CTUV

INTRODUCTION

01
This document provides general certification aspects to client seeking certification and the public domain. The client seeking certification is assumed to read, understand and agree with all terms in this document.

CERTIFICATION PROCESS

As part of the original discussions of CTUV with clients seeking certification, it provides information about the certification process. During these discussions, issues concerning the type of products to be certified are clarified

2.1
Application

Clients wishing to obtain certification of their products shall apply by completing a special application form.

The application contains all the relevant information (e.g. contact information of the client, product type, model no., relevant standards client is seeking certification for, etc.).

The client may also submit any other documentation it deems necessary or helpful

2.2
Application review

CTUV examines the information contained in the application and submitted documentation and, if necessary, seeks from the client additional information or clarifications.

CTUV will refuse the application if it lacks any competence or capability for the certification activities it is required to undertake. The client will be notified with detailed reasons.

Upon acceptance of the application, the client shall:

● Pay certification fees.
● Sign the certification agreement.

2.3
Evaluation

CTUV performs evaluation activities related to the applicable certification scheme:

For Type 1a:

Conformity granted to the type that can demonstrate compliance with the relevant standards and schemes.

● Detailed documents review for all the documents.
● Document review includes the check up for test reports parameters and results, done by 3rd party laboratory according to the specific technical regulations and applicable standards.
● Examine the technical documentation and supporting evidence to assess the adequacy of the technical design of the product.
● Verify that the product is manufactured in conformity with the technical documentation.
● Evaluation the eligibility of the product for certification to assure compliance according to applicable scheme and standards.

For Type 3 & Type 5

Conformity granted to the products that can demonstrate compliance with the relevant standards or schemes and are manufactured by an organization implementing an effective management system (through conducting audit visit) to ensure continuous compliance.

● Detailed documents review for all the documents.
● Initial audit visit to the facility within which the product is being manufactured to assure the management system adopted ensure manufacturing the products in accordance with the applicable regulation requirements.
● Evaluation the eligibility of the product for certification to assure compliance according to applicable scheme and standards. Initial audit visit
● The purpose of this on-site assessment is to ensure that the adopted management system by the client is effective and achieve its intended objective which is the production process manufacture products comply with the applicable scheme and regulation requirements.
● CTUV will notify the client with an audit plan. This plan shall include the composition of the audit team.
● When informed about the composition of the audit team, the client has the right to refuse in writing with reasons (e.g. its competitiveness is affected, or the safeguarding of the client's know-how, due to relationship of the auditor(s) with competitors, is at risk). In such cases, CTUV will redefine the audit team.

2.4
Evaluation review and certification decision

Upon evaluation and evaluation review result, there are two possibilities:

Product or management system evaluation shows full compliance with the applicable scheme and standards.

● Certification decision will be made.
● Granting the certificate of conformity.
● The certificate of conformity and license will be registered in the directory.

Product or management system evaluation shows full compliance with the applicable scheme and standards.

● Rejection decision will be made.
● CTUV informs the client by an official rejection letter detailing the reasons.

2.5
Surveillance

This stage concerns type 3 and type 5 application schemes.

CTUV conducts, at least, annual surveillance for the certified client to ensure the continuous effective implementation of the approved management system.

Annual surveillance audits shall be announced at least 2 months prior to the audit date and audit plan is mutually confirmed.

If there are no samples of the certified products, neither in production nor in stock, CTUV reserves the right to carry out additional inspections. The repeated lack of samples may lead to the suspension or revocation of the respective certificates.

At the end of the audit, CTUV communicates the result to the client; if the result is favorable, the validity of the certificate is conformed.

If any non-conformity is found, CTUV after adequate assessment takes the measures considered most suitable depending on the type and importance of the non-conformities. These include, for example:

● Additional visit is requested (supplementary audit).
● Increasing the number of samples inspected.
● Suspension or withdrawal of the surveillance certificate.

CERTIFICATION PROCESS

Supplementary surveillance audits with intervals of less than 12 months can be required by CTUV if:

● It is required to verify the implementation of a corrective action.
● There is complaint, evidence, or indications that the product conformity is in doubt

The supplementary visits may be non-announced. If the client refuses these additional verifications CTUV will suspend the certificate of conformity immediately.

RENEWAL

01
Renewal schedule should be started two months prior to the expiration of client’s certificate of conformity. This helps to ensure that there is no lapse between the expiration of client’s old Certificate of conformity and the issuance of the new Certificate of conformity. It is a full re-audit.

