Publicly Available Information

1. About this document

17065 · 4.6

This document sets out the information that Carat Global Assurance Inc. (CGA) makes available to applicants, clients and any other interested party under clause 4.6 of ISO/IEC 17065:2012. It covers the certification schemes CGA operates and the rules that apply to them, how CGA is financed and how fees are charged, the rights and duties of applicants and clients, the rules for using the CGA name and certification mark, and how CGA handles complaints and appeals.

CGA provides this document free of charge to anyone who asks for it, using the contact details in section 12.

Rules issued by a scheme owner, such as IFS Management GmbH for IFS standards, apply in addition to this document. Where a scheme owner sets a stricter requirement, that requirement applies.

This document is not a contract. Certification is governed by the Certification Agreement signed between CGA and the client. Where this document and a signed agreement differ, the agreement applies.

2. CGA and its certification schemes

17065 · 4.6 a

CGA is an independent product certification body based in Tampa, Florida. It certifies food, dietary supplement, cosmetic and personal care products, processes and facilities, and operates its certification schemes in accordance with ISO/IEC 17065:2012.

CGA is accredited by ANAB to ISO/IEC 17065. Its accredited scope can be checked in the ANAB directory of accredited bodies at anab.ansi.org. CGA makes accreditation claims only for certifications that fall within that scope.

3. How certification works

17065 · 4.6 a

The steps below apply to every CGA scheme. Scheme rules may add steps or set different time limits. Where they do, CGA tells the applicant before the agreement is signed.

3.1 Enquiry and application

The applicant contacts CGA through the website, by phone or through a CGA representative. CGA sends the application form, the requirements of the relevant scheme, the rules for use of the CGA mark and information on fees. The application asks for:

• the legal entity, its contacts and the site or sites to be certified;
• the products or product groups and the scope of certification requested;
• previous certification history, including any suspension or withdrawal;
• subcontracted or outsourced processes that affect conformity;
• regulatory compliance history, complaints and recalls.

3.2 Application review

CGA checks that the information is complete, that the requested scope is clearly defined, that CGA has the competence and resources to evaluate it, and that there is no conflict of interest. Incomplete applications are returned for correction. If CGA cannot certify, it tells the applicant in writing and gives its reasons. Audit duration, and therefore the fee, is set from the scope: the number of sites, product groups, process complexity and number of employees.

3.3 Certification Agreement

The client signs CGA’s Certification Agreement before evaluation begins. The agreement sets out the obligations of both parties, the fees, the rules on use of the mark and the terms for suspension, withdrawal and termination.

3.4 Evaluation

CGA assigns auditors who are competent for the products and processes in scope and who have declared that they have no conflict of interest with the client. The client is told who the audit team is in advance and may object to a team member on reasonable grounds. Where the scheme requires it, the initial audit runs in two stages: a documentation and readiness review (Stage 1), then an on-site audit (Stage 2). Auditors gather evidence through document and record review, site inspection, interviews and sampling. At the closing meeting the audit team presents all findings and explains the next steps.

3.5 Nonconformities

CGA informs the client of every nonconformity. For each one, the client submits the root cause, the correction, the corrective action and objective evidence of implementation. Major and critical nonconformities must be closed, and the closure accepted by CGA, before certification can be granted. Time limits for responding are those of the applicable scheme and are stated in the audit report.

3.6 Review and certification decision

A reviewer who took no part in the evaluation checks the audit file. The certification decision is then made by authorized CGA personnel who also took no part in the evaluation. The decision is based only on the evidence, and commercial considerations play no part in it. CGA informs the client of the decision in writing. If certification is refused, CGA gives the reasons and explains how to appeal.

3.7 Certificate

CGA issues a certificate only after a positive decision, once all certification requirements are fulfilled and the agreement is signed. The certificate shows CGA’s name and address, the client’s name and address, the certified scope, the date of grant, the expiry date, a unique certificate number and the signature or other authorization of the responsible CGA person. Where a scheme owner mandates its own certificate format, as IFS does, that format is used.

3.8 Surveillance

Certified clients are audited at least once a year, with no more than 12 months between audits. CGA may increase the frequency where there are major nonconformities, substantiated complaints, product recalls or regulatory action. CGA may also carry out unannounced or short-notice audits where the scheme requires them or where complaints, recalls or other risks arise. Refusing access for an audit leads to suspension.

3.9 Recertification

Recertification is completed before the certificate expires, on the cycle set by the scheme (three years for ISO 22716). CGA notifies the client of the upcoming expiry in advance. If the audit or the closure of nonconformities is not completed before expiry, the certificate lapses and the renewed certificate cannot be backdated.

