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Operational Documents CB-FCS 112

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Operational Documents CB-FCS 112

     IECEE-CB-FCS OPERATIONAL DOCUMENT CB-FCS 112

     IECEE CB FULL CERTIFICATION SCHEME AGREEMENT

     BETWEEN

     AND

     _______________________________________

     PREAMBLE

     [Fill in company name] (“Body A”) of Fill in country]

    and [Fill in company name] (“Body B”) of [Fill in country]

    each are national certification bodies which participate in the Scheme of the IECEE for

    Mutual Recognition of Conformity Assessment Certificate for Electrical Equipment

    (“CB-FCS Scheme”) in accordance with IECEE 03 - Rules and Procedures of the Scheme. Body A and Body B are hereinafter sometimes together referred to as the “parties” or

    separately referred to as a “party”. The parties recognize the need to effectively

    respond to requests for certification of products using the CB-FCS Scheme and to

    minimize the costs and burdens on local clients requesting such certification of

    products intended for international distribution. This IECEE CB Full Certification Scheme

    Agreement (“Agreement”) delineates the arrangements between Body A and Body B

    to facilitate the process of product certification at the national level through use of the

    CB-FCS Scheme.

    Issue 1998-12

     CB-FCS 112 2 (14)

1.0 PURPOSE

    1.1 This Agreement is to provide a mechanism whereby Body A and Body B will cooperate to respond efficiently to requests for product-safety certification of electrical equipment and to minimize costs and burdens on local clients in the investigation and certification of products intended for international distribution and certification at the national level using the Rules and Procedures of the CB-FCS Scheme and the applicable international standards accepted for use in the Scheme and declared national differences, if any, used by Body A and Body B in carrying out their respective product-safety testing and certification programs.

2.0 SCOPE AND GENERAL OPERATIONAL UNDERSTANDING

    2.1 The parties agree to comply with the Rules and Procedures of the CB-FCS Scheme detailed in IECEE O3.

    2.2 All provisions of IECEE O3 are applicable to this Agreement. IECEE 03 permits certification procedures of the parties to differ from IECEE 03 based on declared national differences. For example, refer to IECEE Annex A (informative) “CB-FCS

    operating schematic explanation.” Where there are such differences, IECEE 03 is supplemented by this Agreement, in which case, the terms of this Agreement shall prevail.

    2.3 The definitions of terms in IECEE O3 are incorporated by reference in this Agreement, except when supplemented in this Agreement, in which case, the terms of this Agreement shall prevail.

2.4 The parties agree to comply with the terms of this Agreement.

    Issue 1998-12

     CB-FCS 112 3 (14)

    2.5 Body A and Body B each intend to continue to independently offer their respective services to Applicants (i.e., clients and customers) (“Applicant”) to conduct

    product-safety evaluations of products and to certify products in accordance with applicable international standards accepted for use in the CB-FCS Scheme and declared national differences, if any.

    2.6 An Applicant seeking testing and certification of a product may obtain such services from either Body A or Body B or both. An Applicant who receives a Conformity Assessment Certificate (“CAC”) and Conformity Assessment Report (“CAR”) from Body A may apply to Body B for certification at the national level on the basis of the CAC and CAR (which includes the product evaluation and test results), if they are valid.

2.7 This Agreement is based on the principle of recognition (i.e., acceptance) by

    Body B of the CAC and CAR issued by Body A in accordance with the Rules and Procedures of the Scheme. Notwithstanding this principle, Body B at its sole discretion may review the CAR of Body A, particularly the product evaluation and test results to determine whether to grant its own certification at the national level.

    2.8 The operational requirements for implementation of this Agreement are set forth in IECEE O3 and may also be set forth in separate operational documents developed and fully executed between the parties.

3.0 TRAINING AND QUALIFICATIONS

    3.1 Test engineers, auditors, reviewers and laboratory technicians of Body A must meet the established criteria in accordance with currently accepted practices and Issue 1998-12

     CB-FCS 112 4 (14)

    guidelines as followed by other qualified parties using principles according to the IECEE CB Scheme.

    3.2 Body A warrants that it shall use established, sound, and professional principles and practices in accordance with the highest professional and industry standards in the performance of the services it performs hereunder and that performance of its personnel shall reflect their best professional knowledge, skill, and judgment.

    3.3 Body A shall be responsible for the professional quality, technical accuracy, completeness, and coordination of all certificates, reports, designs, drawings, plans, information, specifications, photographs and other items and services provided to Body B under this Agreement.

