                       |
|     records          |              |   |   |                       |
|     consistent with  |              |   |   |                       |
|     4.10.1 of this   |              |   |   |                       |
|     document         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > *Note:*            |              |   |   |                       |
| >                    |              |   |   |                       |
| > 4\. The question   |              |   |   |                       |
| > of the length of   |              |   |   |                       |
| > time for retention |              |   |   |                       |
| > of records         |              |   |   |                       |
| > requires specific  |              |   |   |                       |
| > attention in the   |              |   |   |                       |
| > light of legal     |              |   |   |                       |
| > circumstances and  |              |   |   |                       |
| > recognition        |              |   |   |                       |
| > arrangements.      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ###                  |              |   |   |                       |
| 4.10 Confidentiality |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.10.1 The         |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall have         |              |   |   |                       |
| > adequate           |              |   |   |                       |
| > arrangements,      |              |   |   |                       |
| > consistent with    |              |   |   |                       |
| > applicable laws,   |              |   |   |                       |
| > to safeguard       |              |   |   |                       |
| > confidentiality of |              |   |   |                       |
| > the information    |              |   |   |                       |
| > obtained in the    |              |   |   |                       |
| > course of its      |              |   |   |                       |
| > certification      |              |   |   |                       |
| > activities at all  |              |   |   |                       |
| > levels of its      |              |   |   |                       |
| > organization,      |              |   |   |                       |
| > including          |              |   |   |                       |
| > committees and     |              |   |   |                       |
| > external bodies or |              |   |   |                       |
| > individuals acting |              |   |   |                       |
| > on its behalf.     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 4.10.2 Except as   |              |   |   |                       |
| > required in this   |              |   |   |                       |
| > Guide or by laws,  |              |   |   |                       |
| > information gained |              |   |   |                       |
| > in the course of   |              |   |   |                       |
| > certification      |              |   |   |                       |
| > activities about a |              |   |   |                       |
| > particular product |              |   |   |                       |
| > or supplier shall  |              |   |   |                       |
| > not be disclosed   |              |   |   |                       |
| > to a third party   |              |   |   |                       |
| > without the        |              |   |   |                       |
| > written consent of |              |   |   |                       |
| > the supplier.      |              |   |   |                       |
| > Where the law      |              |   |   |                       |
| > requires           |              |   |   |                       |
| > information to be  |              |   |   |                       |
| > disclosed to a     |              |   |   |                       |
| > third party, the   |              |   |   |                       |
| > supplier shall be  |              |   |   |                       |
| > informed of the    |              |   |   |                       |
| > information        |              |   |   |                       |
| > provided as        |              |   |   |                       |
| > permited by the    |              |   |   |                       |
| > law..              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ## 5.0 Certific      |              |   |   |                       |
| ation body personnel |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 5.1 General        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 5.1.1 The          |              |   |   |                       |
| > personnel of the   |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall be competent |              |   |   |                       |
| > for the functions  |              |   |   |                       |
| > they perform       |              |   |   |                       |
| > including making   |              |   |   |                       |
| > required technical |              |   |   |                       |
| > judgments, framing |              |   |   |                       |
| > policies and       |              |   |   |                       |
| > implementing them. |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 5.1.2 Clearly      |              |   |   |                       |
| > documented         |              |   |   |                       |
| > instructions shall |              |   |   |                       |
| > be available to    |              |   |   |                       |
| > the personnel      |              |   |   |                       |
| > describing their   |              |   |   |                       |
| > duties and         |              |   |   |                       |
| > responsibilities.  |              |   |   |                       |
| > These instructions |              |   |   |                       |
| > shall be           |              |   |   |                       |
| > maintained         |              |   |   |                       |
| > up-to-date.        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ### 5.2 Qu           |              |   |   |                       |
| alification criteria |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 5.2.1 In order to  |              |   |   |                       |
| > ensure that        |              |   |   |                       |
| > evaluation and     |              |   |   |                       |
| > certification are  |              |   |   |                       |
| > carried out        |              |   |   |                       |
| > effectively and    |              |   |   |                       |
| > uniformly, the     |              |   |   |                       |
| > minimum relevant   |              |   |   |                       |
| > criteria for       |              |   |   |                       |
| > competence         |              |   |   |                       |
| > personnel shall be |              |   |   |                       |
| > defined by the     |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body.              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 5.2.2 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall require its  |              |   |   |                       |
| > personnel involved |              |   |   |                       |
| > the certification  |              |   |   |                       |
| > process to sign a  |              |   |   |                       |
| > contract or other  |              |   |   |                       |
| > document by which  |              |   |   |                       |
| > they commit        |              |   |   |                       |
| > themselves         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) to comply with |              |   |   |                       |
| > the rules defined  |              |   |   |                       |
| > by the             |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body, including    |              |   |   |                       |
