Certification Process for Product Certification (ISO/IEC 17065:2012)

1.0 Objective

The objective of this procedure is to define the controlled process for product certification under Scheme Type 1a and Type 3 to ensure consistent, impartial, and technically valid certification decisions within AQMA CERT's accredited scope.

2.0 Scope

This procedure applies to product certification activities conducted by AQMA CERT under Certification Scheme Type 1a and Type 3, as defined in the applicable certification scheme documents. It covers the complete certification workflow, including application receipt, evaluation, review, certification decision, certification issuance, surveillance activities (Type 3 only), and management of changes affecting certification status.

This procedure is applicable only to activities performed within AQMA CERT's approved accreditation scope.

3.0 Responsibilities

3.1 Head of Product Certification (HOD)

The Head of Product Certification shall oversee the overall certification process to ensure effective implementation of this procedure. The HOD shall ensure the availability of competent resources, monitor system performance and impartiality risks, and provide escalation support where certification integrity may be affected.

3.2 Operations Team (Compliance Coordinator)

The Operations Team shall be responsible for administrative and coordination activities related to product certification. This includes client communication, application receipt and completeness checks, coordination of documentation, routine communication with approved outsourced bodies, sample and test coordination, and maintenance of certification-related records in accordance with applicable procedures.

3.3 Technical Team (Evaluators / Compliance Engineer)

The Technical Team shall conduct all evaluation activities in accordance with the applicable certification scheme and internal procedures. This includes technical documentation review, assessment of test reports, verification of traceability, and review of factory audit reports (Type 3 only).

The Technical Team shall also perform initial technical interactions with potential outsourced bodies during first-time shortlisting and technical capability verification, in accordance with AC-QP-04. Evaluation results shall be documented in the Evaluation Report.

3.4 Technical Manager (TM)

The Technical Manager shall conduct an independent review of the evaluation results and shall be responsible for the certification decision. The TM shall verify the technical adequacy and completeness of the evaluation, approve outsourced bodies in accordance with AC-QP-04, and authorize and sign certification-related documents.

3.5 Quality Assurance Manager / Executive (QA)

QA shall ensure that certification activities are implemented in accordance with AQMA CERT's management system requirements. This includes control of documents and records as per AC-QP-10 and AC-QP-11, monitoring of independence and impartiality as per AC-QP-01 and AC-QP-02, and oversight of corrective and preventive actions in accordance with AC-QP-14. QA shall also ensure that complaints and appeals are managed in accordance with AC-QP-09.

3.6 Applicant / Client

The Applicant shall be responsible for submitting a complete certification application along with all required supporting information and documentation. The Applicant shall provide representative and traceable product samples, respond to requests for additional information, comply with applicable certification scheme requirements, and notify AQMA CERT of any changes that may affect product conformity.

The Applicant shall be responsible for payment of applicable certification and testing fees.

For Scheme Type 3, the Applicant shall be the beneficiary of surveillance activities conducted under the certification.

4.0 Operational Procedures

4.1 Application

4.1.1 Application Receipt

4.1.2 Any organization legally registered in the relevant commercial register or legally recognized under applicable law may submit a request for product certification.

4.1.3 The admissibility of a certification application shall not depend on the size of the organization, its membership in any group or association, or the number of certificates already issued or pending.

4.1.4 Applications shall not be accepted where the applicant is suspected of involvement in illegal activity or similar concerns, and such concerns are confirmed by the HOD.

4.1.5 Upon receipt of a certification request, the Operations Team shall register the application in the Directory of Certified Products (AC-QF-18) and assign a unique Order Number (AC-YYMM-####) in accordance with Documents Control (AC-QP-10) prior to further processing.

4.1.6 The Operations Team shall issue the Application Form (AC-QF-01) and Certification Agreement (AC-QF-01A) to the applicant.

4.1.7 The Operations Team shall provide the applicant with instructions for required documentation and sample requirements, where applicable.

