Testing and Certification Regulationsof TÜV Rheinland Japan Ltd.

2) investigation of complaints.

1. Scope of Application(1) The Testing and Certification Regulations govern all testing andcertification services of TÜV Rheinland Japan Ltd. (“TRJ”), renders for
manufacturers or other parties for product testing, product certification,and related services for manufacturing sites and quality management
systems.

2. Contractual Basis(1) The ordering party, hereinafter referred to as “Client“, places an orderdirectly with TRJ, or with a subsidiary of TÜV Rheinland AG, hereinafterreferred to as “subsidiary“(2) When the order includes a certification (see Clause 3. Types ofCertificates), “General Agreement” must be concluded between TRJ andthe client.

3) the participation of observers, if applicable.;(d) To make claims regarding certification consistent with the scope of
certification. Not to make or permit any misleading statement
regarding its certification To amend all advertising matter when thescope of certification has been reduced. Not to allow reference to its
management system certification to be used in such a way as to
imply that TRJ certifies a product (including service) or process thatare outside the scope of certification. Not to imply that thecertification applies to activities and sites that are outside the scopeof certification;(e) Not to use its product certification in such a manner as to bring TRJ
into disrepute or losing public trust and not to use or permit the use ofa certification document or any part thereof in a misleading manner.
(f)(3) Tests are generally carried out in the laboratories of TRJ, in a subsidiaryor in laboratories bound by contract with TRJ.
(4) TRJ adheres to ISO/IEC 17065 ("Conformity assessment - Requirements
for bodies certifying products, processes and services") and ISO/IEC
17025 ("General requirements for the competence of testing andcalibration laboratories"). Also TRJ adheres as a “Third Party Certification
Body” based on the PMD Act, to ISO/IEC 17021-1 (“Conformity
assessment-Requirements for bodies providing audit and certification ofmanagement systems”).
(5) Only the Client as the license holder (licensee) has the right to use themark of conformity. The transfer of this right to any other party is not
permitted.

3. Types of Certificates(g) If providing copies of the certification documents to others, thedocuments shall be reproduced in their entirety or as specified in thecertification scheme.
(h) To comply with the requirements as specified in the certification
scheme when making reference to its product certification incommunication media such as Internet, documents, brochures oradvertising.
(i)

To comply with any requirements that may be prescribed in thecertification scheme relating to the use of marks of conformity, andon information related to the product.

(j)

To keep a record of all complaints made known to it relating tocompliance with certification requirements and make these records
available to TRJ when requested, and(1) On the basis of the favorable assessment and evaluation of test and audit
reports the certification body of TRJ issues the following certificates:

1) take appropriate action with respect to such complaints and any
deficiencies found in products that affect compliance with therequirements for certification.

(a) Product certificates according to the international IECEE Agreement(CB Scheme) in its capacity as a „National Certification Body“ (NCB).
(b) Certification of Specially Controlled Medical Devices etc. according to
the Pharmaceuticals and Medical Devices Act (PMD Act), Article 232-23 (Certification to Market Designated Specially Controlled Medical
Devices etc.) and “Kijyun-Tekigo” Certification according to thePharmaceuticals and Medical Devices Act (PMD Act), Article 23-2-24(Issuance of “Kijyun-Tekigo” Certification etc.), in its capacity as a“Third Party Certification Body”.
(c) Certificate of Conformity according to the DENAN law in its capacity
as a “Registered Conformity Assessment Body” (RCAB).
(d) Certificate of design for terminal equipment according to theTelecommunications Business law, Article 56, and Type approvals to
the technical regulations to the telecommunications Business law,
Article 53, as a “Registered Accreditation Body” ofTelecommunication Business Act.
(e) Certificate of technical regulations conformity for the special radio
equipment according to the Radio Act, Article 38-6-1, and Certificate
of production design for special radio equipment according to theRadio Act, Article 38-24-1, as a “Registered Certification Body” ofRadio Act.
(f)2) document the actions taken.
(k) To notify TRJ, without delay, of changes that may affect its ability toconform with the certification requirements. This includes changes in;- the legal, commercial, organizational status or ownership,- organization and management,- modifications to the product or the production method,- contact address and production sites,- major changes to the quality management system.
Any intended relocations of inspected manufacturing premises or theintended transfer of its firm to another firm or another firm owner shallbe notified promptly. If changes are made to the company name,address or legal form, a new General Agreement must be signed andcertificates shall be drawn up again at the Client's expense.
(l)

To pay fees for participation in the certification system and the issueof certificates. License fees, graded in units, shall also be paid
annually for maintaining and filing of the certificates and for the use of
test marks.