| > those relating to  |              |   |   |                       |
| > confidentiality    |              |   |   |                       |
| > and independence   |              |   |   |                       |
| > from commercial    |              |   |   |                       |
| > and other          |              |   |   |                       |
| > interest; and      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) to declare any |              |   |   |                       |
| > prior and/or       |              |   |   |                       |
| > present            |              |   |   |                       |
| > association on     |              |   |   |                       |
| > their own part, or |              |   |   |                       |
| > on the part of     |              |   |   |                       |
| > their employer,    |              |   |   |                       |
| > with a supplier or |              |   |   |                       |
| > designer of        |              |   |   |                       |
| > products to the    |              |   |   |                       |
| > evaluation or      |              |   |   |                       |
| > certification of   |              |   |   |                       |
| > which they are to  |              |   |   |                       |
| > be assigned.       |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > The certification  |              |   |   |                       |
| > body shall ensure  |              |   |   |                       |
| > that, and document |              |   |   |                       |
| > how, any           |              |   |   |                       |
| > contracted         |              |   |   |                       |
| > personnel for      |              |   |   |                       |
| > their own part,    |              |   |   |                       |
| > and on the part of |              |   |   |                       |
| > their employer if  |              |   |   |                       |
| > any, satisfy all   |              |   |   |                       |
| > the requirements   |              |   |   |                       |
| > for personnel      |              |   |   |                       |
| > outlined in this   |              |   |   |                       |
| > Guide.             |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 5.2.3 Information  |              |   |   |                       |
| > on the relevant    |              |   |   |                       |
| > qualifications,    |              |   |   |                       |
| > training and       |              |   |   |                       |
| > experience of each |              |   |   |                       |
| > member of the      |              |   |   |                       |
| > personnel involved |              |   |   |                       |
| > in the             |              |   |   |                       |
| > certification      |              |   |   |                       |
| > process shall be   |              |   |   |                       |
| > maintained by the  |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body. Records of   |              |   |   |                       |
| > training and       |              |   |   |                       |
| > experience shall   |              |   |   |                       |
| > be kept up to      |              |   |   |                       |
| > date, in           |              |   |   |                       |
| > particular the     |              |   |   |                       |
| > following:         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) name and       |              |   |   |                       |
| > address;           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) organization   |              |   |   |                       |
| > affiliation and    |              |   |   |                       |
| > position held;     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > c\) educational    |              |   |   |                       |
| > qualification and  |              |   |   |                       |
| > professional       |              |   |   |                       |
| > status;            |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > d\) experience and |              |   |   |                       |
| > training in each   |              |   |   |                       |
| > field of the       |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body\'s            |              |   |   |                       |
| > competence;        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > e\) date of most   |              |   |   |                       |
| > recent updating of |              |   |   |                       |
| > records;           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > f\) performance    |              |   |   |                       |
| > appraisal.         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ## 6.0 C             |              |   |   |                       |
| hanges in the certif |              |   |   |                       |
| ication requirements |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > The certification  |              |   |   |                       |
| > body shall give    |              |   |   |                       |
| > due notice of any  |              |   |   |                       |
| > changes it intends |              |   |   |                       |
| > to make in its     |              |   |   |                       |
| > requirements for   |              |   |   |                       |
| > certification. It  |              |   |   |                       |
| > shall take account |              |   |   |                       |
| > of views expressed |              |   |   |                       |
| > by interested      |              |   |   |                       |
| > parties before     |              |   |   |                       |
| > deciding on the    |              |   |   |                       |
| > precise form and   |              |   |   |                       |
| > effective date of  |              |   |   |                       |
| > the changes.       |              |   |   |                       |
| > Following decision |              |   |   |                       |
| > on, and            |              |   |   |                       |
| > publication of,    |              |   |   |                       |
| > the changed        |              |   |   |                       |
| > requirements, it   |              |   |   |                       |
| > shall verify that  |              |   |   |                       |
| > each supplier      |              |   |   |                       |
| > makes any          |              |   |   |                       |
| > necessary          |              |   |   |                       |
| > adjustments within |              |   |   |                       |
| > such time as, in   |              |   |   |                       |
| > the opinion of the |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body, is           |              |   |   |                       |
| > reasonable.        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ## 7.0 Appeals, com  |              |   |   |                       |
| plaints and disputes |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 7.1 Appeals,       |              |   |   |                       |
| > complaints and     |              |   |   |                       |
| > disputes brought   |              |   |   |                       |
| > before the         |              |   |   |                       |
| > certification body |              |   |   |                       |
| > by suppliers or    |              |   |   |                       |
| > other parties      |              |   |   |                       |
| > shall be subject   |              |   |   |                       |
| > to the procedures  |              |   |   |                       |