4. Granting, maintaining, extending, reducing, suspending, withdrawing and refusing certification

17065 · 4.6 a, 7.11

Before suspending or withdrawing certification, CGA normally gives the client notice and an opportunity to correct the problem. It does not do so where immediate action is needed to protect consumers or the integrity of the scheme. An appeal does not by itself lift a suspension or withdrawal while the appeal is being decided.

CGA updates certificates, its directory and scheme owner databases within five working days of a decision to suspend, withdraw, reduce or reinstate certification.

5. Financing and fees

17065 · 4.6 b

5.1 How CGA is financed

CGA is financed by the fees it charges applicants and clients for certification services. It receives no grants, subsidies or other outside financial support that could affect its impartiality.

CGA’s fees never depend on the outcome of certification. A client pays the same whether certification is granted or refused.

5.2 What fees are charged

Every applicant receives a written quotation before signing the agreement. A current fee schedule is available on request.

Invoices are payable within 15 days of the invoice date. Fees are non-refundable once paid, including where a certificate is withdrawn or the agreement ends. The agreement renews automatically at the end of each certification period at CGA’s then-current fee schedule unless either party gives written notice of non-renewal at least 60 days before the period ends.

6. Rights and duties of applicants and clients

17065 · 4.6 c, 4.1.2

6.1 Rights

• Access to certification on non-discriminatory terms. Access does not depend on the size of the organization, membership of any association or group, or the number of certificates CGA has already issued.
• Information on the scheme requirements, fees and these rules before applying.
• Advance notice of the audit team, with the right to object to a team member on reasonable grounds.
• Notice of every nonconformity and of what is needed to close it.
• A written certification decision with reasons.
• Notice of changes to scheme requirements that affect the client, with a reasonable period to implement them.
• Confidential treatment of information, as described in section 8.
• The right to complain and to appeal any CGA decision, as described in section 10.
• Use of the certificate and the CGA mark within the rules in section 7.

6.2 Duties

• Meet the certification requirements at all times, including changes CGA communicates, and keep certified products conforming to the current scheme requirements.
• Give CGA access to sites, equipment, records, personnel and relevant subcontractors for evaluation, surveillance and complaint investigation. Accept observers from the accreditation body or scheme owner and auditors in training, and allow unannounced audits where the scheme requires them.
• Obtain CGA’s approval before changing an ingredient, formulation, supplier, processing aid, manufacturing process, cleaning or sanitation protocol, or packaging material that affects a certified product, and before changing a contract manufacturer, co-packer or production site.
• Notify CGA without delay of changes to legal name, ownership, corporate form or control, changes of address, and any recall, withdrawal or regulatory action affecting a certified product.
• Keep records of complaints about certified products and the action taken, make them available to CGA on request, and notify CGA in writing within five business days of a complaint alleging a material nonconformity.
• Make claims only within the certified scope, and avoid any use of the certification or of CGA’s name that is misleading or could bring CGA into disrepute.
• Reproduce certificates only in full and unaltered, unless CGA agrees otherwise in writing.
• On suspension, withdrawal or termination, stop all use of the mark and of references to the certification, as set out in section 7.
• Provide accurate and complete information, and pay fees when due.

7. Use of the CGA name, certification mark and certificates

17065 · 4.6 c, 4.1.3

The CGA logo, in all its versions, is the property of CGA. It may be used only by CGA, by clients holding a valid CGA certificate, and by third parties with CGA’s written approval. CGA checks how clients use the mark and refer to their certification at audits and technical reviews.

7.1 Permitted use

• Websites, brochures, presentations and advertising that refer to the certified scope.
• Letterheads, business cards and email signatures.
• Certification documents issued by CGA.

Only the current version of the logo supplied by CGA may be used, in its original form, colors, proportions and typography. A black and white version may be used only where the rest of the material is also black and white.

7.2 Prohibited use

• On products, product packaging or labels.
• In any way that suggests CGA endorses a product, service, brand or process, or that refers to products, product lines or sites outside the certified scope.
• In misleading or false claims about certification status.
• By organizations or individuals without a valid CGA certificate.
• Altered, distorted, or combined with other logos, symbols or text in a way that implies endorsement, partnership or affiliation without CGA’s written approval.
• Registering, or attempting to register, the CGA mark or any similar mark, or contesting CGA’s ownership of it.

