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Form ACC 121 Issued 3/06
American Certification Corporation
Quality Certification & Registration Services
REGULATIONS GOVERNING REGISTRATION
INSTRUCTIONS TO APPLICANTS/REGISTERED FIRMS
This document is a set of particular Regulations governing ACC’s Registration scheme for companies complying with the requirements of ISO 9001, 9002, 9003, or ISO 9001: 2000, AS-9000, AS 9100A or B or TL 9000.
These particular Regulations contain requirements which must be met by an applicant before Registration may be granted, or in order to maintain existing Registration.
These particular Regulations form an agreement between the applicant and ACC.
In order to obtain Registration, the applicant must complete the Declaration by Applicant (Form ACC 121-1 enclosed), confirming that, at the time of signing, all the requirements of the appropriate ISO 9001, 9002, 9003, (until 12/31/02) or ISO 9001: 2000, AS-9000, AS 9100A or B or TL 9000 are being met by the company, and that if granted Registration the company will comply with these Regulations.
The completed (signed and dated) copy of the Declaration by Applicant is then returned to ACC’s Certification Department, and it shall be kept in the applicant’s files.
ACC will not grant Registration, unless and until these particular Regulations have been read and agreed to as evidenced by receipt of the signed and dated Declaration by the Applicant returned to ACC.
1.0 DEFINITIONS
Throughout these particular Regulations, the following definitions shall apply:
1.1 Registered Firm
A firm that, having successfully undergone assessment against ISO 9001, 9002, 9003, (until 12/31/02) or ISO 9001: 2000, AS-9000, AS 9100A or B or TL 9000, has been listed on a Register of Firms maintained by ACC, and that has been awarded a Certificate of Registration.
1.2 Registered Firms Scheme
A scheme providing for the Registration of firms of assessed capability.
69 Winn Street Burlington, MA 01803 Tel/Fax: 781-273-4472 (877-592-5444) Email:
Page 6 of 8
Form ACC 121 Issued 3/06
American Certification Corporation
Quality Certification & Registration Services
REGULATIONS GOVERNING REGISTRATION
INSTRUCTIONS TO APPLICANTS/REGISTERED FIRMS
1.3 Registered Firm’ Symbol
A mark or symbol designated by ACC which may be used, subject to these particular Regulations, by a Registered Firm.
2.0 REQUIREMENTS
2.1 General
2.1.1 While the Registration is in force, the Registered Firm shall continue to comply with the requirements of against ISO 9001, 9002, 9003, (until 12/31/02) or ISO 9001: 2000, AS-9000, AS 9100A or B or TL 9000, and with these Regulations.
2.1.2 The Registered Firm shall notify ACC’s Certification Department of any significant changes in its organization or facilities that may lead to non-compliances with the requirements of ISO 9001, 9002, 9003, (until 12/31/02) or ISO 9001: 2000, AS-9000, AS 9100A or B or TL 9000 as appropriate.
2.2 Management Representation
2.2.1 The Registered Firm shall appoint a member of its staff to be the person responsible (their Management Representative) to ACC’s Certification and Registration Departments for the proper implementation of these Regulations, and of the requirements of the appropriate against ISO 9001, 9002, 9003, (until 12/31/02) or ISO 9001: 2000, AS-9000, AS 9100A or B or TL 9000. The person responsible shall have adequate authority within the company to exercise this function.
2.2.2 The Registered Firm shall ensure that ACC is kept informed of the name of the person responsible, and of his/her deputy, at all times.
2.3 Changes in Company Structure
2.3.1. Where organizational changes, such as a change of name and/or address, change of management, significant change of plant or facilities or change of scope within a Registered Firm affect, or appears to affect, the continued compliant operation of the company's quality system, ACC’s Registration Department shall be informed, and the VP of Registrations will review the Registered Firm’s status. In certain circumstances, this review may lead to:
a) reassessment of compliance AND
b) revocation of the old Certificate and issue of a new Certificate of Registration OR
c) revocation of the Certificate of Registration.
69 Winn Street Burlington, MA 01803 Tel/Fax: 781-273-4472 (877-592-5444) Email:
Page 6 of 8
Form ACC 121 Issued 3/06
American Certification Corporation
Quality Certification & Registration Services
REGULATIONS GOVERNING REGISTRATION
INSTRUCTIONS TO APPLICANTS/REGISTERED FIRMS
2.3.2 Where a Registered Firm changes the name and/or address of the company without any significant organizational changes, the original Certificate of Registration will be recalled, and a revised Certificate of Registration will be issued. The original Registration number will remain.
