CB-02 — Recognition Criteria and Administrative and Operational Requirements Applicable to Certification Bodies (CBs) for the Certification of Radio Apparatus

Annex A — Application for Recognition Checklist

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Accreditation Requirements for Certification Bodies

1. Have at least one permanent location in Canada or Mutual Recognition Agreement/Arrangement (MRA) partner territory. (Section 4.1 (a))
2. Have accreditation, in accordance with the latest edition of ISO/IEC 17065 — Conformity assessment — Requirements for bodies certifying products, processes and services 17065 (for at least one of the scopes defined in Section 4.2) by the Standards Council of Canada (SCC) or a recognized Accreditation Body or equivalent, as per the terms of the applicable MRA. (Section 4.1 (b) and Section 4.2)
3. Have accreditation, in accordance with the latest edition of ISO/IEC 17025 — General requirements for the competence of testing and calibration laboratories (for all RSSs and/or BETS for at least one of the scopes defined in Section 4.2) by the SCC or a recognized accreditation organization or equivalent, OR have contractual arrangement with testing laboratory accredited in accordance with ISO/IEC 17025 for the required RSSs and/or BETSs. (Section 4.2 and Section 4.3 (a))
4. Submit signed assessment report from the Accreditation Body; and include a list of names of personnel interviewed during the assessment. (Section 4.1 (f))
5. Provide list (from the Accreditation Body) of all RSS and/or BETS against which the CB was assessed (include issue number and date of publication). (Section 4.1 (g))
6. Limit CB certification activities to the scope of accreditation for which recognition was issued; CB's scope shall be updated to include any newly published or revised RSS and/or BETS within a year from publication. (Section 5.1 (a))

Certification Procedures

7. Shall be submitted to the Department through the Designating Authority, published, maintained and made available to clients. (Section 4.1 (d)) and Section 5.1 (b))

Administrative Requirements

8. Retain all information provided in support of applications for certification for ten (10) years from the date the certificate is issued and make such documentation available upon request. (Section 5.1 (d))
9. Maintain a list of all products CB certified to Canadian requirements and make the list available upon request. (Section 5.1 (h))
10. File the technical brief electronically to the Bureau, as per RSP‑100 — Certification of Radio Apparatus, for every certification performed. (Section 5.1 (k))
11. Notify the Bureau of any changes to the technical parameters, as per RSP‑100. (Section 5.7)

Operational Requirements

12. Ensure that the persons involved in certification (or involved in the certification decision) are different from those involved in testing and evaluation. (Section 5.1 (c))
13. Have an open area test site (OATS) or alternate test site registered with the Bureau as per RSS‑Gen — General Requirements for Compliance of Radio Apparatus, or arrangement with testing labs that have test sites registered with the Bureau. (Section 5.1 (i))
14. Provide a copy of the arrangement, if applicable, with the testing laboratory that has test sites registered with the Bureau. (Section 4.3 (b))
15. Accept test reports only from testing laboratories that have test sites registered with the Bureau. (Section 5.1 (j))

Certificate Requirements

16. Include all requirements listed in (Section 5.4 and Section 5.4.1).
17. Submit a sample of the certificate that the CB would issue to its clients. (Section 4.1 (h))
18. Inform certificate holders of labelling requirements for certified equipment as per RSP‑100. (Section 5.1 (m))

Product Audit Requirements

19. Submit internal product auditing procedures to the Department to demonstrate how the certified equipment will meet the minimum audit requirements. ( Section 4.1 (e))
20. Conduct appropriate product audit activities, in accordance with the latest edition of ISO/IEC 17065. (Section 5.3.1)
21. Perform audits on a minimum of 5% of the total number of products certified in a given year and a minimum of 1% of products, subject to SAR requirements, certified in a given year. (Section 5.3.2)
22. Notify the Bureau, by electronic filing via the Bureau's website, once an audit has been completed during the current calendar year or, at the latest, by January 31 of the following year. (Section 5.3.4)
23. Consider samples for audit of (a) manufacturer's history of compliance; (b) whether samples come from a new applicant or are (c) based upon a new technology; (d) mass deployment of technology; (e) price of sample; and (f) potential harm/impact to network or users due to non‑compliance. (Section 5.3.5)
24. Include in the audit report audit results from the third party laboratory (if sub‑contracting SAR testing). (Section 5.3.8)
25. Provide audit test reports within 30 days upon request by the Department. (Section 5.3.9)
26. Conduct audits of targeted products and submit findings within 30 days upon request by the Department. (Section 5.3.10)

Non‑Compliance Requirements

27. Advise certificate holders that, in the event of an investigation of non‑compliance, the certificate holder will be asked to provide records of the quality control process and any relevant information that would help to identify the cause and extent of the non‑compliance. (Section 5.3.7)
28. Notify both the certificate holder and the Bureau immediately when a product fails to comply, and include a copy of the certificate issued. (Section 5.3.7 (a))
29. Provide a follow-up report within 30 days. If a product fails to comply with specific absorption rate (SAR) requirements, prepare a follow‑up report within 15 days. (Section 5.3.7 (b))

Corrective Measures of CB Operation/Non‑Compliance Notices

30. Address complaints forwarded to CB by the Department regarding their operation and non-compliance notices on CB's certified products. (Section 5.1 (n))
31. Implement the required corrective actions and report to the Department within thirty (30) calendar days of the notification. (Section 5.1 (o))

Notification of Certification Requirements

32. Notify the Bureau of all certifications and these notifications shall include all required documents, as per RSP-100. (Section 5.5)
33. Perform both notification of certification and registration together for terminal equipment which is also radio apparatus. (Section 5.6)
34. Verify that the testing of the terminal part was performed by a testing laboratory recognized by the Department. (Section 5.6 (a))
35. The certification procedure shall include an acknowledgement from the certificate holder allowing all technical information referred to in CB‑02, Section 5.6, to be posted in the Radio Equipment List (REL). (Section 5.8)
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