INVOICING TERMS

01
An affordable fee is charged to clients, to get information about the fees contact CTUV sales engineers.
02
All quotations are based on the information in our possession at the time of preparing the preliminary certification quotation. And the client should pay any additional charges which may be requested in future for any work not apparent at the time of quotation, for example:

● Supplementary audit.
● Retest work: needed because of failure to meet test requirements.
● The fee of investigation in the matter of problems resolution.

CHANGES DONE BY THE CLIENT AFFECTING CERTIFICATIONS

01
In the case changes affecting certification occur from the client side, the client is obliged to immediately inform CTUV on any of the below mentioned changes:

● Any intended modification in the product, its design, and its packaging materials. In addition, the manufacturing process or the quality management system, if applicable.
● Change or modification in key personnel appointment or position.
● Any change concerning specification of the certified product, whether it is a change in the composition (removing/adding new materials), changes of manufacturing site, changes in label (content, color or packaging materials) and any other change that is could to affect certification.
● In case of the client is different from the manufacturer, the contractual arrangement between them have been terminated or amended. In all way, it is advisable for the client to inform CTUV for any changes to identify whether they affect certification.

CTUV, in a short period, will determine whether the announced changes require another initial testing and assessment or other further investigations. In such cases, the client is not permitted to release products resulting from such changes until CTUV has notified the client accordingly.

CHANGES IN THE SCHEME AND STANDARDS

01
In case there is an amendment or change in standards or scheme upon which the product is certified, CTUV will take the decision what to do.
02
Any changes or revisions will be communicated in writing to the client, determining the time limits for the adaptation to the new requirements. In case of disagreement with the above-mentioned changes, the client can discontinue the use of the certificate of conformity.

EXTENTION OF THE CERTIFICATION SCOPE

01
The scope can be extended to more models provided that the following conditions are met:

● Same manufacturing location.
● Same HS code.
● Same brand.
● Under the same scheme.
● Under the same scheme.
● Evidence of model compliance (e.g. test report).

02
Additional models of the certified product may be authorized for certification without testing if the client provides scientific evidence to the satisfaction of CTUV that the testing and evaluation of the certified model verifies that the additional models will comply with all the requirements of the certification scheme.
03
The extension is granted, after the client submits a new application, accompanied by the test report, in accordance with applicable safety test parameter.

FINANCIAL STATEMENTS

01
CTUV intends to cover the cost of its certification activities with equity capital from the owners and income that the company receives from clients. These funds and income will be sufficient to cover all the activities specified in the Quality Manual.
02
The finances of CTUV operate according to the operating agreement between company members. All financial liabilities and assets, cash equivalents, debt securities, organized by the art of association.
03
An annual budget allocated to cover all the financial liabilities. This budget is reviewed in the annual meeting of the top management.
04
CTUV is a joint venture company that benefits from liability insurance coverage. CTUV possesses a gross amount as reserved capital deposit that secures its operations and assists its financial stability.

COMPLAINTS AND APPEALS

01
CTUV has a documented procedure for complaints and appeals (available upon request) which provides requirements for the recording and tracking of complaints and the actions to resolve them
02
Complaints raise doubt concerning CTUV’s compliance with its policies, procedures, and the requirements of CTUV quality system. CTUV is dedicated to the satisfactory resolution of complaints.
03
Upon receipt of a complaint or appeal, CTUV shall confirm whether it is responsible for its administration. CTUV acknowledges receipt of formal complaints and appeals
04
Decisions regarding complaint/appeal are made and approved by authorized personnel from CTUV provided that they are not involved in the certification activities related to the complaint or appeal
05
CTUV provides complainants/appellant with a formal notice detailing the resolution of the complaint/appeal. The confidentiality policy is followed regarding notification of the resolution of complaints.
06
CTUV takes action in accordance with the decision of the complaint or appeal.

CERTIFICATION OBLIGATION

01
Always meet the certification requirements (including product requirement like standards and normative documents) and to always implement the modifications as requested by CTUV.
02
Provide all documents and records which are requested prior, during and after certification
03
Use the certificate of conformity in accordance with "Instructions governing the use of certificate of conformity" listed below:

● The client can use the granted certificate in his brochure or other documentation materials.
● The client may photocopy or scan the certificate for publicity purposes. Photocopies or electronic copies may be in full color and don't to be watermarked or otherwise marked as being a copy of the original.
● The certificate of conformity shall not be copied in a way that would hinder its legibility.
● The client shall ensure that publications and advertisements do not cause confusion to the user between certified and non-certified products.
● To ensure the correct application of the above, the client is advisable to bring to the attention of the CTUV any written or audio-visual material designed for wide publicity, and which makes reference, directly or indirectly, to the granted certificate or to the certified products. Otherwise, as well as for every misuse, CTUV will take the relevant measures.
● The granted certificate concerns strictly only the client to which it was awarded and is not transferable.
● Comply with any requirements that may be prescribed by CTUV that relate to the use of certificate of conformity. Furthermore, client cannot make claims regarding certification which is not consistent with the scope of certification.
● Restrict the use of certificates to the products manufactured in the declared location.
● If any modification (reduction or alteration) in scope of certification, client always commits to use the last updated and approved scope of certification in all his related activities. Client agrees not to promote any of the reduced scope of certification and to make needed amendments in all official announcements and advertising materials used by him to match the latest scope of certification.
● The certificates and all copies thereof always remain the property of CTUV and shall immediately be delivered to CTUV upon request.

04
Not to use its product certification in such a manner as to bring the CTUV into disrepute and does not make any statement regarding its product certification which CTUV may consider misleading or unauthorized. Additionally, if certification suspended, withdrawn, reduced, or terminated, the client discontinues the use of any reference thereto on all his advertising matters, and takes action as required by CTUV:

● Stop within one week any use or advertising of the certificate of the present contract,
● Return to CTUV within the same period the original of the certificate and In making referring to its product certification in communication media such as documents, brochures or advertising, client complies with the requirements of CTUV.

05
Bear responsibility to all complaints raised against him either directly to client or indirectly either to CTUV knowledge or the scheme owner and bear all costs resulting of this complain. The client shall keep a record of all known complaints relating to the compliance with certification requirements and to make these records available to CTUV when requested with the appropriate action taken to handle such complaints. In addition, if any complain received by client of CTUV or any other interested party where it is necessary to visit the client premises then the client shall make all necessary arrangement and demonstrate the actions taken on such complaints.
06
Bear cost of all financial requirements (foreseen and unforeseen) related with the certification process including the different evaluation that might take place including surveillance audits, supplementary audits and product testing as instructed.
07
Agrees and commits to immediately inform CTUV of any modification or change likely to affect the ability to meet the certification requirements including, but are not limited to:

● Change or rotation in key personnel appointment or position, such change will affect the certification due to the interference of those personnel (e.g. key management position, technical staff and decision makers)
● Change of contact person or updating his contact information
● Change in juridical, commercial, organizational or ownership status.
● Any change concerning specification of the certified product whether it is: Change in the composition (removing or adding new raw materials), its design, its packaging or label, Modification of its production process or its management system and Changes of manufacturing site.

In all ways, it is advisable to inform CTUV for any changes

08
Comply with the usage policy of certificate of conformity and scheme owner

SUSPENSION OF CERTIFICATE

A certificate’s validity is subject to ongoing requirements for surveillance audits, recertification audits, and other conditions specified in the client’s contract with CTUV. The process may begin when any of the following occur:

01
The client’s certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system.
02
Surveillance or recertification audits are not conducted at the required frequencies. (It occurs when a client fails to arrange for the on-site audit visit for one month after receiving the nominated date of the visit.)
03
Corrective Actions are not closed within the specified timeframe.
04
Failure to meet new requirements when the certification scheme rules are changed.
05
Non-conforming products verified by a Notified Body.
06
Altering or defacing the issued conformity certificate.
07
Damaging CTUV's reputation
08
Violations of CTUV contractual requirements (includes unpaid invoices).
09
As a result of investigation conducted on a complaint against a certified client.

Note: If the client doesn't provide the necessary corrective actions within 60 days, CTUV will send a notification informing that the certification may be suspended. If there are additional delays and the 90-day limit is exceeded, the Operation Manager or the designated person in charge of the certification will make decision on the suspension.

SUSPENSION AND REDUCTION OF SCOPE

Based on any of the above-identified conditions, any personnel may recommend the suspension of a client’s certification or, except for items b), d) and i) above, the reduction of the scope of certification of the client. The recommendation and justification shall be submitted to the Operation Manager for approval. The approved decision shall include the conditions for lifting the suspension or reinstating the complete scope of certification. In the case of f), g), h) and i), the suspension decision can also be made by the General Manager or the Operation Manager. Suspension is not to exceed 180 days unless approved by the Operation Manager and/or when required, by the Accreditation Body. CTUV will update the status of the client certification in its directory of certified clients and take any other measures it deems appropriate.