2.3.3 Where a company holding Registration is sold or comes under new management, then the Registration will, at the sole discretion of ACC’s Registration Department, be reviewed. Unless the new management subscribes in writing to the requirements of these particular Regulations and satisfies ACC’s Registration Department that all such requirements are being met, the Registration will be revoked by ACC.
2.3.4 ACC may, at its sole discretion, revoke or refuse to grant Registration to, or in respect of, any company, that becomes subject to the bankruptcy laws, or enters into liquidation, or has a receiver appointed.
2.4 Assessments by ACC
2.4.1 ACC’s Certification Department shall carry out, or have carried out on its behalf, annual surveillance or continuous monitoring (as a minimum twice annually) assessments at the Registered Firm's premises, in accordance with the Contract documented on Form ACC 135, for the purpose of verifying that the obligations imposed by Registration are being met. The Registered Firm shall permit the Auditor(s) to have full access to the premises, and to all relevant records at all times when the premises are open.
2.4.2 The frequency of such assessments shall be at the discretion of ACC’s Certification Department, but under normal circumstances shall not exceed four assessments per annum.
2.4.3 Where the assessment indications that the requirements of the appropriate against ISO 9001, 9002, 9003, (until 12/31/02) or ISO 9001: 2000, AS-9000, AS 9100A or B or TL 9000 and of these particular Regulations are not being met, ACC’s Registration Department may call for additional assessments. The cost of such additional assessments will be borne by the Registered Firm.
3.0 SUSPENSION OR REVOCATION OF REGISTRATION
3.1 SUSPENSION
3.1.1 The Registration may be suspended if the Registered Firm fails to make timely payments of the appropriate ACC Invoice(s), after the 2nd Notice is issued by ACC.
3.1.2 The Registration may be suspended if the Registered postpones or delays the scheduled surveillance or re-certification assessment more than three (3) months. See Section 8.0, FEEs.
3.1.3 The Registration may be suspended if the Registered Firm fails to take timely and appropriate action(s) to correct and preclude recurrence of major issues or a significant number of minor issues identified during any assessment after achieving Registration. The Firm will be given 60 days after the Notice of Suspension to positively resolve and have ACC verify such to preclude revocation.
3.1.4 The Registration may be suspended if the Registered Firm is found to be repeatedly misusing the ACC Certificate of Registration or its Mark in advertising, but not related to product certification claims.
3.2 REVOCATION
3.2.1 Breach by a Registered Firm of the requirements of the appropriate against ISO 9001, 9002, 9003, (until 12/31/02) or ISO 9001: 2000, AS-9000, AS 9100A or B or TL 9000 or of these particular Regulations may be treated by ACC as grounds for reviewing the Registration. ACC may, as a result of this review, revoke the Registration.
3.2.2 The Registration may be revoked if the Registered Firm fails to make timely payments of the appropriate ACC Invoice(s) after the 3rd Notice is issued by ACC. See Section 8.0, FEES.
3.2.3 The Registration may be revoked if the Registered Firm postpones or delays the scheduled surveillance or re-certification assessment more than six (6) months. If the Registered Firm’s Certificate of Registration expires during this term, ACC may issue a temporary Certificate of Registration to cover the re-certification delay period plus one month, provided that the Registered Firm has been in previous good standing, i.e. no majors and generally on-time.
3.2.4 The Registration may be revoked if the Registered Firm fails to take appropriate action(s) to correct and preclude recurrence of major issues or a significant number of minor issues identified during any assessment after achieving Registration during the term provide after the Notice of Suspension as defined in Section 3.1.3 above.
3.2.5 The Registration may be revoked if the Registered Firm continues to misuse the ACC Certificate of Registration or its Mark after ACC has issued it Notice of Suspension.
3.2.6 The Registration may be revoked immediately, without Notice of Suspension, if the Registered Firm is found to be misusing the ACC Certificate of Registration, its Mark or the Mark of ACC accreditation body to represent the certification status if its product(s).
3.3 After the revocation of Registration, the use of the Registered Firms symbol is prohibited. ACC’s Registration Department has the right to require that all materiel bearing the Registered Firms symbol be destroyed.
3.4 Following revocation of Registration, the company may seek to be re-Registered, which will be dealt with as a new application.
4.0 TERMINATION OF REGISTRATION
4.1 The Registration may be terminated by the Registered Firm at any time by giving one month's notice in writing to ACC.