4.1.8 The Operations Team shall request the applicant to submit an application file containing, as applicable:

• a) Completed Application Form (AC-QF-01)
• b) Signed Certification Agreement (AC-QF-01A)
• c) Product photographs showing clear marking, labelling, and packaging for each model
• d) Product Safety Test Report issued within 3 years by an ISO/IEC 17025 accredited laboratory
• e) Product technical datasheet / technical documentation
• f) Risk Assessment Form
• g) Signed Supplier Declaration of Conformity (SDoC)
• h) Factory Business License
• i) Factory audit report (Type 3 only)
• j) Scheme-specific requirements (e.g., SASO EER label, WEL label, etc.), if applicable.

4.1.9 If the applicant requires clarification regarding the certification requirements defined in the applicable Certification Scheme, the Operations Team shall provide the required clarification. Where technical explanation is required, the Operations Team shall obtain the information from the Technical Team and communicate it to the applicant without providing consultancy or design advice.

4.1.10 The Operations Team shall receive the complete application file containing:

• a) Completed Application Form (AC-QF-01), duly filled
• b) All supporting documents required under the applicable Certification Scheme
• c) Signed Certification Agreement (AC-QF-01A).

4.1.11 Where AQMA CERT relies on previously granted certifications to omit specific evaluation activities, the Technical Team shall document all references to such certifications in the certification file. The Operations Team shall provide justification for omitted activities upon the applicant's request.

4.2 Application Review

4.2.1 The admissibility review shall begin after the completed Application Form and the signed Certification Agreement (AC-QF-01A) are received.

4.2.2 The Operations Team shall conduct an admissibility review to confirm that:

• a) All required application documents have been submitted and are complete
• b) Test reports are valid, within acceptable validity periods, and issued by accredited laboratories
• c) Product identification, including model references and labelling, is adequate to establish traceability
• d) Factory audit report is available for Type 3 applications or audit is already scheduled
• e) The requested certification scope falls within AQMA CERT's recognized and approved scope
• f) Documentation is provided in English; documents in other languages may be accepted subject to approval by the Technical Team / Technical Manager.

4.2.3 Any discrepancies identified during the review shall be recorded in the Application Form and communicated to the applicant.

4.2.4 If the requested product or certification scheme is outside AQMA CERT's accreditation scope or technical capability, the application shall be declined.

4.2.5 Where an application involves an unusual, new, or uncommon product, technology, or certification scope, the Operations Team shall refer the application to the Technical Team or Technical Manager to confirm the availability of internal competence prior to application admissibility.

4.2.6 Where documentation is incomplete, the Operations Team shall request the missing information from the applicant. The applicant shall respond to requests for missing information or clarification within a maximum of 30 calendar days.

4.2.7 If the applicant does not respond within 30 calendar days, the application may be closed and recorded accordingly. Closure of an application shall be communicated in writing to the applicant. Applications closed due to non-response may be reopened only upon submission of a new request and updated documentation and shall be treated as a new application.

4.2.8 Once all required documents are received, the Operations Team shall complete the application admissibility section of the Application Form (AC-QF-XX) and formally confirm acceptance of the application for evaluation.

4.3 Evaluation

4.3.1 Sample Handling

4.3.1.1 Once the application admissibility review is complete, the Operations Team shall select a competent laboratory from the List of Approved Outsourced Bodies (AC-QF-24) in accordance with the procedure AC-QP-04.

4.3.1.2 Prior to requesting a quotation, the Operations Team shall verify the current accreditation status and scope of the selected laboratory using publicly available information or documented accreditation records, and shall consult the Technical Team to confirm required testing standards.

4.3.1.3 The Technical Team shall confirm approval of the selected outsourced laboratory prior to assigning samples for testing.

4.3.1.4 The Operations Team shall coordinate with the laboratory to obtain pricing details, turnaround time, and sample quantity requirements.

4.3.1.5 The Operations Team shall issue the official testing quotation to the applicant and obtain confirmation on both the selected laboratory and the quoted fees.