4.0 RECORD RETENTION

    4.1 Body A shall maintain all its original product evaluation and test data sheets, memoranda, and reports pertaining to products covered by this Agreement for at least ____ years [Fill in the number. The number of years which each party is required to

    maintain these records should be negotiated between the parties, with the understanding that the needs of the party with the longest record retention policy will be met.] after the certification of the subject product has been discontinued and shall

    make such records available to each other's representatives upon request.

5.0 CERTIFICATION MARKS

    5.1 Each party remains and will be responsible for authorization, use and control of its certification marks.

    Issue 1998-12

     CB-FCS 112 5 (14)

    5.2 Each party agrees to promptly notify the other if it is learned that an Applicant's or manufacturer's use or display of the other's certification mark(s) is improper. Furthermore, each party agrees to promptly notify the other if it is learned that the other’s CAC or CAR has been counterfeited, copied or used in an otherwise unauthorized manner.

6.0 FINANCIAL CONSIDERATIONS

    6.1 Each party will independently determine and administer respective programs of financial charges associated with its conformity assessment programs and services.

7.0 APPLICATION PROCEDURES

    7.1 Separate applications/contracts will be required for any services provided by each party to clients. The parties may furnish the other’s form applications/contracts to clients as a convenience; however, the contractual arrangements shall remain the individual responsibility of each party.

8.0 FOLLOW-UP INSPECTIONS, FACTORY INSPECTIONS AND AUDITS

    8.1 This IECEE CB-FCS Agreement does not include within its scope follow-up inspections, factory inspections and product audit testing at manufacturer facilities. Since those activities are the sole responsibility of Body B according to its usual procedures, a separately executed IECEE CB Full Certification Scheme Factory Inspection and Product Audit Testing Agreement is available to enable Body B to subcontract separately with Body A to perform follow-up inspections, factory Issue 1998-12

     CB-FCS 112 6 (14)

    inspections and product audit testings for Body B. Such a separately executed agreement is necessary whether or not Body B's certification requires factory inspection or product audit testing procedures the same as, or different from, those required by IECEE 03.

9.0 REVIEWS AND VERIFICATIONS

    9.1 If an Applicant receives a CAC and CAR from Body A and the Applicant applies to Body B for certification at the national level, Body B will verify the validity of the CAC and CAR and conduct a thorough review of the product evaluation and test results developed by Body A to determine whether to grant its own certification. In special situations, such review and verification of Body A's CAC and CAR may be determined necessary and include reasonable audit and investigation of the involved product evaluation report and the actual test data developed by Body A. When deemed appropriate and necessary by Body B, an audit visit will occur where a Body A or Body B engineer will review the work done by Body A to investigate and verify compliance of the product with Body B's requirements. Both parties will operate a system of supervision and control to confirm that a product initially and during continuing production is in compliance with the requirements of the relevant International Standard and declared national differences, if any. Issuance of certification and authorization to use a party's Mark remains in the sole discretion of each party.

10.0 NON-ASSIGNABILITY / NO LICENSE GRANTED

    10.1 Neither party may assign or transfer, in whole or in part, any of its rights, obligations, or interests under this Agreement without the express written consent of the other party hereto. Furthermore, no licenses, express or implied, under any trademarks, Issue 1998-12

     CB-FCS 112 7 (14)

service marks, certification marks, or copyrights are granted hereby by either party to

    the other or to any Applicant or other party.

11.0 MANUFACTURER’S TEST DATA AND SUBCONTRACTING TO THIRD PARTIES

11.1 Irrespective of Article 10.1 hereof, the parties agree supervised manufacturer's

    testing is permitted under this Agreement in accordance with IECEE O3.

11.2 [The applicable provision should be inserted]

[Alternate A (No Subcontracting): Subcontracting to third parties is not permitted under

    this Agreement]

[Alternate B (Subcontracting Allowed): Body A is permitted to subcontract its

    obligations under this Agreement to third parties, provided that, (1) to the extent third

    party subcontractors are used, Body A is liable for all work and acts performed and any

    omissions made by such subcontractors in accordance with this Agreement, and (2)

    Body A ensures that all provisions of this Agreement and the CB-FCS Scheme are

    followed.]

