M«ASTER COMPLIANCE NATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT N° 4083 | | Conformity Assement of Products | for Telecommunications by i Certification JULY 31, 2020NATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT E etna NCE Cte ACT No. 4083, OF JULY 31,2020 [iiaaiaainaaanall MKS COMPLIA Freee) THE SUPERINTENDENT OF GRANT AND RESOURCES FOR THE PROVISION OF THE NATIONAL TELECOMMUNICATIONS AGENCY, in the use of the attributions conferred to him by art. 156, VI of Anatel’s Internal Regulations, instituted by Resolution No, 612, of April 2, 2013; by art. 22, §2 of the Regulations for Conformity Assessment and Homologation of Telecommunications Products, instituted by Resolution No. 715, of October 23, 2019, and WHEREAS the Operating Procedures provide for the conduct of the conformity assessment process, addressing, among others, the role of the agents in the process, and the procedures related to each conformity assessment model, as well as rules, conditions, procedural requirements to be followed in the Conformity Assessment process, observing the general rules established in the Regulations for Conformity Assessment and Homologation of Telecommunications Products; WHEREAS the conformity assessment and homologation of products for telecommunications are governed by the following national legal and constitutional principles, especially those provided for in art. 3rd of the Regulations for Conformity Assessment and Homologation of Telecommunications Products, approved by Resolution No, 715, of October 23, 2019; WHEREAS the Designating Authorities, Designated Certification Bodies, Testing Laboratories and Applicants for the approval of products operate in the conformity assessment and approval of telecommunications products; WHEREAS Designated Certification Bodies (OCDs) are agents designated by Anatel, with technical, administrative and operational capacity to implement and conduct the procedures related to the certification of telecommunications products and to issue a document called Certificate of Conformity; WHEREAS in the certification process for telecommunications products, OCDs must act, among others, according to ethical standards of probity, decorum and good faith; excel in the adequacy between means and ‘ends, being prohibited the imposition of contractual obligations to a greater extent than those strictly necessary to comply with the rules of Anatel's certification process; observe the formalities essential to ensure compliance with the standards issued or accepted by Anatel; and, adopt simple and sufficient forms to provide an adequate degree of certainty, security and respect to the rules of the certification process established by Anatel; WHEREAS the Testing Laboratories are agents capable of carrying out the tests required in the conformity assessment process and issuing reports, as provided for in the technical standards issued by Anatel; CONSIDERING what determine the standards for conformity assessment ABNT NBR ISO / IEC 17065: 2013, which establishes requirements for certification bodies for products, processes and services, and ABNT NBR ISO / IEC 17025: 2017, which establishes general requirements for competence of testing and calibration laboratories, whose dictates will be used in a complementary manner to the provisions of this procedure; WHEREAS individuals and companies are entitled to request homologation of telecommunications products under the terms of art. 20 of the Regulations for Conformity Assessment and Homologation of Telecommunications Products, approved by Resolution No. 715, of October 23, 2019; CONSIDERING the need to establish the means by which the exercise of rights and the fulfillment of obligations will take place, as provided for in the current regulations, especially with regard to the responsibilities and the relationship between the agents involved in the assessment of the conformity of telecommunications products; and CONSIDERING what appears in the case file of Process No. 53500.055986 / 2019-07; WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT Ce cunac ee) = A ° = zm re Ce sg eer iet oy Freee) RESOLVES: Art. 1 To approve, in the form of the annex to this Act, the Operational Procedure for the Assessment of Conformity of Products for Telecommunications by Certification. Sole paragraph. The provisions of Act No, 2220, of April 20, 2020, may be used for a period of 180 (one hundred and eighty) days from the publication of this act. Art. 2 Revoke Act n® 2220/2020 after the period established in the sole paragraph of article 1. Art, 3 This Act enters into force on the date of its publication in Anatel's Electronic Service Bulletin. Document electronically signed by Luiza Maria Thomazoni Loyola Giacomin, Superintendent of Grant and Provision of Services, Substitute, on 07/31/2020, at 17:56, according to official Brasilia time, based on art. 23, item II, of Anatel Ordinance No. 912/2017. ‘The authenticity of this document can be verified at http://www.anatel.gov.br/autenticidade, informing the verification code 5816132 and the CRC code A0502428. APPENDIX TO ACT No, 4083, OF JULY 31, 2020 OPERATIONAL PROCEDURE FOR CONFORMITY ASSESSMENT OF PRODUCTS FOR TELECOMMUNICATIONS BY CERTIFICATION. 