| > of the             |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body.              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 7.2 Each           |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall:             |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) keep a record  |              |   |   |                       |
| > of all appeals,    |              |   |   |                       |
| > complaints and     |              |   |   |                       |
| > disputes and       |              |   |   |                       |
| > remedial actions   |              |   |   |                       |
| > relative to        |              |   |   |                       |
| > certification;     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) take           |              |   |   |                       |
| > appropriate        |              |   |   |                       |
| > subsequent action; |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > c\) document the   |              |   |   |                       |
| > actions taken and  |              |   |   |                       |
| > evaluation their   |              |   |   |                       |
| > effectiveness.     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ## 8.0 Applicati     |              |   |   |                       |
| on for certification |              |   |   |                       |
|                      |              |   |   |                       |
| ##                   |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 8.1 Information on |              |   |   |                       |
| > the procedure      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 8.1.1 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall provide to   |              |   |   |                       |
| > applicants an      |              |   |   |                       |
| > up-to-date         |              |   |   |                       |
| > detailed           |              |   |   |                       |
| > description of the |              |   |   |                       |
| > evaluation and     |              |   |   |                       |
| > certification      |              |   |   |                       |
| > procedures,        |              |   |   |                       |
| > appropriate to     |              |   |   |                       |
| > each certification |              |   |   |                       |
| > scheme, and the    |              |   |   |                       |
| > documents          |              |   |   |                       |
| > containing the     |              |   |   |                       |
| > requirements for   |              |   |   |                       |
| > certification, the |              |   |   |                       |
| > applicants' rights |              |   |   |                       |
| > and duties of      |              |   |   |                       |
| > suppliers which    |              |   |   |                       |
| > have certified     |              |   |   |                       |
| > products           |              |   |   |                       |
| > (including fees to |              |   |   |                       |
| > be paid by         |              |   |   |                       |
| > applicants and     |              |   |   |                       |
| > suppliers of       |              |   |   |                       |
| > certified          |              |   |   |                       |
| > products).         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 8.1.2 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall require that |              |   |   |                       |
| > a supplier:        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) always         |              |   |   |                       |
| > complies with the  |              |   |   |                       |
| > relevant           |              |   |   |                       |
| > provisions of the  |              |   |   |                       |
| > certification      |              |   |   |                       |
| > program;           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) makes all      |              |   |   |                       |
| > necessary          |              |   |   |                       |
| > arrangements for   |              |   |   |                       |
| > the conduct of the |              |   |   |                       |
| > evaluation,        |              |   |   |                       |
| > including          |              |   |   |                       |
| > provision for      |              |   |   |                       |
| > examining          |              |   |   |                       |
| > documentation and  |              |   |   |                       |
| > access to all      |              |   |   |                       |
| > areas, records     |              |   |   |                       |
| > (including         |              |   |   |                       |
| > internal audit     |              |   |   |                       |
| > reports) and       |              |   |   |                       |
| > personnel for the  |              |   |   |                       |
| > purposes of        |              |   |   |                       |
| > evaluation, (e.g.  |              |   |   |                       |
| > testing,           |              |   |   |                       |
| > inspection,        |              |   |   |                       |
| > assessment,        |              |   |   |                       |
| > surveillance,      |              |   |   |                       |
| > reassessment) and  |              |   |   |                       |
| > resolution of      |              |   |   |                       |
| > complaints;        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > c\) make claims    |              |   |   |                       |
| > regarding          |              |   |   |                       |
| > certification only |              |   |   |                       |
| > in respect of the  |              |   |   |                       |
| > scope for which    |              |   |   |                       |
| > certification has  |              |   |   |                       |
| > been granted;      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > d\) does not use   |              |   |   |                       |
| > its product        |              |   |   |                       |
| > certification in   |              |   |   |                       |
| > such a manner as   |              |   |   |                       |
| > to bring the       |              |   |   |                       |
| > certification body |              |   |   |                       |
| > into disrepute and |              |   |   |                       |
| > does not make any  |              |   |   |                       |
| > statement          |              |   |   |                       |
| > regarding its      |              |   |   |                       |
| > product            |              |   |   |                       |
| > certification      |              |   |   |                       |
| > which the          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > may consider       |              |   |   |                       |
| > misleading or      |              |   |   |                       |
| > unauthorized;      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > e\) upon           |              |   |   |                       |
| > suspension or      |              |   |   |                       |
| > cancellation of    |              |   |   |                       |
| > certification,     |              |   |   |                       |
| > discontinues its   |              |   |   |                       |
| > use of all         |              |   |   |                       |
| > advertising matter |              |   |   |                       |
| > that contains any  |              |   |   |                       |
| > reference thereto  |              |   |   |                       |