(m) For certificates based on the PMD Act, the scope of clause (e) and(h) apply also on certification of management systems.

Japanese S-Mark licenses.

(g) Telecom-Mark licenses.
(h) Photovoltaic Modules and PV Power Plant licenses.
(i)Upon suspension, withdrawal, or termination of certification, todiscontinue its use of all advertising matter that contains any
reference thereto and takes action as required by the certification
scheme (e.g. the return of certification documents) and takes anyother required measure.

Other Licenses and Certificates of Conformity to certify that a productis in conformity with specified requirements.

4. Rights and Obligations(1) The Client affirms the obligations:(a) That the certified products specified in the license is and will be incompliance with applicable requirements stated in the standards andthe general and specific rules specified in the license. To always fulfil
the certification requirements, including implementing appropriatechanges when they are communicated by TRJ.
(b) The certified product continues to fulfil the product requirements if thecertification applies to ongoing production.
(c) To make all necessary arrangements for:1) the conduct of the evaluation and surveillance (if required),including provision for examining documentation and records, and,without prior notification, access to the relevant equipment,
location(s), area(s), personnel, and Client's subcontractors.

Version 3.3 EN_2020-01-11(2) The Client has the right:(a) To publish the fact that he has been authorized to label the products
or quality management systems to which the license applies.
(b) To complain to or raise an objection with the management of TRJ, if
he is not satisfied with decisions of the certification body made during
the test, audit or certification procedure. TRJ will give the Client its
decision and justification. If these reasons are not acceptable to the
Client and no final decision can be reached with the management of
TRJ, the Client is free to call on the Governing Board, theaccreditation body or take legal actions.
(3) If the requirements applying to the products covered under thisagreement are modified, TRJ should inform the applicable licensees
among its Clients, stating at what date the modified requirements will
become effective and a transition time will end, and advising the Client of
any need for a supplementary examination of the products. Within a given
time after receipt of the advice, the Client shall inform TRJ whether he isprepared to accept the modifications and decide on option a) or b):(a) The Client confirms acceptance of the modified requirements. If theresult of any supplementary examination is favorable, the certificationbody will issue a supplementary license or make other modificationsof the certification body’s records.

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Testing and Certification Regulationsof TÜV Rheinland Japan Ltd.

(b) If the Client advises TRJ that he is not prepared to accept themodification or if the Client allows the term for acceptance to lapse,
or if the result of any supplementary examination is not favorable, thelicense covering the particular product shall cease to be valid on theend date of the transition time to the modified specifications, unlessotherwise decided by the certification body.
(4) TRJ or the subsidiary reserves the right to publish the corporate names ofClients who hold certification. A special consent of the Client to this is not
required.

state his views, unless such a hearing is impossible owing to urgency of
the actions to be taken.
(5) The holder of the certificate automatically forfeits the right to continue tolabel the products listed in the certificate with test marks of TRJ for
products which are affected by the restriction or suspension or whichhave expired by notice of termination on a particular date or have been
declared invalid at short notice.
(6) Amendments or cancellations which are to be taken into account in thecalculation of the license fees for the following calendar year must be
received by TRJ by 15 November of the current year.

5. Test Samples and Documentation
(1)
(2)

(3)

(4)
(5)
(6)

(7)

After placing the order, the client shall supply TRJ or the commissioned
subsidiary with the amount of test samples needed, free of charge.
The client shall cover any additional expenses incurred by submitting
incomplete test documentation, or by re-testing and delayed testing due
to delayed, incorrect or incomplete information or improper assistanceby the client.
TRJ or the subsidiary shall only be liable for damages to or the loss oftest samples that are the result of burglary, theft, water, fire or transport
if they act with gross negligence.
TRJ or the subsidiary shall not be liable for the damage or destruction oftest samples or outer packaging as a result of testing.
The costs of the handover and dispatch of the test samples for storage
on the client’s premises are borne by the client.
TRJ or the subsidiary will be liable for the loss of test samples orreference samples from the laboratories or warehouses of TRJ or thesubsidiary only in case of gross negligence.
The retention period for the documentation shall be 10 (ten) years after
the expiry of the test mark certificates or shall meet the applicable legal
requirements.