4.3.1.6 The applicant may refuse the proposed laboratory by submitting a written justification via email. The Operations Team shall identify an alternative laboratory, where possible, from the List of Approved Outsourced Bodies (AC-QF-24).

4.3.1.7 If the applicant refuses the proposed laboratory, the corresponding financial offer shall be invalidated. The Operations Team shall issue a revised offer or inform the applicant if certification cannot proceed. In such cases, the order shall be cancelled.

4.3.1.8 Alternatively, if the applicant provides valid existing test report(s), the reports may be used provided they meet the requirements of the applicable Certification Scheme and are acceptable to AQMA CERT.

4.3.1.9 The Operations Team shall confirm with the Finance Team that the proforma invoice has been settled before proceeding to testing coordination.

4.3.1.10 Upon payment confirmation, the Operations Team shall notify the applicant to dispatch the required product samples to AQMA CERT or directly to the approved laboratory, as suitable.

4.3.1.11 Product samples intended for testing shall be dispatched by the applicant with all transportation and customs-clearance arrangements completed in advance, ensuring that AQMA CERT is not required to undertake any logistical actions or assume custody risks.

4.3.1.12 Each product sample shall be accompanied by a securely attached label containing:

• a) Applicant/Sender information (name, contact number, email address)
• b) Product identification details (name, model type, number of units, etc.)
• c) AQMA CERT Order ID

4.3.1.13 Samples that do not comply with the labelling or traceability requirements may be rejected. The Operations Team shall notify the applicant accordingly.

4.3.1.14 It is the responsibility of the applicant to ensure that submitted samples are representative of the manufacturing capability, production batch, or consignment from which they are selected. Traceability of the samples shall be demonstrated through:

• a) Product or packaging labels indicating the manufacturer's identity; or
• b) A manufacturer's declaration confirming that the samples are produced at their facility, when labelling is not available.

4.3.1.15 Where risk exists that the applicant may select non-representative samples, AQMA CERT may:

• a) Request additional samples
• b) Request documentary evidence of sampling controls
• c) Require a witnessed sampling activity (remote or on-site)

4.3.1.16 The Operations Team may request additional information from the applicant, as necessary, to confirm sample traceability and representativeness upon receipt.

4.3.2 Use of Existing Test Reports

4.3.2.1 If the applicant submits existing test report(s), such reports shall be accepted only if they comply with the applicable Certification Scheme requirements and remain valid at the time of evaluation.

4.3.2.2 Testing shall be performed by competent ISO/IEC 17025 accredited laboratories, and results shall be documented in endorsed test reports complying with the applicable testing standards and scope of accreditation.

4.3.3 Testing Coordination

4.3.3.1 Once the Finance / Sales Team confirms receipt of all applicable fees, the Operations Team shall coordinate the delivery of product samples to the agreed outsourced laboratory.

4.3.3.2 During testing, the Operations Team may seek support from the Technical Team for handling technical clarifications raised by the laboratory.

4.3.3.3 Upon completion of testing, the Operations Team shall receive the test report(s) from the laboratory.

4.3.3.4 The Operations Team shall send a copy of the test report(s) to the applicant and retain one copy within the Order Record.

4.3.3.5 The Operations Team shall consolidate the test results in the Order Record and notify the Technical Team of the receipt of new test report(s).

4.3.4 Technical Evaluation

4.3.4.1 The Technical Team shall perform the technical evaluation in accordance with the requirements of the applicable Certification Scheme. Personnel performing evaluation activities shall not perform review or certification decisions. Personnel having provided consultancy or internal support shall not take part in any activity that may influence certification to ensure impartiality.

4.3.4.2 The evaluation shall include:

• a) Review of test report(s)
• b) Review of technical documentation
• c) Verification of traceability and product identification
• d) Review of factory audit reports (Type 3)
• e) Verification of scheme-specific requirements

4.3.4.3 If necessary, the Evaluator shall request additional information via the Operations Team (from the applicant and/or the laboratory) to ensure sufficient confidence in the evaluation.