| > and returns any    |              |   |   |                       |
| > certification      |              |   |   |                       |
| > documents as       |              |   |   |                       |
| > required by the    |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body;              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > f\) uses           |              |   |   |                       |
| > certification only |              |   |   |                       |
| > to indicate that   |              |   |   |                       |
| > products are       |              |   |   |                       |
| > certified as being |              |   |   |                       |
| > in conformity with |              |   |   |                       |
| > specified          |              |   |   |                       |
| > standards;         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > g\) endeavors to   |              |   |   |                       |
| > ensure that no     |              |   |   |                       |
| > certificate or     |              |   |   |                       |
| > report or any part |              |   |   |                       |
| > thereof is used in |              |   |   |                       |
| > a misleading       |              |   |   |                       |
| > manner;            |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > h\) in making      |              |   |   |                       |
| > reference to its   |              |   |   |                       |
| > product            |              |   |   |                       |
| > certification in   |              |   |   |                       |
| > communication      |              |   |   |                       |
| > media such as      |              |   |   |                       |
| > documents,         |              |   |   |                       |
| > brochure or        |              |   |   |                       |
| > advertising,       |              |   |   |                       |
| > complies with the  |              |   |   |                       |
| > requirements of    |              |   |   |                       |
| > the certification  |              |   |   |                       |
| > body.              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 8.1.3 When the     |              |   |   |                       |
| > desired scope of   |              |   |   |                       |
| > certification is   |              |   |   |                       |
| > related to a       |              |   |   |                       |
| > specific system or |              |   |   |                       |
| > type of system     |              |   |   |                       |
| > operated by the    |              |   |   |                       |
| > certification      |              |   |   |                       |
| > body, any          |              |   |   |                       |
| > explanation needed |              |   |   |                       |
| > shall be provided  |              |   |   |                       |
| > to the applicant.  |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 8.1.4 If           |              |   |   |                       |
| > requested,         |              |   |   |                       |
| > additional         |              |   |   |                       |
| > application        |              |   |   |                       |
| > information shall  |              |   |   |                       |
| > be provided to the |              |   |   |                       |
| > applicant.         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ###                  |              |   |   |                       |
|  8.2 The application |              |   |   |                       |
|                      |              |   |   |                       |
| ###                  |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 8.2.1 The          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall require      |              |   |   |                       |
| > completion of an   |              |   |   |                       |
| > official           |              |   |   |                       |
| > application form,  |              |   |   |                       |
| > signed by a duly   |              |   |   |                       |
| > authorized         |              |   |   |                       |
| > representative of  |              |   |   |                       |
| > the applicant, in  |              |   |   |                       |
| > which or attached  |              |   |   |                       |
| > to which are the   |              |   |   |                       |
| > following:         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > a\) the scope of   |              |   |   |                       |
| > the desired        |              |   |   |                       |
| > certification;     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) the statement  |              |   |   |                       |
| > that the applicant |              |   |   |                       |
| > agrees to comply   |              |   |   |                       |
| > with the           |              |   |   |                       |
| > requirements for   |              |   |   |                       |
| > certification and  |              |   |   |                       |
| > to supply any      |              |   |   |                       |
| > information needed |              |   |   |                       |
| > for evaluation of  |              |   |   |                       |
| > products to be     |              |   |   |                       |
| > certified.         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 8.2.2 The          |              |   |   |                       |
| > applicant, as a    |              |   |   |                       |
| > minimum, shall     |              |   |   |                       |
| > provide the        |              |   |   |                       |
| > following          |              |   |   |                       |
| > information:       |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| a)  corporate        |              |   |   |                       |
|     entity, name,    |              |   |   |                       |
|     addresses, and   |              |   |   |                       |
|     legal status;    |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| b)  a definition of  |              |   |   |                       |
|     the products to  |              |   |   |                       |
|     be certified,    |              |   |   |                       |
|     the              |              |   |   |                       |
|     certification    |              |   |   |                       |
|     system, and the  |              |   |   |                       |
|     standards        |              |   |   |                       |
|     against which    |              |   |   |                       |
|     each product is  |              |   |   |                       |
|     to be certified  |              |   |   |                       |
|     if known to the  |              |   |   |                       |
|     applicant.       |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 9.0 Preparation    |              |   |   |                       |
| > for evaluation     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 9.1 Before         |              |   |   |                       |
| > proceeding with    |              |   |   |                       |
| > the evaluation,    |              |   |   |                       |
| > the certification  |              |   |   |                       |
| > body shall         |              |   |   |                       |
| > conduct, and       |              |   |   |                       |
| > maintain records   |              |   |   |                       |
| > of, a review of    |              |   |   |                       |
| > the application    |              |   |   |                       |
| > for certification  |              |   |   |                       |
