The Registrar Company

TRC Certification Process

Review, Issuance, Suspension and Withdrawal of Registrations

  1. Purpose
    1. The purpose of this procedure is to provide a system and instruction for granting, refusing, maintaining, renewing, suspending, restoring or withdrawing of registrations or expanding or reducing the scope of certification.
  2. Responsibility And Authority
    1. First Reviewer is responsible for the primary review of the technical aspects of the assessment documentation. For QMS sector audits, the review, signature and authorization is delivered to an individual not involved in the audit that has at a minimum, attended a Lead Auditor class. For EMS, sufficient knowledge requires at a minimum, a Lead EMS auditing class either commercially available or taught by a Lead EMS auditor. AQMS reviews must be done by a qualified aerospace lead auditor (AEA).
    2. The Second reviewer is responsible for issuance of a Certificate of Registration.
    3. The records of qualification shall be reviewed and approved by TRC Management.
    4. Issuance of certificates is conditioned upon a competent package of reviewers with granting of certification approval by TRC personnel.
  3. Initial Registrations
    1. TRC Operations shall prepare the Audit Review and Cert Decision based upon a review of the audit documentation from Stage 1 and Stage 2 audits and deliver the audit documentation and request for review and signature.
    2. The personnel involved in the decision for granting, refusing, maintaining, renewing, extending, reducing, suspending, restoring or withdrawing certification shall understand the applicable standard and certification requirements, and shall have demonstrated competence to evaluate the audit processes and related recommendations of the audit team.
    3. Prior to making a decision, TRC shall confirm that:
      1. The information provided by the audit team is sufficient with respect to the certification requirements and the scope for certification.
      2. Registrations cannot be processed until there is an approved corrective action plan for each open nonconformance. For QMS and EMS major nonconformances, correction and corrective action must be reviewed, accepted and verified as implemented. For QMS and EMS minor nonconformances, once the client’s plan for correction and corrective action has been reviewed and accepted, the Certificate of Registration can be issued.
      3. If implementation of corrections and corrective actions for any major nonconformance cannot be verified within 6 months after the last day of Stage 2, another Stage 2 shall be conducted prior to recommending certification.
      4. In cases of AS 9100 or related aerospace sector audits, all nonconformances must be closed and the corrective action verified as implemented and effective prior to issuance of the Certificate of Registration.
    4. Upon approval for registration TRC Operations will process the registration in accordance with Work Instruction 9-02-C.
    5. Should the registration request be refused, TRC Operations shall prepare a letter for the client stating the reason for refusal and resulting action.
    6. Any disputes or appeals arising from the results of the review for decision on registration shall be handled in accordance with Work Instruction 9-02-B.
  4. Surveillance Audits
    1. Surveillance Audits shall be processed in accordance with QSP 9-02.
    2. An administrative review is completed for each surveillance audit. It is then determined if a technical review is needed. All Surveillance audits with NCRs issued are sent to a first reviewer for full review. Reviews are also conducted for auditors that are determined high risk or if any scope extension is required as a result of the audit. Also, packages are sampled at random to ensure conformity. When a technical review is required the audit file is sent to an approved reviewer, having sufficient knowledge in the specific sector of the audit (See 2.1), who shall review the file to determine if the registration should be continued.
  5. Scope Extension/Reduction and Re-Registration
    1. Time of the Certification period shall not be extended for any reason.
    2. Extensions/reductions of scopes shall include a Document Review and an audit to verify that the processes include/exclude the scope.
    3. Re-registrations are processed in the same manner stated above for initial registrations, 3.0, with consideration to the following:
      1. Effectiveness of the system in its entirety and continued relevance to the scope of certification;
      2. Demonstrated commitment to maintain effectiveness and improvement to enhance overall performance;
      3. System contributes to achievement of policies and objectives.
  6. Restoring Certification
    1. Following expiration of certification, a client’s certification may be restored within 6 months from date of expiration provided that the outstanding recertification activities are completed within that time.
      1. If recertification activities are not completed within 6 months of expiration of certification, at least a Stage 2 audit shall be conducted.
    2. The effective date of the restored certificate shall be the recertification decision date.
    3. The expiry date of the restored certificate shall be based on the prior certification cycle.
    4. The original certification date may be kept on the restored certificate provided that the following dates are also included:
      1. The current certification cycle start and expiry dates;
      2. The last certification cycle expiry date; and
      3. The date of the recertification audit.
  7. Suspension and Withdrawal
    1. Recommendations to suspend or withdraw registration must be forwarded to the VP of Accreditation for review and approval; See WI 1-2-02-A.
    2. Failure by the client to resolve the issues that have resulted in suspension within 6 months shall result in withdrawal or reduction of the scope of certification.
    3. The OASIS database will be updated within 14 calendar days from suspension or withdrawal of a client’s certificate.
    4. Causes for Suspension
      1. TRC may, at its discretion, suspend a client certification for a period not to exceed six (6) months in the event the client is:
        1. unable or unwilling to comply with the requirements of the Program;
        2. found to be ineffectively maintaining the certified management system (identified during assessment through excessive nonconformity and/or through customer complaints);
        3. unable to meet the 12 months from certification decision requirement for the first surveillance audit after initial certification;
        4. requesting to voluntarily suspend certification;
        5. unable or unwilling to allow access to their facility/site by TRC and/or audit personnel;
        6. unable or unwilling to address environmental concerns or issues associated with the facility/site;
        7. unable or unwilling to comply with new requirements for the Program or standard;
        8. found to be in violation of the terms and rules for use of the marks and/or certificate; or
        9. unable or unwilling to meet financial obligations.
    5. Lifting of Suspension
      1. TRC will inform the client in writing of the terms and conditions for removal of suspension. When the client has fulfilled the conditions for removal of the suspension, TRC will inform the client in writing that the suspension has been lifted and all listings, if applicable, will be updated.
      2. If the client is unable to comply with the terms and conditions for removal of the suspension, the certification will be processed for withdrawal.
    6. Causes for Withdrawal
      1. TRC may, at its discretion, cancel/withdraw a Certification for any of the following reasons:
        1. The conditions for removal of a suspension have not been met;
        2. Client has been found during the audit process to have seriously abandoned the management system and withdrawal is required;
        3. Formally requested by the client;
        4. Client does not or cannot ensure conformance to new requirements of the Program or new requirements of the management system standard;
        5. Client ceases to supply the products/services under the scope of certification;
        6. Client is unwilling to meet the financial obligations of certification;
        7. Client no longer complies with the terms and conditions of the Program agreement.
  8. Upgrading/Transitioning to New/Revised Standards
    1. When upgrading to a revised standard, the client will be required to have an on-site audit conducted to verify their conformity; additional requirements from each sector will be taken into consideration when planning for the on-site evaluation (ISO, IAF, IAQG, ANAB, etc.). The client’s certificate of registration will be revised following an accepted internal review by TRC.
    2. When a client transitions from one standard to the other (i.e. ISO to AS, ISO to EMS, etc.) the client must go through the initial certification process as defined by each standard.
  9. Failure To Comply
    1. Failure to comply with changes to the system rules, suspension decisions or improper use of the registration certificate or TRC and ANAB Marks is a nonconformance and may result in the Withdrawal of a client registration.
  10. Records
    1. All records will be maintained in accordance with Quality System Procedure 16-01.