4.3.4.4 Where a factory audit is required by the applicable Certification Scheme (Type 3), the audit shall be conducted in accordance with procedure AC-QP-08, and the resulting audit report shall form part of the evaluation input.

4.3.4.5 The Evaluator shall review the Order Record to ensure completeness and adequacy of all required documents.

4.3.4.6 The Evaluator shall assess the Order Record against the certification requirements and record comments for each evaluation point in the Evaluation Report (AC-QF-15).

4.3.4.7 All evaluation results, including conformity and nonconformity findings, shall be documented in the Evaluation Report (AC-QF-15) with appropriate justification.

4.3.4.8 The evaluation shall be considered complete only when all required evidence is obtained, assessed, and documented to support a certification decision.

4.3.5 Handling Nonconformities

4.3.5.1 If any nonconformities are identified, the Evaluator shall inform the Operations Team, who shall notify the applicant of the nonconformities and the reasons.

4.3.5.2 The applicant may submit new or revised evidence to address the identified nonconformities, including but not limited to:

• a) Updated or modified test reports
• b) Additional product photographs
• c) Other relevant supporting documents

4.3.5.3 If the applicant elects to continue, the evaluation cycle shall be repeated until all nonconformities are resolved or the application is cancelled.

4.3.5.4 If the applicant declines to continue or fails to respond within the specified period, the application shall be closed.

4.4 Review and Certification Decision

4.4.1 Independent Review

4.4.1.1 The Technical Manager, acting as an independent reviewer not involved in the evaluation activities, shall receive the Evaluation Report (AC-QF-15) from the Evaluator and review it to ensure that the applicable certification requirements have been met.

4.4.1.2 The Technical Manager shall determine whether the certification may be granted or refused. The decision shall be justified and documented in the Review & Decision Report (AC-QF-16).

4.4.1.3 If the conclusions of the Technical Manager do not align with the evaluation results of the Evaluator, the discrepancy shall be documented in the Review & Decision Report (AC-QF-16) prior to the final certification decision.

4.4.1.4 Certificates shall not be issued until all applicable fees are paid, or go ahead received from the Finance Team.

4.4.2 Handling Nonconformities During Review

4.4.2.1 If any nonconformities are identified during the review, the Technical Manager shall inform the Operations Team, who shall notify the applicant of the nonconformities and the reasons for them.

4.4.2.2 Once the additional or revised information is received, the evaluation and review process from Clauses 4.3 and 4.4 shall be repeated. The Operations Team shall ensure that the updated file is routed to the Evaluator for evaluation and subsequently to the Technical Manager for review and decision.

4.4.2.3 If the applicant declines to proceed or fails to provide the required information within the deadline defined by AQMA CERT, the application shall be closed.

4.5 Certificate Issuance

4.5.1 Upon a positive certification decision from the Technical Manager, the Operations Team shall prepare the Certificate of Conformity (AC-QF-17) for Technical Manager signature.

4.5.2 The Technical Manager shall sign the certificate only after confirming that the Review & Decision Report is complete and all decision criteria have been satisfied.

4.5.3 The Operations Team shall issue the signed certificate electronically to the applicant.

4.5.4 The Operations Team shall update the Directory of Certified Products (AC-QF-18) immediately upon issuance.

4.5.5 Where the new certificate supersedes an earlier version, the superseded certificate shall be clearly identified as such in the certification records. Superseded certificates shall be marked as withdrawn, including date and version reference.

4.5.6 The Operations Team shall store the final certificate of conformity and associated records in accordance with Records Control (AC-QP-11).

4.6 Surveillance (Type 3 Only)

4.6.1 Surveillance for Type 3 certification shall be conducted annually, unless otherwise defined in the Certification Scheme.

4.6.2 The Operations Team shall notify beneficiaries 60 days before the surveillance due date with required documents and submission timeline.