1. OBJECTIVE 1.1 This operational procedure establishes the rules and documents for the assessment of conformity for telecommunications products in the form of Certification, as provided in the Regulation for Conformity Assessment and Homologation of Telecommunications Products, especially with regard to the assessment process conducted by a Designated Certification Body (OCD) and the other agents involved in the process (Testing Laboratories and Applicants), 1.2 The procedure also details the certification models described in the Regulation for Conformity Assessment and Homologation of Telecommunications Products. 2. FIELD OF APPLICATION 2.1 This procedure applies to Designated Certification Bodies, Certification Applicants and Testing Laboratories in the exercise of their functions as agents in the process of conformity assessment for telecommunications products. 3, REFERENCE DOCUMENTS 3.1 Regulation for Conformity Assessment and Homologation of Telecommunications Products, approved by Resolution No. 715, of October 23, 2019; 3.2 Conformity assessment - Requirements for certification bodies for products, processes and services, approved by ABNT NBR ISO / IEC 17065; WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT E etna NCE Cte Cente MKS COMPLIA Freee) 3.3 Conformity assessment - Fundamentals for product certification and guidelines for product certification schemes, approved by ABNT NBR ISO / IEC 17067; and 3.4 General requirements for the competence of testing and calibration laboratories, approved by ABNT NBR ISO / IEC 17025. DEFINITIONS 4.1 For the purposes of this Procedure, the definitions of the Regulations for Conformity Assessment and Homologation of Telecommunications Products, the other Operating Procedures and the following are considered: 4.1.1 Specific activity: corresponds to the evaluation activities of: Electromagnetic Compatibility (EMC), Electrical Safety, IPv6 Protocol, Assessment of the Quality Management System of Manufacturing Units, Assessment of the Quality Management System of Testing Laboratories, and others that the Agency may consider in the future; 4.1.2 Functional tests: are all tests of the technical requirements applicable to the product for telecommunications, except those defined as specific activity within the scope of the Designated Certification Body; 4.1.3 OCD Conformity Mark: registered mark, affixed or issued in accordance with the rules of a certification system, indicating confidence that the corresponding product is in compliance with a specific standard or other normative document; 4.1.4 Memorandum of Understanding (MoU): bilateral or multilateral agreement, signed between the Designated Certification Body and other accredited certification bodies or Testing Laboratories, in areas of common interest, in the field of telecommunications; 4.1.5 Module: component with specialized function, subject to compulsory homologation by ‘Anatel, which, to function properly, must be inserted in a main circuit board, motherboard or host board or be mounted in a complementary electronic structure, It can be presented as a printed circuit with or without integrated circuits, shielded or not, depending on the application for which itis intended; 4.1.6 Manufacturing process: set of operations and steps carried out successively, in a planned manner, using labor, components, parts and / or parts, aiming to obtain a final product containing characteristics as designed; and 4.1.7 Manufacturing unit: subsidiary company of the manufacturer or outsourced, which manufactures or assembles products for telecommunications, MODELS OF CONFORMITY ASSESSMENT BY CERTIFICATION 5.1 The models of conformity assessment by certification, provided for in the Regulations for Conformity Assessment and Homologation of Products for Telecommunications, are based on the types of certification schemes described in the ABNT NBR ISO / IEC 17067 standard. WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT Ce cunac ee) <= LA ° = zm re Ce sg eer iet oy Freee) 5.2 For the purposes of this Procedure, the following certification models are appli 5.2.1 Certification based on Type Testing (type 1a certification scheme): in this assessment model the product sample is submitted to laboratory tests to prove compliance with the technical requirements applied to the product. This model does not include the maintenance step. 5.2.2 Certification based on Type Testing with Periodic Product Evaluation (type 4 certification scheme): it is the model described in item 5.2.1 with periodic product evaluation as established in the periodic maintenance program for each type of product on the Reference List of Telecommunications Products. 5.2.3 Certification based on Type Testing with Periodic Evaluation of the Product and the Factory Management System (type 5 certification scheme): it is the model described in item 5.2.2 with assessment of the management system of all the manufacturing units. 5.3 The Agency may apply other certification schemes described in reference document 3.3, according to the indication by type or family of products, in accordance with current regulations, 5.4 The Reference List of Telecommunications Product will indicate the conformity assessment model for each type or family of products. 