12.0 INDEMNIFICATION

    12.1 Body A shall indemnify and hold harmless Body B, its successors and assigns,

    members, trustees, directors, officers, agents, and employees against and in respect of

    damages, claims, losses, liabilities, expenses, fines, penalties, or suits of whatever nature,

    from third parties which may, solely by an act, omission or designation of a standard by

    or of Body A arise as a causal consequence out of: (i) any breach or violation of this

    Agreement by Body A; (ii) any negligent, fraudulent, defective, or delayed

    Issue 1998-12

     CB-FCS 112 8 (14)

    performance of Body A's obligations under this Agreement; (iii) any negligent or willful misrepresentation in a certificate or document delivered in conjunction with this Agreement by Body A which is not caused by Body B; and (iv) the inadequacy of any standard designated by Body A. Said indemnification shall also include legal fees and defense expenses incurred by the indemnitee unless otherwise specified herein. Said indemnification shall specifically exclude any indemnification for Body B provided by Body A if the standards designated by Body B are determined to be inadequate. No provision or term in this Agreement shall be construed to limit Body A's ability to challenge its obligation to indemnify Body B on the basis of the inadequacy of the standards designated by Body B.

    12.2 Upon obtaining knowledge of facts which, in Body B's sole discretion, are determined to be sufficient to justify a claim for indemnification under this Agreement, Body B shall promptly notify Body A in writing of any damage, claim, loss, liability, or expense which Body B has determined has given or could give rise to a claim under 12.1 above (such written notice being a "Notice of Claim"). A Notice of Claim shall specify, in reasonable detail, the nature of any such claims giving rise to a claim for indemnification and describing all actions taken by Body B in response to such claim.

    12.3 With respect to any claim or demand set forth in a Notice of Claim, Body A may defend, in good faith and at its expense, any such claim or demand, and Body B, at its expense, shall have the right to participate in the defense of any such claim. So long as Body A is defending in good faith any such claim, Body B shall not settle or compromise such claim without consent of Body A. Body B shall make available to Body A or its representatives all records and other materials reasonably required to contest any claim, and shall cooperate fully with Body A in the defense of all such claims. If Body A does not elect to defend any such claim, Body B shall have no obligation to do so. Issue 1998-12

     CB-FCS 112 9 (14)

    Body B's obligation under 12.1 above shall not be affected in any way by its election to defend or not defend any such claim.

    12.4 Notwithstanding 12.2 and 12.3 above, the parties acknowledge that use of internal legal staff may be most cost-effective and able to provide the best defense. Therefore, Body B shall have the right to utilize, at its option, its own internal legal staff, if any, to defend itself and to retain local counsel, if and when appropriate. Body A shall have no responsibility to pay for any portion of a staff attorney's salary, local counsel's time (to the extent that the indemnitor is uninsured for the costs because of the indemnitee's election to use internal staff), or time spent in defending said damages and claim; all other defense expenses shall be reimbursed.

13.0 INSURANCE

    13.1 Without limiting in any way either party's indemnification obligations hereunder, Body A shall maintain professional liability errors and omissions insurance with a minimum limit of ____________ annual aggregate, _____________ per person and ______________ per occurrence. [Fill in the CHF. amounts. The CHF. amounts which Body

    A is required to maintain should be negotiated between the parties, with the understanding that the needs of the party with the largest insurance requirements will be met.]

    13.2 Body A must notify Body B, in writing, no later than 10 days before such insurance policy is canceled or subject to significant modification, and must provide to Body B a copy of the current Certificate of Insurance upon demand by Body B.

14.0 ADVERTISING AND PROMOTION

    Issue 1998-12

     CB-FCS 112 10 (14)

14.1 The parties may refer to or use the other's name or Mark in any advertising or

    promotions orally or in written materials only with the other party’s prior written consent.

15.0 AGENCY NOT CREATED

    15.1 Neither party is authorized by this Agreement to incur obligations on behalf of

    the other party or to bind the other party in any respect.

16.0 INDEPENDENT LABORATORY

16.1 Body A and Body B are independent national certification bodies (“NCBs”) fully

    in compliance with IECEE 02 and IECEE 03 as well as the applicable ISO/IEC Guides

    used to assess NCBs and CB Testing Laboratories. The NCBs, including incorporated or

    subcontracted testing laboratories, are not affiliated with nor influenced or controlled

    by producers, suppliers or vendors of products in any manner which might affect their

    capacity to render reports of findings objectively and without bias. Specifically, they

    comply with all of the following:

    (A) No managerial affiliation with producers, suppliers or vendors.

    (B) Results of their work accrue no financial benefits via stock ownership or the

    like to any producers, suppliers or vendors of the product involved.

    (C) Sufficient breadth of interest or activity that the loss or award of a specific

    contract to determine compliance of a producer's, supplier's or vendor's product

    with the applicable international standard would not be a determinative factor

    in its financial well-being.

    Issue 1998-12

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