| > to ensure that:    |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| a)  the requirements |              |   |   |                       |
|     for              |              |   |   |                       |
|     certification    |              |   |   |                       |
|     are clearly      |              |   |   |                       |
|     defined,         |              |   |   |                       |
|     documented and   |              |   |   |                       |
|     understood;      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| b)  any difference   |              |   |   |                       |
|     in the           |              |   |   |                       |
|     understanding    |              |   |   |                       |
|     between the      |              |   |   |                       |
|     certification    |              |   |   |                       |
|     body and the     |              |   |   |                       |
|     applicant is     |              |   |   |                       |
|     resolved; and    |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| c)  the              |              |   |   |                       |
|     certification    |              |   |   |                       |
|     body has the     |              |   |   |                       |
|     capability to    |              |   |   |                       |
|     perform the      |              |   |   |                       |
|     certification    |              |   |   |                       |
|     service with     |              |   |   |                       |
|     respect to the   |              |   |   |                       |
|     scope of the     |              |   |   |                       |
|     certification    |              |   |   |                       |
|     sought and, if   |              |   |   |                       |
|     applicable, the  |              |   |   |                       |
|     location of the  |              |   |   |                       |
|     applicant's      |              |   |   |                       |
|     operations and   |              |   |   |                       |
|     any special      |              |   |   |                       |
|     requirements     |              |   |   |                       |
|     such as the      |              |   |   |                       |
|     language used by |              |   |   |                       |
|     the applicant.   |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 9.2 The            |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall prepare a    |              |   |   |                       |
| > plan for its       |              |   |   |                       |
| > evaluation         |              |   |   |                       |
| > activities to      |              |   |   |                       |
| > allow for the      |              |   |   |                       |
| > necessary          |              |   |   |                       |
| > arrangements to be |              |   |   |                       |
| > managed.           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 9.3. The           |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall assign       |              |   |   |                       |
| > personnel          |              |   |   |                       |
| > appropriately      |              |   |   |                       |
| > qualified to       |              |   |   |                       |
| > perform the tasks  |              |   |   |                       |
| > for the specific   |              |   |   |                       |
| > evaluation.        |              |   |   |                       |
| > Personnel shall    |              |   |   |                       |
| > not be assigned if |              |   |   |                       |
| > they have been     |              |   |   |                       |
| > involved in, or    |              |   |   |                       |
| > been employed by a |              |   |   |                       |
| > body involved in,  |              |   |   |                       |
| > the design,        |              |   |   |                       |
| > supply,            |              |   |   |                       |
| > installation or    |              |   |   |                       |
| > maintenance of     |              |   |   |                       |
| > such products in a |              |   |   |                       |
| > manner and within  |              |   |   |                       |
| > a time period      |              |   |   |                       |
| > which could        |              |   |   |                       |
| > conflict with      |              |   |   |                       |
| > impartiality.      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 9.4 To ensure that a |              |   |   |                       |
| comprehensive and    |              |   |   |                       |
| correct evaluation   |              |   |   |                       |
| is carried out, the  |              |   |   |                       |
| personnel involved   |              |   |   |                       |
| shall be provided    |              |   |   |                       |
| with the appropriate |              |   |   |                       |
| working documents.   |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ## 10.0 Evaluation   |              |   |   |                       |
|                      |              |   |   |                       |
| > The certification  |              |   |   |                       |
| > body shall         |              |   |   |                       |
| > evaluate the       |              |   |   |                       |
| > products of the    |              |   |   |                       |
| > applicant against  |              |   |   |                       |
| > the standards      |              |   |   |                       |
| > covered by the     |              |   |   |                       |
| > scope defined in   |              |   |   |                       |
| > its application    |              |   |   |                       |
| > against all        |              |   |   |                       |
| > certification      |              |   |   |                       |
| > criteria specified |              |   |   |                       |
| > in the rules of    |              |   |   |                       |
| > the scheme.        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ## 11                |              |   |   |                       |
| .0 Evaluation report |              |   |   |                       |
|                      |              |   |   |                       |
| > The certification  |              |   |   |                       |
| > body shall adopt   |              |   |   |                       |
| > reporting          |              |   |   |                       |
| > procedures that    |              |   |   |                       |
| > suit its needs     |              |   |   |                       |
| > but, as a minimum, |              |   |   |                       |
| > these procedures   |              |   |   |                       |
| > shall ensure that: |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| a)  personnel        |              |   |   |                       |
|     appointed to     |              |   |   |                       |
|     evaluate the     |              |   |   |                       |
|     conformance of   |              |   |   |                       |
|     the product      |              |   |   |                       |
|     shall provide    |              |   |   |                       |
|     the              |              |   |   |                       |
|     certification    |              |   |   |                       |
|     body with a      |              |   |   |                       |
|     report of        |              |   |   |                       |
|     findings as to   |              |   |   |                       |
