UL's ISO 14000 Registration Program Preliminary Information Form (RP-1-E)

UL's ISO 14000 Registration Program Preliminary Information Form (RP-1-E)

ISO

9001

Advanced Surveillance

and Reassessment

Procedure

Client Profile

UL DQS Inc.

QF-0907-38page1 of 3Issued: 10/1/98

Revised: 9/13/10

UL DQS Inc.’s’s Advanced Surveillance and Reassessment Procedure

The information requested within this form is essential for UL DQS Inc.to understand the operations of your organization. With it, we will determine eligibility of your company and what resources are required to offer your organization the benefits of the Advanced Surveillance and Reassessment Procedure (ASRP). Eligibility will be determined in accordance with the UL DQS Inc.ASRP procedure requirements..

Please give as much detail as possible. If a question does not apply or you cannot provide an answer, please write "N/A." If you have any questions or comments about this form, or any other aspect of the Alternate Assessment Method Program, contact:

Lou Stinson

Certification Department

voice: 803-593-8766

cell:803-740-8474

E-mail:

Following is an overview of the requirements for qualification in the Advanced Surveillance and Reassessment Procedure. Please reference “Advanced Surveillance and Reassessment Procedure Requirements” for further details. In order to meet the Eligibility Requirements of ASRP, a client must:

a. demonstrate conformance with the requirements of the applicable standard(s) for a period of at least one complete certification cycle including initial, surveillance and reassessment audits.

b. have successfully resolved all nonconformances raised during the certification cycle immediately prior to the utilization of ASRP.

c. have a documented system in place for reporting agreed upon performance indicators to the certification body, on which to judge the ongoing effectiveness of the QMS and ensure the client is consistently meeting agreed performance targets. The performance indicators shall address, as a minimum, the company’s demonstrated ability to consistently provide product that meets customer and applicable regulatory requirements (see ISO9001:2000 clause 1.1) and incorporate requirements for the continual improvement of the effectiveness of the QMS.

d. provide access to all customer satisfaction data collected or otherwise available. Should it become necessary for UL DQS Inc. to communicate directly with the source of such data in order to validate the data, mutually agreed confidentiality policies and procedures shall be applied.

e. have internal audit procedures and methodology that conform and reference ISO 19011 requirements, with particular reference to auditor competence defined in clause 7. The internal audit process shall be sufficiently coordinated and integrated so as to provide an evaluation of the QMS as a whole, not only the performance of individual components.

f. have a documented system in place for reporting internal audit findings and non-conformities to UL DQS Inc. for review and acceptance.

1.1.Name and Location of the Facility

If you are interested in Advanced Surveillance and Reassessment Program services for more than one facility, please photocopy this form or request an additional copy for each facility.

1.1.1.1.Name of facility to be evaluated:______

1.2.1.2.UL DQS Inc. BR number______

1.3.1.3.Facility address:______

(do not include P.O. boxes)

______

______

1.4.1.4.Name of Management Representative:______

1.5.1.5.Title:______

1.6.1.6.Telephone number:______

1.7.1.7.Fax number:______

1.8.1.8.E-mail address:______

2.3.Information About Your Firm

If internal documented procedures address questions 2.1 through 2.6, you may attach a copy for our review and provide a reference to the applicable document sections for each question.

2.1.3.1.Does your firm have a centrally managed Internal Audit function?

If so, please provide details on how the auditing organization interfaces with the organizations being audited (i.e., notification, reporting mechanism, responsibilities, etc.).

2.2.3.2.Please describe your organization’s centrally managed Internal auditor training and qualification criteria.

2.3.3.3.How does the centrally managed internal auditing organizations report internal audit findings to management? Please describe in detail.

2.4.3.4. Please provide a copy of your organizational chart showing the relationship between your centrally managed internal audit function and management review function.

2.5.3.5.Please provide details on the system your organization has defined for communicating internal audit results & agreed upon QMS Performance indicators to UL DQS Inc.?

2.6.3.6.What internal agreements have been established within your organization to assure non-conformities are properly addressed and resolved through a centrally managed internal audit group/review function? Please provide details.

2.7.3.7.Does this facility maintain any other registrations issued by another registrar? If so please include a copy of the Registration Certificate.

3.4.Facility Information

If there have been any changes in the following information, please provide us with updates, otherwise please go to section 5.

3.1Facility size (square footage):______

3.2Site size (acres):______

3.3Total number of employees:______

3.4Number of employees in administration:______

3.5Number of employees in the production/service departments:______

3.6Number of employees on shift work, the current number of shifts and shift times.______

4.5.Signature

Please sign below, with your title and the date. Your signature indicates, once your company is accepted into the ASRP Program, you will agree to follow all requirements of the ASRP Program. Thank you for your cooperation in completing this form.

Signature:______Date:______

Title:______

QF-0907-38page1 of 3Issued: 10/1/98

Revised: 9/13/10