6. CERTIFICATION PROCESS 6.1 GENERAL CONDITIONS 6.1.1 The certification process is conducted by a Designated Certification Body (OCD) with specific scope. for the type of product or activity subject to the conformity assessment, 6.1.2 The procedures and activities to be followed by the OCD and the Testing Laboratory are set ‘out in this Procedure, as well as in technical requirements, operational procedures or other technical standards published or adopted by the Agency in the Certification Process. 6.2 PROCEDURES FOR PREPARING CONFORMITY ASSESSMENT ACTIVITIES 6.2.1 The OCD shall request the Certification Applicant for all necessary documentation to: |- evaluation of the technical characteristics of the product; II- classification of the type of product according to Anatel's Reference List of Products; and Ill- determination of the technical requirements applicable to the product. 6.2.2 The OCD will proceed with the initial assessment of the documentation and may, at its discretion, require additional documents that are considered relevant to meet the conditions described in this Procedure, 6.2.3 The OCD shall inform the Applicant of the requirements applicable to the product, according to technical standards issued or adopted by Anatel, and which shall be subject to tests. 6.2.3.1 The OCD will present to the Applicant the criteria applied in the assessment of the factory management system and the testing laboratory involved, when these are also submitted to their evaluation, under the terms described in specific operational procedures. WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT Ce cunac ee) = A ° = zm re Ce sg eer iet oy Freee) 6.2.4 If in the documentation assessment it is verified that the product did not meet the Agency's technical requirements, as well as the relevant legislation, the OCD shall present to the interested party a list of all product non-conformities detected in the conformity assessment. These must therefore be corrected in order to meet the certification requirements or, if the necessary rectification is not possible, this fact will motivate the closure of the Certification Process. 6.2.5 When submitting to the Certification based on Type Testing, the Applicant must choose the Testing Laboratory observing the established in the Operational Procedure for Selection, Evaluation and Qualification of Testing Laboratories for the Conformity Assessment of Products for Telecommunications, giving notice of its choice to the OCD that is conducting the Certification process. 6.2.6 The OCD must submit to the laboratory a list of the technical requirements necessary to carry out the tests on a representative sample. 6.3 PROCEDURES FOR THE SELECTION, IDENTIFICATION AND RECEIPT OF SAMPLE FOR TESTING OF ‘TELECOMMUNICATIONS PRODUCTS 6.3.1 Sample Selection and Identification Procedures 6.3.1.1 When not indicated in an operating procedure or specific technical requirement, the sample will be selected in accordance with the agreement between the Applicant and the OCD that is conducting the certification. 6.3.1.2 The sample sent to the laboratory must be previously identified by the manufacturer by physical or electronic marking, permanent or temporary, or on the sample packaging, with the following minimum information: name of the manufacturer {or brand), model name and country of origin, 6.3.1.3 Itis the applicant's responsibility to send the sample, duly identified and fully prepared for the tests I- the sample must be connectorized, if necessary, and accompanied by auxiliary or peripheral devices essential to the communication and operation of the sample with firmwares, RF chipset software and other exercise configurations ready for the tests to be carried out. 6.3.1.4 The laboratory should contact the Applicant in case of doubts regarding the identification of the sample received, giving a deadline for solving the problem or for returning it, keeping the OCD informed about the fact. 6.3.1.5 The Applicant must formally communicate to the OCD, prior to the start of the tests: |- the plant in which the sample was produced; and Il- the traceability of the sample sent for testing. 6.3.1.6 The monitoring of the samples, as well as the monitoring of the tests applicable to the product, is the responsibility of the OCD that is conducting the Certification Process. WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT Ce cunac ee) = A zm re Ce sg eer iet oy Freee) 6.3.17 The costs arising from the sample selection process are the responsibility of the Applicant, 6.3.1.8 Failure to comply with the sample selection procedures shall result in Anatel's rejection of the approval requirement. 6.3.2 Procedures for receiving the sample by the Testing Laboratory and performing the tests: 6.3.2.1 The laboratory must check the sample received and its accessories and photograph them with sufficient clarity to guarantee the faithful recording of the information of interest, making possible its subsequent viewing and reading, observing the following described, whenever applicable: | the front, side, rear views must be presented and, in the case of small products, the bottom and top views, at the bottom or at the side of the product, with a graduated ruler in the IS metric system that allows the identification of size; Il - detailed view of the control panel and product input and output interfaces, which allows the reading of all key and indicator labels and the arrangement and identification of connectors; IIL detailed views of the product identification label(s), with the necessary quality, so that itis possible to read the information without difficulties; and IV- there must also be photos of the accessories that come with the product, to be used in the configuration of the laboratory tests (such as: power supplies, earphone, cell phone cover, belt holder, auxiliary antenna, microphone, etc,). 