7.3 Accreditation and standards marks

• Clients may not use the ANAB accreditation symbol. CGA uses it only as permitted by ANAB’s policy on use of accreditation symbols and claims of accreditation status.
• The ISO logo may not be used to refer to a certification.
• ISO 22716: the certificate covers the evaluated site and its processes. It is not an approval of individual products, a claim of product safety or efficacy, or a regulatory approval, and may not be presented as one.
• IFS: IFS logos are owned by IFS Management GmbH and are downloaded from the secured section of the IFS Database. A certified site may use only the logo of the standard it is certified to, from the announcement of certification until the end of its validity. IFS logos may not appear on products, product packaging or advertising likely to reach consumers, and may appear on a website only in a section about quality management or safety. Where products are excluded from the IFS audit scope, the exclusion must be stated next to the logo.

7.4 Misuse and end of certification

CGA acts on incorrect references to a scheme and on misleading use of certificates or marks. Action can include corrective action by the client, informing the scheme owner and other interested parties, suspension or withdrawal of the certificate, publication of the misuse and legal action.

When certification expires or is suspended, withdrawn or terminated, the client’s right to use the mark ends at once. The client must remove the mark from websites, advertising, marketing materials and product listings under its control and stop distributing any new material that carries it.

8. Confidentiality and information CGA makes public

17065 · 4.5

All information CGA obtains or creates during certification is confidential, except information the client has made public or that CGA and the client agree may be disclosed. Information about a client received from other sources, such as a complainant or a regulator, is also treated as confidential.

• All CGA staff, auditors, contractors and committee members sign confidentiality commitments, and access to client records is restricted to authorized personnel.
• CGA discloses confidential information to a third party only with the client’s consent, or where law, regulation, the accreditation body or the scheme owner requires it. In those cases CGA tells the client in advance what is being disclosed, unless the law prohibits this.
• Accreditation body and scheme owner assessors may review client files under their own confidentiality obligations.

9. Impartiality

17065 · 4.2, 5.2

CGA’s top management is committed to carrying out certification impartially and objectively and to avoiding conflicts of interest. CGA is an independent legal entity. Its management does not put pressure on the people responsible for certification decisions, and it does not allow commercial, financial or other pressure from clients or anyone else to influence those decisions.

• Certification decisions are made by authorized personnel who took no part in the evaluation.
• All personnel declare any present or past relationship with a client before being assigned. No one who has provided consultancy to a client, or been employed by it, in the previous two years reviews, decides on, or resolves a complaint or appeal for that client.
• CGA does not design, manufacture or supply the products it certifies and does not provide consultancy to its clients. Findings may be explained, but CGA does not advise clients on how to correct them.
• CGA does not state or imply that certification would be simpler, faster or cheaper if a particular consultant were used.
• An Impartiality Committee with balanced representation of interested parties, in which no single interest predominates, reviews risks to impartiality and advises top management.

10. Complaints and appeals

17065 · 4.6 d, 7.13

Anyone may make a complaint to CGA, including clients, applicants, regulators, customers of certified clients, scheme owners and members of the public. A complaint can concern CGA’s audits, decisions, staff or auditors, or a product or client certified by CGA. An appeal is a formal request by an applicant or client for CGA to reconsider a decision it has made, such as refusal, suspension, withdrawal or reduction of scope.

10.1 How to submit

Complaints can be made in writing, by phone or in person, or using CGA’s Complaint Form (CGA-F-029). Appeals must be made in writing, using CGA’s Appeal Form (CGA-F-030) or by letter, within 30 calendar days of the decision being appealed. Both forms are available on request. Use the contact details in section 12.

10.2 How CGA handles a complaint

10.3 How CGA handles an appeal

Escalation. A complainant or appellant who is not satisfied with CGA’s resolution may raise the matter with ANAB (anab.ansi.org) or, for scheme-owned standards, with the scheme owner, such as IFS Management GmbH for IFS. CGA provides the contact details in writing when the case is closed.

Complaints and appeals are confidential. Details are disclosed only where the law, the accreditation body or the scheme owner requires it.

11. Directory of certified products and certificate validation

17065 · 7.8

For each certified product CGA records the product or product group, the standards and normative documents to which conformity is certified, and the certified client. Information on certified clients, their certified scope and certificate status is available from CGA on request. IFS-certified sites are also listed in the IFS Database.

Anyone can ask CGA to confirm whether a certificate is valid by providing the certificate number and the client name. CGA updates its directory within five working days of any change in certification status.

12. Contact details and revision history

Carat Global Assurance Inc. · Publicly Available Information · Revision 1.0 · Effective October 10, 2026