Tradvolt Process · SOP · B2B

CE Technical-File Compilation SOP — CN→KZ Corridor (Vertical Solar BoS)

A repeatable SOP for assembling the Conformité Européenne (CE) Technical File used on vertical-solar Balance-of-Systems (BoS) shipments from China (CN) to Kazakhstan (KZ). Owners, inputs, outputs, and a "done-when" gate are defined for each step.

Process / SOP Vertical Solar Balance of Systems CN → KZ CE Marking

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1. Purpose and scope

This Standard Operating Procedure governs the compilation of a CE Technical File for vertical-solar BoS hardware moving on the CN → KZ corridor. The corridor combines CE-compliant European-market goods with shipments into a Customs Union (EAEU) jurisdiction where local conformity assessment and translation may also be required.

Vertical-solar BoS scope includes, but is not limited to:

The final lane falls under the EAEU Customs Union framework administered through the Eurasian Economic Commission and national customs authorities. [Claim | Src: Eurasian Economic Commission | URL: https://eec.eaeunion.org/en/ | accessed 2026-09-21]

Scope note (initiation). Every reference to "the asset" below means a single BoS ship-set under one Tradvolt project code. Re-export and used-item exclusions follow the relevant customs code on the day of declaration.

2. Applicable frameworks (named, allow-listed)

#FrameWhere it applies
F-01EU CE framework (Machinery, Low Voltage, EMC, RoHS, RED as applicable)Pre-shipment integrity check at the OEM and at Tradvolt desk
F-02IEC/EN harmonised standards for PV components (e.g., IEC 62852, IEC 62930, IEC 61537 series where relevant)Standard map inside the Technical File
F-03UL standards where the OEM quotes them on the datasheet (for record only)Cross-reference appendix when cited by the OEM
F-04ISO 2859-1 sampling-by-attributes (AQL) for AQL-gated acceptance of pre-shipment lotsHold-point before stuffing; record the AQL level on the inspection sheet
F-05ICC Incoterms® 2020 — used to declare the point of risk transfer in the dossierCommercial invoice and pre-shipment cover sheet
F-06FIATA multimodal documents (FIATA Bill of Lading / Forwarding Instructions) and CIM/SMGS rail consignment notesForwarding pack used on the lane
F-07National customs portal of the destination (e.g., State Revenue Committee of Kazakhstan)Pre-arrival declaration and duty block

Citation policy: factual statements in the body carry a [Claim | Src: NAME | URL | accessed 2026-09-21] row in the table below. Sources come only from the allow-list above (OEM service manuals/datasheets, IEC/UL/CE, ISO 2859-1, ICC Incoterms 2020, FIATA documents, official customs portals). [Claim | Src: Tradvolt Editorial Standard | URL: https://www.tradvolt.com/editorial-standards/ | accessed 2026-09-21]

3. SOP — step sequence

Process flow. Each step has one named owner, named inputs, named outputs, and a single explicit "done-when" gate. Counting is reset to 1 only at SOP initiation.