6.3.2.2 The Laboratory must inform the responsible OCD about the receipt of the sample and, when requested by the OCD, forward the photographs before the beginning of the tests. I The OCD must respond to the laboratory with the approval to start the tests within a maximum period of 2 (two) working days. Il If the OCD does not respond to the statement within the period established in the previous item, it shall be considered tacit, 6.3.2.3 After carrying out the tests, the Laboratory must send the report containing the results of the tests to the OCD without a conclusive opinion or any judgment that may influence the analysis of the results, as these attributions are the sole responsibility of, the certification body. 6.3.2.4 The laboratory must prepare and send to the responsible OCD a report covering all the results of the tests carried out on the product, including occurrences, retests and any other procedure to which the product under certification was submitted during the performance of the tests, in order to allow the OCD to register in the RACT the information described in indent IX of item 6.6.6.2 of this Procedure. WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT Ce cunac ee) <= LA ° = zm re Ce sg eer iet oy Freee) 6.3.2.5 Only test reports containing the description of the minimum technical characteristics necessary for carrying out the tests on the product and the photos taken by the laboratory for the identification of the tested sample will be accepted, for the purposes of conformity assessment and homologation, following all conditions described initem 6.3.2.1. 6.3.2.6 If there are revisions to the test report, the detailed revision history shall be included in it, as of the date of issue of its initial version. 6.4 ASSESSMENT OF THE FACTORY MANAGEMENT SYSTEM 6.4.1 The assessment of the factory management system, when applicable, must meet, at least, the items described below: | product identification and traceability; lI-control of the manufacturing process; IIL inspection and testing; IV -control of inspection, measurement and testing equipment; V-- inspection and testing situation; Vi - control of non-compliant products; Vil-handling, storage, packaging and shipping; and VilI- control of quality records. 6.4.2 If the manufacturer has a valid certificate for its Management System, issued by a quality system certification body accredited by INMETRO or, in the case of a foreign manufacturer, by an official accrediting body in the exporting country, which includes the topics listed in the previous item, this certificate may be accepted by the OCD, which will decide, reasonably, whether or not itis necessary to audit the manufacturing facilities under assessment. 6.4.2.1 The OCD may request from the Applicant other information about the ‘manufacturer's management system that it deems relevant to the certification process, including reports that include indicators and control items of the manufacturing process. 6.4.2.2 The copy of the Assessment of the Management System of the Factory and of the manufacturing units carried out by the OCD or of the Management System Certificate, ‘must be attached to the process of assessment of the conformity of the product. The document must be presented in Portuguese language of Brazilian expression or, if written in a foreign language, both the original language and a copy of the sworn translation must be presented, 6.5 THE OCD ASSESSMENT OF THE EVALUATION RESULTS 6.5.1 The OCD must present the documents from the previous phases to the specialist recognized by Anatel, for the evaluation of the results and issuance of the decision on the certification of the product, carrying out the following actions: |. from the analysis of the documentation, if the conformity and the correct documentary instruction that make up the process are demonstrated, issue the Certificate of Conformity; or II- ifthe determinations of the previous item have not been met, present to the interested party the list of non-conformities in relation to the current regulation. WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT Ce cunac ee) <= LA ° = zm re Ce sg eer iet oy Freee) 6.5.2 The results of the tests will only be considered valid, for the purpose of certification, up to 2 (two) years after the date of the initial issue of the report, except for the following cases: | report of functional tests of module and / or interface of a product, whose homologation is in force, for the purpose of approval of a new product containing these parts; and I1- tests report of product for telecommunications, whose Homologation Certificate is in force on the date of issue of the Certificate for new Applicant. 6.5.3 The test report can be reused by a third party for the purpose of certification of correlated product, as long as there is express consent from the report owner. 