|     the conformity   |              |   |   |                       |
|     with all the     |              |   |   |                       |
|     certification    |              |   |   |                       |
|     requirements;    |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| b)  a full report on |              |   |   |                       |
|     the outcome of   |              |   |   |                       |
|     the evaluation   |              |   |   |                       |
|     is promptly      |              |   |   |                       |
|     brought to the   |              |   |   |                       |
|     applicant's      |              |   |   |                       |
|     notice by the    |              |   |   |                       |
|     certification    |              |   |   |                       |
|     body,            |              |   |   |                       |
|     identifying any  |              |   |   |                       |
|     nonconformities  |              |   |   |                       |
|     that have to be  |              |   |   |                       |
|     discharged in    |              |   |   |                       |
|     order to comply  |              |   |   |                       |
|     with all of the  |              |   |   |                       |
|     certification    |              |   |   |                       |
|     requirements and |              |   |   |                       |
|     the extent of    |              |   |   |                       |
|     further          |              |   |   |                       |
|     evaluation or    |              |   |   |                       |
|     testing          |              |   |   |                       |
|     required. If the |              |   |   |                       |
|     applicant can    |              |   |   |                       |
|     show that        |              |   |   |                       |
|     remedial action  |              |   |   |                       |
|     has been taken   |              |   |   |                       |
|     to meet all the  |              |   |   |                       |
|     requirements     |              |   |   |                       |
|     within a         |              |   |   |                       |
|     specified time   |              |   |   |                       |
|     limit, the       |              |   |   |                       |
|     certification    |              |   |   |                       |
|     body shall       |              |   |   |                       |
|     repeat only the  |              |   |   |                       |
|     necessary parts  |              |   |   |                       |
|     of the initial   |              |   |   |                       |
|     procedure.       |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| ## 12.0 Decis        |              |   |   |                       |
| ion on certification |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 12.1 The decision  |              |   |   |                       |
| > as to whether or   |              |   |   |                       |
| > not to certify a   |              |   |   |                       |
| > product shall be   |              |   |   |                       |
| > taken by the       |              |   |   |                       |
| > certification body |              |   |   |                       |
| > on the basis of    |              |   |   |                       |
| > the information    |              |   |   |                       |
| > gathered during    |              |   |   |                       |
| > the evaluation     |              |   |   |                       |
| > process and any    |              |   |   |                       |
| > other relevant     |              |   |   |                       |
| > information.       |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 12.2 The           |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall not delegate |              |   |   |                       |
| > authority for      |              |   |   |                       |
| > granting,          |              |   |   |                       |
| > maintaining,       |              |   |   |                       |
| > extending,         |              |   |   |                       |
| > suspending or      |              |   |   |                       |
| > withdrawing        |              |   |   |                       |
| > certification to   |              |   |   |                       |
| > an outside person  |              |   |   |                       |
| > or body.           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 12.3 The           |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall provide to   |              |   |   |                       |
| > each supplier      |              |   |   |                       |
| > offering certified |              |   |   |                       |
| > products, formal   |              |   |   |                       |
| > certification      |              |   |   |                       |
| > documents such as  |              |   |   |                       |
| > a letter or a      |              |   |   |                       |
| > certificate signed |              |   |   |                       |
| > by an officer who  |              |   |   |                       |
| > has been assigned  |              |   |   |                       |
| > such               |              |   |   |                       |
| > responsibility.    |              |   |   |                       |
| > These formal       |              |   |   |                       |
| > certification      |              |   |   |                       |
| > documents shall    |              |   |   |                       |
| > permit             |              |   |   |                       |
| > identification of  |              |   |   |                       |
| > the following      |              |   |   |                       |
| > information:       |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| a)  the name and     |              |   |   |                       |
|     address of the   |              |   |   |                       |
|     supplier whose   |              |   |   |                       |
|     products are the |              |   |   |                       |
|     subject of       |              |   |   |                       |
|     certification;   |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| b)  the scope of the |              |   |   |                       |
|     certification    |              |   |   |                       |
|     granted,         |              |   |   |                       |
|     including, as    |              |   |   |                       |
|     appropriate:     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 1)  the products     |              |   |   |                       |
|     certified, which |              |   |   |                       |
|     may be           |              |   |   |                       |
|     identified by    |              |   |   |                       |
|     type or range of |              |   |   |                       |
|     products,        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 2)  the product      |              |   |   |                       |
|     standards or     |              |   |   |                       |
|     other normative  |              |   |   |                       |
|     documents to     |              |   |   |                       |
|     which each       |              |   |   |                       |
|     product or       |              |   |   |                       |
|     product type is  |              |   |   |                       |
|     certified,       |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 3)  the applicable   |              |   |   |                       |
|     certification    |              |   |   |                       |