4.6.3 The beneficiary shall submit surveillance documentation as defined in the applicable Certification Scheme, which may include updated technical documentation, production records, factory audit reports, or other conformity evidence.

4.6.4 The Evaluator shall evaluate the surveillance documentation to confirm continued compliance with certification requirements. The evaluation results shall be documented in Evaluation Report (AC-QF-15).

4.6.5 If additional evidence is required, the Operations Team shall coordinate the request and communicate requirements to the beneficiary within the defined surveillance timeline.

4.6.6 Failure by the beneficiary to submit required surveillance documentation within 30 calendar days of the due date shall result in suspension or withdrawal of certification.

4.6.7 The Technical Manager shall review the Evaluator's surveillance evaluation and determine whether the status of certification can be retained.

4.7 Management of Changes

4.7.1 Changes Made by the Beneficiary

4.7.1.1 The beneficiary of certification shall inform AQMA CERT of any change that may affect the conformity of the certified product, in accordance with the Certification Agreement, including but not limited to:

• a) Product design or construction changes
• b) Component or material modifications
• c) Manufacturing process changes
• d) Change of manufacturing location
• e) Change in legal ownership, company name, or authorized representative
• f) Changes in product labelling or identification
• g) Any other change that may impact certified status

4.7.1.2 Upon receipt of a change notification, the Operations Team shall register the change request and forward the details to the Technical Team for evaluation.

4.7.1.3 The Technical Team shall evaluate whether the notified change impacts the conformity of the certified product and whether additional assessment activities are required. This evaluation may require:

• a) Updated technical documentation
• b) New or additional test reports
• c) Submission of new samples for testing
• d) Updated risk assessments
• e) A new or updated factory audit (Type 3)
• f) Clarification from the applicant on the extent of the change

4.7.1.4 The Technical Manager shall review the Technical Team's evaluation and determine whether:

• a) Certification remains valid without further action
• b) Limited re-evaluation is required
• c) Full re-assessment is required
• d) Certification scope must be amended or reduced
• e) Certification must be suspended or withdrawn

4.7.1.5 Following the Technical Manager's decision, the Operations Team shall notify the beneficiary in writing and record the decision, justification, and any conditions for continued certification in the certification file.

4.7.1.6 Where certification is withdrawn due to a significant change, the beneficiary shall apply for a new certification. The certification process shall be repeated as per Clauses 4.1 to 4.6.

4.8 Changes in Certification Requirements

4.8.1 AQMA CERT shall conduct periodic monitoring of changes to:

• a) Applicable certification schemes
• b) Regulatory requirements
• c) Standards referenced in the certification requirements
• d) Accreditation obligations

4.8.2 When a new requirement is introduced or when an existing certification scheme is modified, the Technical Team shall assess:

• a) The nature and impact of the new requirement
• b) The products and certificates affected
• c) The urgency and mandatory timelines imposed by the scheme owner or regulator

4.8.3 The Technical Manager shall approve the classification of the change as:

• a) Minor (no re-testing or re-evaluation required)
• b) Moderate (documentation review or partial evaluation required)
• c) Major (full evaluation, new testing, or re-certification required)

4.8.4 The Operations Team shall prepare and distribute a formal notification to all affected beneficiaries in writing within 10 working days of requirement changes, specifying:

• a) Description of the new or revised requirement
• b) Effective date
• c) Deadline for compliance
• d) Required actions (documentation updates, testing, audits, samples, etc.)

4.8.5 AQMA CERT shall provide reasonable timelines to beneficiaries, unless regulatory or scheme-owner requirements specify otherwise or impose mandatory compliance deadline.

4.8.6 The Technical Team shall monitor compliance progress for each affected certificate.

4.8.7 If the beneficiary fails to comply within the required timeframe, the Technical Manager may authorize:

• a) Suspension of certification
• b) Withdrawal of certification
• c) Reduction of certification scope

4.8.8 All change evaluations, decisions, notifications, and supporting evidence shall be documented and stored in accordance with Records Control (AC-QP-11).