6.5.4 In the event of non-compliance during the performance of laboratory tests, physical changes to the product must be performed only by the manufacturer or by third parties, under its responsibility. | the change informed in the caput must be declared in the conformity assessment process regarding its implementation in the production line. 6.5.5 Anew sample of the product, modified by the manufacturer or under its responsibility, must then be extracted from the production line, in the case of products directly used by end users and consumers of telecommunications services, or the sample already tested, in other cases, or when changes are made at the software level, subjecting it to new tests to demonstrate compliance with all items of the applicable technical requirements, affected by the changes. | itis up to the OCD specialist, responsible for conducting the product's conformity assessment, to determine which tests shall be repeated in the Testing Laboratory, after the changes are implemented. 6.5.6 The manufacturer must send subsidiary documents to the OCD, such as photos, descriptions, etc .; demonstrating the modifications made to the product, as well as an express declaration that the sample collected and tested after the modifications comes from its production line, being a faithful copy of the product that will be commercialized in Brazil. 6.5.6.1 If the Applicant declares that the non-conformity is restricted to the tested samples and a new sample, presented at a date after the batch under test, will attest to compliance with all technical requirements, the manufacturer must submit a declaration justifying the occurrence, which will be evaluated and confirmed by the OCD in the RACT, and a copy of that declaration attached to the file 6.5.7 Its the exclusive competence of the OCD to decide whether or not to approve the process for the purpose of issuing the product's Certificate of Conformity, 6.5.8 It is also up to the OCD to check if the technical specifications of the product are in accordance with the technical information recorded in the Certificate of Conformity, in particular the radio frequency bands and the power, not being limited to these parameters, in order to avoid that information is included in the process. different from those of the Certificate of Conformity. WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT Ce cunac ee) <= LA ° = zm re Ce sg eer iet oy Freee) 6.6 OF THE DOCUMENTATION THAT COMPOSES THE CONFORMITY ASSESSMENT PROCESS 6.6.1 It is incumbent upon the OCD to require the Applicant to submit all the documentation necessary to conduct the Certification Process. 6.6.2 The documentation submitted by the Applicant must refer to the product in the version and configuration of the project that will be submitted for certification, comprising the documents described in the subsequent items. 6.6.3 Photographs 6.6.3.1 The photographs that make up the documentation must be clear and legible and in sufficient number that allows the perfect identification of the model(s) object of the certification, ‘observing the provisions of items |, Il and Ill of item 6.3.2.1 and the following procedures: | detailed view of the approval identification on the product, which allows its reading; a) in the initial certification, itis exceptionally permitted to present the identification of the approval on the product on 2 provisional basis; and b) in electronic marking the Applicant must declaré in the process how the marking information will be presented in the product software that will be distributed to the market, considering the rules of the Operational Procedure for Marking Anatel Homologation Identification in Telecommunications Products, II internal top and bottorn views of each system board, allowing the visualization of the layout of the electronic components of each board; and IIL view of the interior of the system in its chassis, allowing the visualization of how the ‘components are interconnected and how the boards interconnect with the panel and external connectors; 6.6.3.2 When dealing with “unfinished product”, that is, one that needs integration in another product so that it can perform the function for which itis intended, not aimed at ‘commercialization to the end user and consumer of telecommunications services, at the discretion of the Applicant for Homologation, the OCD may prepare and attach the files of “External Photos" and "Anatel Seal" in the repository of Anatel's computerized system as follows: |- in the file attached in the field "External Photos", in substitution for the photos may be presented a Declaration containing the following words: “As it is an unfinished product, ‘the product under approval is fully identified by the internal photos, whose file is attached in the respective field. "; and lI-in the file attached to the "Anatel Seal" field, it must be clear where the complete Anatel mark identification or the expression "ANATEL" will be recorded or placed followed by the homologation code, without necessarily revealing circuit components that can be identified in the file "Internal Photos". 