|     system;          |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| c)  the effective    |              |   |   |                       |
|     date of          |              |   |   |                       |
|     certification    |              |   |   |                       |
|     and the term of  |              |   |   |                       |
|     the              |              |   |   |                       |
|     certification if |              |   |   |                       |
|     applicable.      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 12.4 In response   |              |   |   |                       |
| > to an application  |              |   |   |                       |
| > for amendment to   |              |   |   |                       |
| > the scope of a     |              |   |   |                       |
| > certificate        |              |   |   |                       |
| > already granted,   |              |   |   |                       |
| > the certification  |              |   |   |                       |
| > body shall decide  |              |   |   |                       |
| > what, if any       |              |   |   |                       |
| > evaluation         |              |   |   |                       |
| > procedure is       |              |   |   |                       |
| > appropriate in     |              |   |   |                       |
| > order to determine |              |   |   |                       |
| > whether or not the |              |   |   |                       |
| > amendment should   |              |   |   |                       |
| > be made and shall  |              |   |   |                       |
| > act accordingly.   |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| #                    |              |   |   |                       |
| # 13.0 Surveillance  |              |   |   |                       |
|                      |              |   |   |                       |
| ##                   |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 13.1 The           |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall have         |              |   |   |                       |
| > documented         |              |   |   |                       |
| > procedures to      |              |   |   |                       |
| > enable             |              |   |   |                       |
| > surveillance to be |              |   |   |                       |
| > carried out in     |              |   |   |                       |
| > accordance with    |              |   |   |                       |
| > the criteria       |              |   |   |                       |
| > applicable to the  |              |   |   |                       |
| > relevant           |              |   |   |                       |
| > certification      |              |   |   |                       |
| > system.            |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 13.2 The           |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall require the  |              |   |   |                       |
| > supplier to inform |              |   |   |                       |
| > it about any of    |              |   |   |                       |
| > the changes cited  |              |   |   |                       |
| > in 4.6.2c), such   |              |   |   |                       |
| > as intended        |              |   |   |                       |
| > modification to    |              |   |   |                       |
| > the product,       |              |   |   |                       |
| > manufacturing      |              |   |   |                       |
| > process or, if     |              |   |   |                       |
| > relevant, its      |              |   |   |                       |
| > quality system,    |              |   |   |                       |
| > which affect the   |              |   |   |                       |
| > conformity of the  |              |   |   |                       |
| > product. The       |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall determine    |              |   |   |                       |
| > whether the        |              |   |   |                       |
| > announced changes  |              |   |   |                       |
| > require further    |              |   |   |                       |
| > investigations. If |              |   |   |                       |
| > such is the case,  |              |   |   |                       |
| > the supplier shall |              |   |   |                       |
| > not be allowed to  |              |   |   |                       |
| > release certified  |              |   |   |                       |
| > products resulting |              |   |   |                       |
| > from such changes  |              |   |   |                       |
| > until the          |              |   |   |                       |
| > certification body |              |   |   |                       |
| > has notified the   |              |   |   |                       |
| > supplier           |              |   |   |                       |
| > accordingly.       |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 3.  The              |              |   |   |                       |
|     certification    |              |   |   |                       |
|     body shall       |              |   |   |                       |
|     document its     |              |   |   |                       |
|     surveillance     |              |   |   |                       |
|     activities.      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| 13.4 Where the       |              |   |   |                       |
| certification body   |              |   |   |                       |
| authorizes the       |              |   |   |                       |
| continuing use of    |              |   |   |                       |
| its mark on products |              |   |   |                       |
| of a type which have |              |   |   |                       |
| been evaluated, the  |              |   |   |                       |
| certification body   |              |   |   |                       |
| shall periodically   |              |   |   |                       |
| evaluate the marked  |              |   |   |                       |
| products to confirm  |              |   |   |                       |
| that they continue   |              |   |   |                       |
| to conform to the    |              |   |   |                       |
| standards.           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| #                    |              |   |   |                       |
| # 14.0 Use of licens |              |   |   |                       |
| e, certificates and  |              |   |   |                       |
| marks of conformity  |              |   |   |                       |
|                      |              |   |   |                       |
| ##                   |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 14.1 The           |              |   |   |                       |
| > certification body |              |   |   |                       |
| > shall exercise     |              |   |   |                       |
| > proper control     |              |   |   |                       |
| > over ownership,    |              |   |   |                       |
| > use and display of |              |   |   |                       |
| > licenses,          |              |   |   |                       |
| > certificates and   |              |   |   |                       |
| > marks of           |              |   |   |                       |
| > conformity.        |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 14.2 Guidance on   |              |   |   |                       |
| > the use of         |              |   |   |                       |
| > certificates and   |              |   |   |                       |
| > marks permitted by |              |   |   |                       |
| > the certification  |              |   |   |                       |
| > body may be        |              |   |   |                       |