NOTIFICATION TO CERTIFIED CLIENTS

Once the approval of the decision of suspension or reduction of scope is completed, the affected client will be notified in writing of the suspension of its certification. The letter typically indicates:

01
Reason for suspension or reduction of scope.
02
Actions needed to end suspension and restore certification for the product(s) in accordance with the certification scheme.
03
Maximum duration of suspension or reduction of scope. Conditions for the suspension or reduction of scope to be lifted (i.e. timeline submission of corrective actions, special surveillance visit, etc.), in accordance with the certification scheme, when applicable.
04
Failure to resolve the issues that have resulted in suspension or reduction of scope in the specified timeframe shall result in withdrawal or permanent reduction of the scope of certification.
05
CTUV will notify other parties as applicable and communicate with client if other parties need to be included.
06
The client is to be notified that the suspension decision may be appealed.

If a decision to reduce the scope of certification is made, the coordinator shall make all necessary modifications to formal certification documents, public information, authorizations for use of marks, etc., in order to ensure the reduced scope of certification is clearly communicated to the client and clearly specified in certification documentation and public information.

Subsequent actions relating to closure of corrective actions. If the conditions included a timely response to corrective action closure, follow-up verification shall be performed as per the disposition of the conditions for lifting the suspension or reinstatement of the complete scope of certification. If satisfactory, the results are to be forwarded to Operation Manager for re-instatement of the certification. Certificate authority personnel, depending on the level of the correction actions will determine if a special visit is required or not. If the results are unsatisfactory, or if the client fails to respond adequately to CTUV’s request, the Operation Manager shall initiate the withdrawal of the certification per section 4.5 of the present document.

RE-INSTATEMENT FOR SUSPENSION OF CERTIFICATE

If the client cleared the reasons of certificate suspension within the time limits shown above, the coordinator requests re-instatement of certificates using QP-06-02.
The Operation Manager reviews and takes the final decision. The coordinator informs the client by formal letter detaining the deadline.
The Operation Manager amends the application directory and amends any other data.
The coordinator shall make all necessary modifications to formal certification documents, public information, authorizations for use of marks, etc., to ensure all appropriate indications exist that the product continues to be certified.

Withdrawal of certificate

A certificate’s validity is subject to ongoing requirements for surveillance and recertification audits, and other conditions specified in the client’s contract with CTUV. The withdrawal process may begin upon verification when any of the following examples occur:

01
Deficiency in certified client’s management system is identified.
02
Corrective Actions are not closed within specified timeframe.
03
Incorrect/inappropriate use of certificate(s) and/or certification mark(s).
04
Violations of CTUV contractual requirements (including unpaid invoice).
05
The client ceases to exist as a legal entity in its form as certified.
06
When a client refuses or fails to schedule required maintenance surveillance audits, special surveillance, or re-certification.
07
In the case of corporate certification, decertification is caused by one or more of the sites no longer fulfilling the necessary criteria for maintaining the certification.
08
Recommendation as a result of the escalation of a suspension decision.

Withdrawal decisions are to be approved by the Operation Manager.

The coordinator describes the reasons leading for withdrawal using QP-06-01. The Operation Manager reviews and take the final decision. The coordinator informs the client by formal letter detaining the deadline with reasons stated in above.

NOTIFICATION TO CLIENTS

Based on any of the above identified conditions, Operation Manager or any management personnel may recommend the withdrawal of a client’s certification. The process is initiated with a formal letter to the client indicating the reason and the effective date of the withdrawal of the certification. Additionally, the following information is included:

01
The client is advised to discontinue the use of its certificate and all advertising material that contains any reference to its certified status or shows CTUV and or the Accreditation Body(ies) mark(s).
02
If it is a requirement of the applicable audit criteria, the client is required to send written notification to its customers who require certification, advising them that they are no longer certified.
03
The client is to be notified that the withdrawal decision may be appealed.
04
CTUV will notify other parties as applicable and communicate with client if other parties need to be included.

Termination

Termination of certification typically occurs when the client voluntarily requests it.

The coordinator describes the reasons leading for termination using QP-06-03. The Operation Manager review and take the final decision.

The operation manager updates the data in the certification directory.

NOTIFICATION TO CLIENTS

01
The client is advised to discontinue the use of its certificate and all advertising material that contains any reference to its certified status or shows CTUV and or the Accreditation Body(ies) mark(s).
02
CTUV will notify other parties as applicable and communicate with clients if other parties need to be included.