6.6.3.3 In the case of large equipment, the details provided for in item II of item 6.3.2.1 and in items 1! and Ill of item 6.6.3.1 are not required. However, for orders involving modular transmitters, manufactured using solid state technology, detailed photographs of the RF power modules of the final stage and the exciter must be provided, WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT Ce cunac ee) <= LA ° = zm re Ce sg eer iet oy Freee) X- express indication that the product, object of the certificate of conformity, is subject to periodic verification, when applicable; that it maintains the characteristics originally certified and that the certificate must obtain homologation from Anatel, for commercialization and use purposes, under the terms of the regulation; and XI- other information that is relevant, 6.6.8.2 When the object of the certification is a module (such as GSM, WiFi, Bluetooth and others that can be homologated) for use in finished products, the following sentence must be included in the Certificate of Conformity: "Unfinished product, for internal use, whose integration other equipment subject to homologation may require a new assessment". 6.6.8.3 For products subject to SAR tests and if the tests are exempted, the OCD must inform the reason for the exemption in the certificate, as the case may be: | if the product is not intended for portable use, it must affix the following sentence: "SAR test not applicable: the equipment is not a portable terminal’; jon power is equal to or less than 20 mW, it must affix the following. SAR test not applicable: the equipment has an average power emitted in an average time of 6 (six) minutes equal to or less than 20. mW and the peak emitted power is less than 20 W"; IIl-if the use of the product guarantees a distance greater than 20 cm from the user's body, the following sentence must be affixed: "SAR test not applicable: equipment used ‘more than 20m from the user's body"; IV- if the product operates at a frequency below 300 MHz or above 6 GHz, it must affix the following phrase: “SAR test not applicable: The equipment operates at a frequency below 300 MHz or above 6 GH2”; and V - ifthe product is unfinished, it must affix the following sentence: "SAR test not applicable: unfinished product, for internal use, whose integration in other equipment may require 2 new evaluation". 6.7 OCD TRANSFER 6.7.1 The transfer of OCD may occur at any time upon request by the interested party and must be requested directly on Anatel's computerized system. 6.7.2 When changing the OCD responsible for conducting the product certification process, the new Body must verify the entire process previously carried out and issue RACT and a new Certificate of Conformity, since, as of the date that the Change of the Certification Body is made, the new OCD becomes responsible for the process. 6.7.3 Upon receiving the declaration issued by the Applicant requesting the transfer of OCD, the Body responsible for the previous certification must make available to the new OCD, within the period of 7 (seven) working days, the following documents: \- technical specifications; ll-schematics or declaration of non-availability, when applicable; IIl- internal photos; 'V - Test report(s); \V-copy of the information from the record of occurrences and corrective actions, as recorded in the last RACT issued by the OCD responsible for the previous certification; and VI- other pertinent documents considered fundamental to the previous process. WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT Ce cunac ee) <= LA ° = zm re Ce sg eer iet oy Freee) 6.7.4 lf the OCD change occurs within the period foreseen for maintaining the certification, the new OCD must carry out the entire procedure for that purpose. Anatel shall verify the documentation submitted and, if it is in compliance, will issue a new Homologation Certificate, keeping the same homologation code. 6.7.5 The date of issue of the original certificate must be considered for determining the validity period of the new Certificate of Conformity, 6.7.6 if an irregularity is found in the previous process, Anatel must be notified by the new OCD in order to take the appropriate measures. 6.8 MAINTENANCE OF CERTIFICATION 6.8.1 The OCD shall promote periodic assessments for the purpose of maintaining the certificate, according to the conformity assessment model for the type of product contained in the Reference List of Telecommunications Products, or at any time, in the case of technical changes implemented by the manufacturer of the product and forwarded to the OCD by means of the model of "Communication of Change in Approved Product’, 6.8.1.1 Periodic assessments must be submitted through the product's Certificate of Conformity validation process. 6.8.2 When assessing maintenance of certification, the following must be observed, when applicable: |- the tests foreseen in laboratories, following the order of priority for laboratory selection; and II-the evaluation of the factory management system. 6.8.2.1 Fora new assessment of the factory management system, the items to be considered, for the purpose of maintaining the product certificate, are those described in item 6.4 of this Procedure, 6.8.3 Due to the maintenance of certification, at least the following documents must be attached to the process: | manufacturer's declaration regarding the alteration of the product and the manufacturing. process, according to the " Declaration of Maintenance" model; II- updated photos, as established in the homologation application; Ill- assessment of the factory management system, when applicable; IV - Technical Conformity Assessment Report - RACT; and V- other documents related to the process, 6.8.4 Laboratory tests, intended to maintain certification, when applicable, must demonstrate compliance with the minimum technical requirements applicable to each type or family of products. 