Appendix A:
Documents to Submit Along with Application

Certifying bodies that submit an application for accreditation to the Conseil des appellations réservées et des termes valorisants (CARTV) must include a copy of each of the following documents:

1. Documents Pertaining to the Certifying Body:

1.1 The corporate charter;

1.2 The corporate structure graphically and quantitatively demonstrating relations of control by shareholders, companies or other groups associated with the organization;

1.3 General bylaws;

1.4 List of directors, consisting of:

1. Members of the board of directors (including specific functions, duration of mandate, and affiliations);
2. Board members of a sponsoring organization (if applicable);

1.5 Addresses of all locations where the firm does business, and a summary of activities resulting from each of them;

1.6 Copy of the compliance mark (body's name such as it appears on the label of certified products) and any property rights related to it;

1.7 Copy of the liability insurance for directors and employees;

1.8 In the case of organizations already accredited by an official organization, a copy of their accreditation certificate.

2. Decision-Making Structures

2.1 Individuals or internal bodies in charge of:

1. Developing policies and principles regarding the certification system’s content and function;
2. Making decisions regarding product certification;
3. Reconsidering decisions that are subject to appeals;
4. Controlling use of the brand name (certifying body’s name and logo).

Along with their mandate, their procedures, and the manner in which they are designated.

2.2 Sharing responsibilities between Head Office and Affiliates or Chapters (if applicable);

2.3 Organization chart related to the general administration of the program, including names of persons occupying management positions in both Head Office and Affiliates (where applicable).

3. Information on Certifying Body's Operations

3.1 Copy of the latest annual financial statements, including balance sheet, revenues and expenses;

3.2 List of countries, provinces or states in which the body is carrying out certification activities;

3.3 Complete list of all firms including the name and address of every one to which the body has granted a compliance certificate, in the one or more fields for which it has applied for accreditation:

1. A compliance certificate for the certified products with their mention on the list;
2. A certificate of approval for any inputs or services with their mention on the list;
3. A certificate of verification for ingredients found in products composed of less than 70% of ingredients compliant with standards.

3.4 Copy of the Board of Director's latest annual report to members or shareholders.

4. Policies and Technical Procedures (Quality Manual)

4.1 Quality Manual related to certification program;

4.2 Templates of inspection questionnaires used by inspectors;

4.3 Templates for writing inspection reports;

4.4 List of documents included in file for each operator having applied for certification.

5. Certifying Body's Human Resources Management

5.1 A complete list of employees, including the status and position held by each one;

5.2 Copy of standard contract with employees;

5.3 Selection criteria for persons making certification decisions or in charge of overseeing those who make them;

5.4 Name of person or list of the members of the internal body (Committee, etc.) assigned either to make certification decisions or to oversee those who make them (with their experience and specific training);

5.5 Selection criteria for inspectors;

5.6 Copy of standard contract between certification program and inspectors;

5.7 Complete list of inspectors (including their training and years of experience, their commercial or financial affiliations);

5.8 Copy of standard contracts used with any other type of subcontractors (if applicable).

6. Information Material and Forms Forwarded to Certification Applicants

6.1 Detailed fee schedule for the various services offered;

6.2 Copies of information documents about the certification program;

6.3 Copy of the application forms to fill by applicants;

6.4 Copies of production or compliance plan preparation forms to be filled out by applicants yearly.

7. Documents Concerning Rights and Obligations of Certified Operators

7.1 Contract(s) to be signed by certification applicants, regulating the use of marks of compliance (licenses);

7.2 Copy of the different types of certificates issued by the certifying body;

7.3 Example of a transaction certificate (if used);

7.4 Example of packaging using the compliance mark (showing name of organization).