4.8.9 The Directory of Certified Products (AC-QF-18) shall be updated to reflect any change in certification status.

4.9 Suspension, Withdrawal, Reduction, and Termination

4.9.1 Certification may be suspended, withdrawn, reduced, or terminated due to following conditions, but not limited to:

• a) Failure to comply with surveillance requirements (Type 3)
• b) Misuse of certificates or marks, as defined in AC-QP-06
• c) Submission of misleading or false information
• d) Significant product or process changes affecting conformity
• e) Identified nonconformities affecting certified status
• f) Non-payment of certification fees
• g) Formal request by the beneficiary

4.9.2 When such conditions arise, the Technical Team shall document the issue and submit the evaluation to the Technical Manager.

4.9.3 The Technical Manager shall review the circumstances and authorize the appropriate action (suspension, withdrawal, scope reduction, or termination).

4.9.4 The Operations Team shall notify the beneficiary in writing, detailing the reason, effective date, and applicable conditions for reinstatement (where allowed).

4.9.5 The Directory of Certified Products shall be updated to reflect the change in status without delay.

4.9.6 Suspended or withdrawn certificates shall not be displayed or used by the beneficiary. The Operations Team shall monitor misuse in accordance with AC-QP-06 and initiate corrective actions where misuse is identified.

4.10 Complaints and Appeals

4.10.1 All complaints and appeals related to certification decisions or AQMA CERT activities shall be handled strictly in accordance with Complaints and Appeals (AC-QP-09).

4.11 Certificate Error

4.11.1 A certificate error is defined as any incorrect information appearing on an issued certificate, arising from an error made either by the applicant or by AQMA CERT.

4.11.2 Once a certificate error is identified, the Operations Team shall notify the beneficiary and instruct them to immediately discontinue use of any certificate or advertising material containing incorrect information, in accordance with the applicable Certification Scheme requirements.

4.11.3 A corrected certificate shall only be issued upon submission of a new application for certificate modification.

4.11.4 The applicant shall complete the "Application for Modification of Existing Certificate" section of the Application Form (AC-QF-01), specifying:

• a) Existing Certificate Number
• b) Required corrections or changes

4.11.5 The Operations Team shall process the modification request in accordance with the certification process defined in Clauses 4.1 to 4.6, limited to the scope of the correction.

4.11.6 Where technical assessment is required to support the correction, the Technical Team shall perform the evaluation and the Technical Manager shall conduct the review and issue the certification decision.

4.12 Record Control

4.13 All records created during the certification process, including application documents, evaluation reports, review and decision records, certificates, surveillance records, and correspondence, shall be maintained in accordance with Records Control (AC-QP-11).

4.14 Records shall be complete, accurate, protected from loss or unauthorized access, and retained for the period specified in Records Control (AC-QP-11).

4.15 Access to certification records shall be limited to authorized personnel only.

4.16 Disposal of records at the end of the retention period shall follow AC-QP-11 requirements.

5.0 Relevant Documents

• ISO/IEC 17065:2012
• AC-QM-01 Quality Manual
• AC-QP-01 Independence, Impartiality, Integrity & Confidentiality
• AC-QP-02 Management of Impartiality
• AC-QP-04 Selection and Evaluation of Outsourced Services
• AC-QP-06 Handling of Certification Mark Misuse and Fraudulent Certificates
• AC-QP-09 Complaints & Appeals
• AC-QP-10 Documents Control
• AC-QP-11 Records Control
• AC-QP-14 Corrective and Preventive Actions

6.0 Relevant Records

• AC-QF-01 Application Form
• AC-QF-01A Certification Agreement
• AC-QF-15 Evaluation Report
• AC-QF-16 Review and Decision Report
• AC-QF-17 Certificate of Conformity
• AC-QF-18 Directory of Certified Products
• AC-QF-24 List of Approved Outsourced Bodies