6. Surveillance(1) TRJ carries out continuing surveillance of the Client’s conformity with theaccepted requirements and obligations. While an annual inspection isassumed as a minimum, the actual inspection interval depends on thetype of certificate. At least one of the products covered by the certificationmust be presented during the factory inspection. If none of the products
covered by the certification can be presented, TRJ decides, whether adifferent or an additional surveillance method must be applied.

8. Payment(1) The Client shall pay to TRJ all expenses quoted in relation to thesurveillance, including sampling, test, assessment and administration costas outlined in the Guideline on Fees and Dues of TRJ.
(2) If a certificate is terminated or cancelled in the course of the year, no
proportional reimbursement of the license fees shall be made.

9. Confidentiality(1) TRJ ensures that confidentiality is maintained by its employees
concerning all confidential information with which they becomeacquainted as a result of their contacts with the Clients.
(2) The Client accepts that TRJ is entitled, by virtue of reporting obligations
imposed by law or by authorities, to pass on information about thecertification which has come to its knowledge. At the request of an
authority, such as an Accreditation Body, information, documentation etc.
concerning both the contract with the Client and the subject of thecontract may be passed on to the Accreditation Body. This includes, inparticular, information about the performance of audits, the granting andwithdrawal of licenses, attestations, certificates, etc. and incidents which
occur and risks indirectly or directly connected with the tested products
and/or management systems. TRJ reserves the right to debit to the
Client’s account the cost incurred for identifying and clarifying such
incidents.

10. Liability(2) This surveillance is carried out by TRJ employees or by employees of thesubsidiary.

(1) The liability of TRJ for all damage in connection with a contract for
personal injury and damage to property, unless the damage was caused
by premeditation, intent or gross negligence shall be limited to:(3) If nonconformities come to the knowledge of TRJ, this may lead to
reduction of the inspection intervals, to suspension or to withdrawal of thelicense.

(a) in the case of contract with a fixed overall fee, ten times the overall
fee for the entire contract;

7. Expiration, Suspension or Withdrawal(b) in the case of framework agreements that provide for the possibilityof placing individual orders, to an amount equal to three times the fee
for the individual order under which the damage occurred. The
maximum liability of TRJ is limited in any event of damage or loss to
2.5 Mio Euro (or the equivalent in Japanese Yen).

(1) Certificates and Licenses which carry an expiration date shall
automatically become invalid if not duly extended before.
(2) Suspension may apply for a limited time in the following cases:(a) If surveillance shows nonconformity with the requirements of suchnature that immediate withdrawal is not necessary.
(b) If a case of improper use of the certificate or the mark (e.g.
misleading publications or advertisement) is not solved byappropriate corrective actions by the Client in due time.
(c) After the Client obtained agreement from TRJ for a limited period of
non-production or for other reasons.

This limitation on liability shall not apply to the absence of guaranteed
qualities.
(2) The limitation on the liability of TRJ shall be similarly applicable to its
employees, agents, managerial staff, and constituent bodies.
(3) The limitation period for compensation claims shall be in accordance withthe statutory provisions.
(4) TRJ is not liable for any damage the Client may suffer as a result of the
non-granting, suspension or withdrawal of a certificate.

(d) If there has been contravention of the requirements of thecertification scheme or actions bringing the certification scheme or
the certification body into disrepute.
(3) A certificate or license shall be withdrawn in the following cases:(a) If the surveillance shows serious nonconformity (e.g. the certified
product is hazardous).
(b) In case of suspension, if the actions taken by the Client are
inadequate.
(c) If it has been confirmed that Pharmaceuticals and Medical Devices
Act (PMD Act), Article 23-4 “Cancellation etc. of Certification” isapplicable for the Specially Controlled medical device etc. certified
under the PMD Act, Article 23-2-23 (Certification to Market
Designated Specially Controlled Medical Devices etc.).

TÜV Rheinland Japan Ltd.
3-19-5 Shin-Yokohama
Yokohama-shi, Kanagawa 222-0033
Tel. +81 45 470-1860
info@jpn.tuv.com(d) If the Client fails to settle financial obligations in due time.
(e) If there is any other contravention of the licensing agreement.
(4) Advice of suspension or withdrawal shall be sent by TRJ by registeredletter (or equivalent means) to the Client, stating the reason and date of
the termination of the license. Before declaring a certificate, suspended,
withdrawn, restricted or invalid, TRJ gives the Client the opportunity to

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