| > obtained from      |              |   |   |                       |
| > ISO/IEC Guide 23.  |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > 14.3 Incorrect     |              |   |   |                       |
| > references to the  |              |   |   |                       |
| > certification      |              |   |   |                       |
| > system or          |              |   |   |                       |
| > misleading use of  |              |   |   |                       |
| > licenses,          |              |   |   |                       |
| > certificates or    |              |   |   |                       |
| > marks, found in    |              |   |   |                       |
| > advertisements,    |              |   |   |                       |
| > catalogues, etc.,  |              |   |   |                       |
| > shall be dealt     |              |   |   |                       |
| > with by suitable   |              |   |   |                       |
| > action.            |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > *Note :*           |              |   |   |                       |
| >                    |              |   |   |                       |
| > 5\. Such actions   |              |   |   |                       |
| > are addressed in   |              |   |   |                       |
| > ISO/IEC Guide 27   |              |   |   |                       |
| > and can include    |              |   |   |                       |
| > corrective action, |              |   |   |                       |
| > withdrawal of      |              |   |   |                       |
| > certificate,       |              |   |   |                       |
| > publication of the |              |   |   |                       |
| > transgression and, |              |   |   |                       |
| > if necessary,      |              |   |   |                       |
| > other legal        |              |   |   |                       |
| > action.            |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| **15.0 Complaints to |              |   |   |                       |
| suppliers**          |              |   |   |                       |
|                      |              |   |   |                       |
| > The certification  |              |   |   |                       |
| > body shall require |              |   |   |                       |
| > the supplier of    |              |   |   |                       |
| > certified products |              |   |   |                       |
| > to:                |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| a\) keep a record of |              |   |   |                       |
| all complaints made  |              |   |   |                       |
| known to the         |              |   |   |                       |
| supplier relating to |              |   |   |                       |
| a product's          |              |   |   |                       |
| compliance with the  |              |   |   |                       |
| requirements of the  |              |   |   |                       |
| relevant standard    |              |   |   |                       |
| and to make these    |              |   |   |                       |
| records available to |              |   |   |                       |
| the certification    |              |   |   |                       |
| body when requested; |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > b\) take           |              |   |   |                       |
| > appropriate action |              |   |   |                       |
| > with to respect    |              |   |   |                       |
| > such complaints    |              |   |   |                       |
| > and any            |              |   |   |                       |
| > deficiencies found |              |   |   |                       |
| > in products or     |              |   |   |                       |
| > services that      |              |   |   |                       |
| > affect compliance  |              |   |   |                       |
| > with the           |              |   |   |                       |
| > requirements for   |              |   |   |                       |
| > certification;     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| > c\) document the   |              |   |   |                       |
| > actions taken.     |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| **ARC 1012           |              |   |   |                       |
| Procedure, Section   |              |   |   |                       |
| 12 - References to   |              |   |   |                       |
| Official             |              |   |   |                       |
| Certificates and     |              |   |   |                       |
| Accreditation**      |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| **12.1** A           |              |   |   |                       |
| certification body   |              |   |   |                       |
| with a valid         |              |   |   |                       |
| Certificate of       |              |   |   |                       |
| Conformance may make |              |   |   |                       |
| references to        |              |   |   |                       |
| accreditation by the |              |   |   |                       |
| ARC Branch in        |              |   |   |                       |
| communication media. |              |   |   |                       |
| (Does the            |              |   |   |                       |
| certification body   |              |   |   |                       |
| intend to make       |              |   |   |                       |
| references?)         |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| **12.2** References  |              |   |   |                       |
| must be complete and |              |   |   |                       |
| not misleading or    |              |   |   |                       |
| ambiguous.           |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| **12.3** References  |              |   |   |                       |
| must not imply that  |              |   |   |                       |
| a product, process,  |              |   |   |                       |
| system, or person is |              |   |   |                       |
| approved by the ARC  |              |   |   |                       |
| Branch.              |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| **12.4**             |              |   |   |                       |
| Certification bodies |              |   |   |                       |
| are responsible for  |              |   |   |                       |
| correcting erroneous |              |   |   |                       |
| references in a      |              |   |   |                       |
| sufficient manner    |              |   |   |                       |
| that is appropriate  |              |   |   |                       |
| to the situation.    |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+
| **12.5** If a        |              |   |   |                       |
| certification body   |              |   |   |                       |
| continuously makes   |              |   |   |                       |
| erroneous            |              |   |   |                       |
| references, the ARC  |              |   |   |                       |
| Branch may not allow |              |   |   |                       |
| the certification    |              |   |   |                       |
| body to make any     |              |   |   |                       |
| references until     |              |   |   |                       |
| such time that the   |              |   |   |                       |
| ARC Branch is        |              |   |   |                       |
| assured that         |              |   |   |                       |
| references will be   |              |   |   |                       |
| accurate.            |              |   |   |                       |
+----------------------+--------------+---+---+-----------------------+