5.0 APPEALS
5.1 Any client company, or individual, has the right to appeal decisions of ACC. A copy of the Appeals Procedure, ACCP-007, will be provided with the Contract Form ACC 135. Additional copies are available from ACC’s Registration Department.
6.0 CERTIFICATES OF REGISTRATION
6.1 All Certificates of Registration are the property of ACC, and shall be surrendered on request of ACC’s Registration Department.
6.2 Certificates of Registration shall not be altered in any way. Any changes to the information on the Certificate requires ACC authorization, after which the original Certificate of Registration shall be destroyed and a revised Certificate issued. The original Registration number will remain.
7.0 USE OF THE REGISTERED FIRM’s SYMBOL
7.1 Use of the Registered Firm’s symbol is restricted to ACC Registered Firms. It may only be used in respect of the named Registered Firm for the scope indicated in the Certificate of Registration, and in respect of named premises. If requested, ACC may authorize, after careful review of the special need and conditions, by its use in respect of more than one registered location.
7.2 The symbol may be used on the Registered Firm's letterheads, technical or advertising material and promotional publications. It may be displayed at suitable locations.
7.3 The symbol, not being a Mark of (product) Conformity (i.e.. a Product Certification Mark) shall not, affixed to product nor shall it be used, in any way, to imply that the mark represents product conformity. ACC reserve the right, during surveillance or continuous monitoring assessments, at the Registered Firm's premises, to verify that the obligations imposed by Registration are being met. The Registered Firm shall permit the Auditor(s) to have full access to the premises, and to all relevant records at all times when the premises are open.
8.0 FEES
8.1 The Registered Firm agrees to pay all fees associated with the Certification and Registration, and subsequent surveillance. Details of the current level of such fees are obtainable from ACC’s Certification Department. All such fees are subject to change by ACC.
8.2 All fees shall be paid within one month of the date of invoice.
8.3 Any (additional) expenses incurred by ACC, due to withdrawal or referral of the application for Registration, will be recoverable from the applicant.
9.0 Referenced Documents
Form ACC 135, General Contract
Appeals Procedure, ACCP-007
Note: Last revised to updated email address and to add the following in section 3.2.3.
“If the Registered Firm’s Certificate of Registration expires during this term, ACC may issue a temporary Certificate of Registration to cover the re-certification delay period plus one month, provided that the Registered Firm has been in previous good standing, i.e. no majors and generally on-time.”
10.0 APPENDIX I
ACC’S OVERALL CERTIFICATION AND REGISTRATION PROCESS
¨ Inquiry Received All Inquiries from any source are logged and processed according to ACCP-005, Quoting & Contract Administration.
¨ Inquiry Response Depending on the nature of the inquiry, the relevant brochures and information sheets are issued.
¨ Inquiry Follow-Up The Secretary, or a duly authorized designate, will endeavor to establish a commitment for a pre-contract/informational visit and agree on a mutually acceptable appointment date.
¨ Contract Development The VP of Certification (VP-Cert.) shall assign a trained representative to carry out all pre-contract development activity, including the initial company visit, as per procedure ACCP-005, Quoting & Contract Administration.
¨ Pre-Assessment Check If this stage is included in the contract (pre-assessment is not mandatory), this check is performed as per ACCP-003, Pre-Assessment.
¨ Documentation Review The client’s documentation - Level 1, Quality Plans and Level 2 - are system audited as per ACCP-001, Assessment Process.
¨ Certification Assessment This assessment is planned, scheduled, prepared for, and performed as per ACCP-001, Assessment Process.
¨ Corrective Action Where necessary, corrective actions may need to be confirmed as implemented, and effective before any approval recommendation is made. This is also described in ACCP-001, Assessment Process.
¨ Submission of Report When the Lead Assessor is satisfied that the client company’s quality system meets the requirements of ISO 9001, 9002, 9003, (until 12/31/02) or ISO 9001: 2000, AS-9000, AS 9100A or B or TL 9000, as appropriate, he/she will submit his/her report, and recommendations to the VP of Registration (VP-Reg.).
¨ Registration Review This review process is managed by the VP-Reg., using the services of the Registration Review Board, and is carried out as per ACCP-022, Registration Review Process.
¨ Further Corrective Where the VP-Reg., as advised by the Registration Review Board (RRB),
& Preventive Action deems it necessary or required, corrective and preventative action is requested as per ACCP-022. Follow-up evaluation may be necessary before proper recommendation for registration.