Step # Action Owner Input doc Output doc Done-when
1 Scope and product classification. Define items in scope and the applicable CE directives (e.g., Low Voltage, EMC, RoHS, Machinery where moving parts exist). CE Lead Project kickoff brief, BOM extract TV-CE-S01-scope.docx BOM is frozen and directives list is signed by the CE Lead.
2 Collect OEM technical documentation. Pull datasheets, manuals, ratings, drawings, and test summaries for every component in the BOM. Technical Buyer BOM extract, OEM contact list TV-CE-S02-oem-pack/ Every BoS line has an OEM-issued PDF dated within the last 24 months or a dated note that a re-issue is not required.
3 Apply harmonised standards. Map each component to the relevant IEC/EN standard listed in the OJEU for the directive in scope. CE Lead TV-CE-S02-oem-pack/ TV-CE-S03-standards-map.xlsx Each BOM line carries at least one named, current, published standard reference and a justification if none applies.
4 Draft Risk Assessment. Build a directive-driven risk file addressing foreseeable misuses across transport, install, and service life. Risk Engineer TV-CE-S03-standards-map.xlsx TV-CE-S04-riskfile.docx Each hazard has a severity × probability rating, a control, and a residual-risk entry.
5 Compile Technical File contents. Assemble the structure used by EU Notified Bodies: cover, scope, design info, standards, risk, test, manufacturing, and labels. CE Lead TV-CE-S04-riskfile.docx, OEM pack TV-CE-S05-techfile.pdf Index matches section count, every page is bookmarked, and the file is a single PDF.
6 Internal peer review. Run the second-engineer check against the OEM datasheet-accuracy checklist. Second Engineer TV-CE-S05-techfile.pdf TV-CE-S06-reviewlog.xlsx All blocking items are closed; non-blocking items are listed with owners and dates.
7 Declaration of Conformity (DoC). Issue a signed DoC referencing the directives, harmonised standards, and manufacturer/authorised representative information. Authorised Representative TV-CE-S05-techfile.pdf, signatory list TV-CE-S07-doc.pdf DoC carries the correct project code, date, place, printed name, and signature.
8 CE marking application check. Verify permanent, visible, legible CE marking per Annex I and that visible markings match the file. QA Inspector TV-CE-S07-doc.pdf, marking drawing TV-CE-S08-marking.pdf A representative sample of units carries the marking; photo evidence is saved with the file.
9 Translation and notarisation (when applicable). Translate user-facing docs for the destination; handle consularisation or apostille where the importer requires. Localisation Officer TV-CE-S05-techfile.pdf TV-CE-S09-translations/ Translated coversheets are attached; the importer confirms the language set in writing.
10 Pre-shipment dossier pack. Combine the file with commercial invoice, packing list, Incoterms® 2020 code, and any FIATA multimodal documents. Document Controller TV-CE-S07-doc.pdf, shipping pack TV-CE-S10-dossier.zip Every filename in the pack matches the SOP checklist and file count equals the checklist count.
11 Forwarder / telex release coordination. Hand over the dossier to the forwarder for telex release, CIM/SMGS rail consignment note, or sea AWB/BL handling. Logistics Coordinator TV-CE-S10-dossier.zip TV-CE-S11-handovernote.pdf Forwarder acknowledges receipt of the dossier and the destination office accepts the pre-arrival filing.
12 Archival and retention. Archive the file under the Tradvolt project code for the period required by the relevant directive (commonly 10 years). Document Controller TV-CE-S10-dossier.zip TV-CE-S12-archiveentry.json Archive entry exists in the DMS with retention date and access rights set.

4. Document checklist (literal filenames)

Filenames below are the literal names carried by the dossier. Do not rename files between trades; this rule keeps the archive consistent across projects.

#Literal filenamePurposeRequired?
D-01TV-CE-S01-scope.docxScope and directive listYes
D-02TV-CE-S02-oem-pack/ (folder)OEM datasheets, manuals, test summariesYes
D-03TV-CE-S03-standards-map.xlsxIEC/EN mapping per componentYes
D-04TV-CE-S04-riskfile.docxRisk AssessmentYes
D-05TV-CE-S05-techfile.pdfCompiled Technical FileYes
D-06TV-CE-S06-reviewlog.xlsxPeer review logYes
D-07TV-CE-S07-doc.pdfDeclaration of ConformityYes
D-08TV-CE-S08-marking.pdfCE marking photo evidenceYes
D-09TV-CE-S09-translations/ (folder)Translated coversheets and consentsConditional — when importer asks
D-10TV-CE-S10-dossier.zipPre-shipment packYes
D-11TV-CE-S11-handovernote.pdfForwarder acknowledgementYes
D-12TV-CE-S12-archiveentry.jsonDMS archive entryYes

5. Timeline and dependencies

StepIndicative durationHard predecessorNotes
1 Scope1 working dayNoneConfirm BOM is complete before kickoff
2 OEM pack2–4 working daysStep 1Stagger by BOM line to reduce wait time
3 Standards map1 working dayStep 2Hold for at least one published standard per line
4 Risk file2 working daysStep 3Hazard catalogue may draw on past projects
5 Compile Tech File2 working daysSteps 3 and 4Single PDF only
6 Peer review1 working dayStep 5Blocking findings cause re-work on Step 5
7 DoC0.5 working dayStep 6Signatory must be on the Authorised Representative list
8 Marking check1 working dayStep 7Sample at the warehouse; apply ISO 2859-1 AQL pick
9 Translation2–5 working daysSteps 5 and 7Conditional — only when importer requests it
10 Dossier pack0.5 working daySteps 7, 8, 9Filename checksum run before handoff
11 Forwarder handover0.5 working dayStep 10Pre-arrival filing submitted on the official portal
12 Archive0.25 working dayStep 11Retention date set per directive

Durations above are indicative and depend on the BOM size, language mix, and the destination authority workload on the day of filing.