6.8.4.1 Electrical safety tests should always be performed on products, when applicable. 6.8.4.2 The technical requirements whose evaluation showed non-compliance during the initial certification process, or in maintenance, must be re-evaluated and evaluated in periodic maintenance after the occurrence, when applicable, |- itis up to the OCD specialist, responsible for conducting the product's conformity assessment, to determine which tests should be done again after the changes are implemented. 6.8.5 If there is a change in the technical requirements applied to the product, such changes must be observed during the period of maintenance of the certificate, except when the term for the validity of these requirements is established in technical standards published by Anatel. WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT E etna NCE Cte Cente MKS COMPLIA Freee) 6.8.6 The maintenance of products intended exclusively for technical assistance or guarantees must be carried out with the presentation of the following documentation: |- declaration by the certification applicant stating that the product is no longer manufactured for retail commercialization purposes, that items in stock or in production maintain the same technical characteristics that fundament the previous certification process, and that they are intended exclusively for the purposes described in the caput; and II- presentation of the factory management system certificate, in case of change or inclusion of a factory unit 6.8.6.1 The declaration informed in item | of the caput replaces the presentation of the documents contained in items 6.8.3 and 6.8.4, 6.8.6.2 The following sentence must appear on the product's Certificate of Conformity: “This certificate does not apply to the commercialization of the product at retail, but is intended exclusively for technical assistance or compliance with guarantees to the consumer" 7. TYPES OF PRODUCTS FOR TELECOMMUNICATIONS AND TECHNICAL REQUIREMENTS APPLIED. 7.1 The Reference List of Products for Telecommunications, available on Anatel's website, determines the types of products whose certification is mandatory and may be updated whenever the regulation so requires or when new technologies justify it, at Anatel's discretion. 7.2 The types of products are segmented in the Reference List of Products for Telecommunications, according to the similarity of the technical requirements and the application for which they are intended. 7.3 The technical requirements and test procedures applicable to conformity assessment must provide for the criteria for the constitution of families of product models within the Certification Process, which must be observed by the OCD in the conformity assessment process. 7.4 The technical requirements applied in the conformity assessment for each type of product will be approved by Anatel through Acts, which may be gradually replaced or changed with the inclusion or exclusion of requirements, as the Agency's regulations so require. 7.5 Itis up to the OCD to observe the guidelines established in the Operational Procedure for Technical Change in Telecommunications Product Approved by Certificate of Conformity or by Declaration of Conformity for the Purpose of Commercialization whenever there is an update in the version or in the configuration of the design of the product, as well as assessing the impacts of changes in maintaining the compliance with the technical requirements applicable to the product. 8. FINAL PROVISIONS 8.1 All documentation resulting from the conformity assessment must be made available on Anatel's, computerized system. 8.2 The models of the forms "Declaration of Maintenance" and "Communication of Change in Approved Product" are available on Anatel's website. WWW.MASTER.ORG.BRNATIONAL AGENCY OF TELECOMMUNICATIONS Operational Procedure ACT etna <= x A zm re Ce sg eer iet oy ° = Freee) 8.3 The OCD can anticipate the product approval code at the request of the Applicant, and must formally communicate it about the code generated by Anatel's computerized system. This communication must Clearly state the responsibility for the use and limitations of the early approval code, that the use of the early approval code does not generate the right to commercialize or use the product until the process has been completed with the issuance by Anatel of the respective Homologation Certificate. 8.4 The Memoranda of Understanding established between the OCD and intemational organizations must observe the instructions contained in the Operational Procedure on Mutual Recognition Agreements established within the scope of Anatel. 8.5 The rules of the activity carried out by the OCD and the Testing Laboratory in the Market Surveillance Program are dealt with in the Operational Procedure for Conducting Market Surveillance Activities. 8.6 The operational and specific guidelines, complementary to this Procedure and already released by the competent Management of Anatel, remain in force and must be observed by the OCD in the conduct of its activities regarding the conformity assessment process. 87 Omissions in this Procedure will be resolved administratively by the competent Management of Anatel. WWW.MASTER.ORG.BR~ MORE.INFORMATION master @maste paste. org.br z > ra 5 ar