6. Cost and duty block

Duty / HS code block (R5 placeholder).

Disclaimer. The HS code, the duty rate, and any VAT treatment for vertical-solar BoS shipments are not hard-coded in this SOP. They are confirmed at the moment of entry by the licensed declarant using the official portal above and the applicable EAEU ETT/TN VED schedule. Re-export, second-hand, and project-relief regimes are out of scope of this placeholder and must be handled case by case.

Where cost fields appear in the wider process (e.g., declaration fee, sampling visit, notary) they are marked indicative or UNCERTAIN in the working spreadsheet kept under TV-CE-S10-dossier.zip. They are not contractual until confirmed in writing in the corresponding quote. [Claim | Src: ICC Incoterms® 2020 — placement of costs | URL: https://iccwbo.org/business-solutions/incoterms-rules/incoterms-2020/ | accessed 2026-09-21]

6.1 AQL hold-point

Pre-shipment lots use sampling-by-attributes per ISO 2859-1. The AQL level for the marking check (Step 8) and the visual fit check at stuffing is recorded on the inspection sheet. [Claim | Src: ISO 2859-1 (sampling by attributes) | URL: https://www.iso.org/standard/114654.html | accessed 2026-09-21]

6.2 Documents used on the lane

Multimodal transport uses the FIATA Forwarding Instructions / Bill of Lading, or rail consignment notes (CIM/SMGS) where applicable. [Claim | Src: FIATA — multimodal documents | URL: https://fiata.org/what-we-do/fiata-documents/ | accessed 2026-09-21]

7. Roles (RACI shorthand)

RoleStep responsibilities
CE Lead1, 3, 5
Technical Buyer2
Risk Engineer4
Second Engineer6
Authorised Representative7
QA Inspector8 (with AQL log)
Localisation Officer9
Document Controller10, 12
Logistics Coordinator11

8. Inheriting records (named-source claim row)

ClaimSource (name)URLAccessed
The CE marking framework is administered at EU level across multiple directives; specific obligations change per directive and per harmonised standard edition.European Commission — CE marking (overview)https://single-market-economy.ec.europa.eu/single-market/ce-marking_en2026-09-21
Sample-by-attributes plans for pre-shipment inspection at Tradvolt are taken from ISO 2859-1.ISO 2859-1 (Sampling procedures for inspection by attributes, Part 1)https://www.iso.org/standard/114654.html2026-09-21
The point of risk transfer and the cost split stated in the dossier follow the named Incoterms® rule.ICC Incoterms® 2020https://iccwbo.org/business-solutions/incoterms-rules/incoterms-2020/2026-09-21
Transport documents used on this lane may include FIATA Forwarding Instructions / Bill of Lading, or CIM/SMGS rail consignment notes.FIATA — Documentshttps://fiata.org/what-we-do/fiata-documents/2026-09-21
The EAEU Customs Union is the regulatory home for the CN → KZ movement of goods.Eurasian Economic Commissionhttps://eec.eaeunion.org/en/2026-09-21
The official customs portal of the destination is the State Revenue Committee of Kazakhstan.State Revenue Committee of Kazakhstan — official portalhttps://www.kgd.gov.kz/en2026-09-21
Selected BoS components have OEM-rated standards on their datasheets (e.g., PV connectors under IEC 62852). The exact edition current on the day of declaration is named on the file.IEC 62852 (PV connectors, datasheet references)https://webstore.iec.ch/publication/68302026-09-21
PV cable ratings are commonly referenced to IEC 62930 on OEM datasheets.IEC 62930 (PV DC cable)https://webstore.iec.ch/publication/309472026-09-21
Where an OEM quotes a UL standard on the datasheet, that standard is included for cross-reference only.UL (UL standards, cross-reference)https://www.shopulstandards.com/2026-09-21

9. RFQ and downloadable checklist

Request Quote — replies in 48h Download checklist (PDF)

The RFQ opens a pre-filled email (mailto) so the first message lands at [email protected] with subject and project body pre-populated. The download opens the hosted Tradvolt checklist. If the link 404s, the on-call document controller re-uploads to /downloads/ before the page stays in production.