American Express POS Certification Participant Program Requirements Guide Amex Req V0.5
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American Express POS Certification Participant Program Requirements Guide Version 0.5 February 29th 2016 The policies, procedures, and rules in this manual are subject to change from time to time by American Express Global Network Services. © 2016 American Express Travel Related Services Co., Inc. All Rights Reserved Page | 2 Document Change Control Date 10/2013 11/2013 02/2014 01/2015 02/2016 Page | 3 Version V0.1 V0.2 V0.3 V0.4 V0.5 Change Description Initial release Added URL for Certification Portal Added Record of Amendments Section Removed Program enrollment Fee Added to Abbreviations and Terminology Used section. Expanded scope to POS Vendors and Certification Labs. Added Support for Approved Host Simulators. Updated Waiver Process section. Updated Portal Registration process. Added acceptance of Program Terms and Conditions through Certification Portal New User Registration process. Table of Contents Document Change Control ........................................................................................................... 3 Table of Contents .......................................................................................................................... 4 Preface ........................................................................................................................................... 6 Abbreviations and Terminology Used .......................................................................................... 8 Related Documents ...................................................................................................................... 11 1 2 Overview of the POS Certification Participant Program ....................................................12 1.1 What is the POS Certification Participant Program? ..................................................12 1.2 Benefits of Becoming a POS Certification Participant ...............................................13 1.3 How to Achieve POS Certification Participant Accreditation.....................................13 1.4 Conditions to Remain in the Program ......................................................................... 14 Requirements of the POS Certification Participant Program............................................15 2.1 Terms and Conditions ...................................................................................................15 2.2 Program Fees .................................................................................................................15 2.3 Relationship with Merchants ........................................................................................15 2.4 Training Responsibilities .............................................................................................. 16 2.5 Device Certification / Recertification Criteria ............................................................ 16 2.6 Certification Test Tools Overview ................................................................................ 17 2.7 Host Simulator Test Tools ............................................................................................ 17 2.8 Card Simulator Test Tools ............................................................................................ 17 2.9 Physical Test Cards .......................................................................................................18 2.10 Card / Device Logging Test Tools ................................................................................18 2.11 Test Plan Evaluation Test Tools....................................................................................18 2.12 Test Tool Upgrade Requirements.................................................................................18 2.13 Requesting Approval of Test Tools ..............................................................................18 2.14 Executing Certification Test Plans .............................................................................. 19 2.15 JCB Certification ........................................................................................................... 19 2.16 Waiver Process.............................................................................................................. 19 2.17 Device Registration via Certification Portal ................................................................ 20 2.18 Level 1 and Level 2 Type Approvals ............................................................................. 20 2.19 Card and Device Interaction Logs ................................................................................21 2.20 Device Transaction Receipts .....................................................................................21 Page | 4 3 2.21 Registration Acceptance or Rejections ........................................................................21 2.22 Notification of Rejection for POS Device ................................................................. 22 2.23 Letter of Approval for POS Device ........................................................................... 22 2.24 Production Keys and Parameters ............................................................................ 22 2.25 Notification of Changes to Tools or Operational Environment.............................. 22 2.26 Encountering Issues with a POS Device in Production .......................................... 22 2.27 Inquiry Support and Resolution ............................................................................... 23 2.28 Compliance Violation Reviews ................................................................................. 23 2.29 Documentation Retention ........................................................................................ 23 Enrollment and Accreditation Process ............................................................................... 24 3.1 Participant’s Accreditation Checklist.......................................................................... 24 3.2 Accreditation Lifecycle ................................................................................................. 24 3.3 Initiate Enrollment with Program Support .................................................................. 25 3.4 Attend the Program Kick-off Meeting ......................................................................... 25 3.5 Obtain Approved Certification Tools ........................................................................... 25 3.6 Develop Internal Processes and Train Staff ............................................................... 25 3.7 Accept Terms and Conditions ..................................................................................... 25 3.8 Demonstrate Certification Proficiency ....................................................................... 26 3.9 Receive Certification Participant Accreditation ......................................................... 26 3.10 Maintain and Active Accreditation .............................................................................. 26 Page | 5 Preface Organization This guide contains the following sections: Overview of POS Certification Participant Program Requirements of the POS Certification Participant Program Enrollment and Accreditation Process Purpose of this Guide The purpose of this guide is to outline the process for becoming an American Express POS Certification Participant and to publish the requirements for conducting certification in compliance with the POS Certification Participant Program. Intended Audience This document is intended for entities interested in a self directed alternative to certify POS devices to accept American Express® chip card transactions. Program Scope and Definition The Program is a self directed POS device certification option available to Applicants who have achieved accreditation by demonstrating the ability to conduct certifications and comply with Program requirements. To be eligible for the Program, the Applicant must process, or support a customer that processes American Express Card transactions with the American Express network using one of the message formats listed below. The Program supports the below POS device type Certifications. Supported Message Formats GCAG APACS40 GEDC APA Page | 6 POS Device Certifications AEIPS Expresspay Page | 7 Abbreviations and Terminology Used Term Definition Applicant An entity in scope of the Program who wishes to participate in the Program and initiates necessary enrollment process as further described in this Guide. Accredited Participant A Conditional Applicant who has received an Accreditation from American Express after successful completion of the Enrollment Phase, the Proficiency Review Phase and is in compliance with all requirements of the Program while in Active Accreditation Phase. AEIPS American Express ICC (Integrated Circuit Card) Payment Specifications. American Express Test System (ATS) The American Express Test System (ATS) is an American Express Host Simulator approved for use in the Program. AXP Abbreviation for American Express used in diagrams. Card Any card, account access device, or payment device or service bearing American Express’s or American Express’s Affiliate’s names, logos, service marks, trademarks, trade names, taglines, or other proprietary designs or designations and issued by an Issuer or (ii) the unique identifying number that the Issuer assigns to the Card when it is issued. Chip Card Card with an embedded chip containing AEIPS (contact) and/or Expresspay Contactless Card applications and Mobile Payment Application that, when used at a Chip Card- enabled POS Device, interacts with the POS Device to initiate AEIPS or Contactless Card transactions. Conditional Participant An Applicant whose device registration requests are being reviewed under the Proficiency Review Phase. Contactless Card A Chip Card that communicates with a POS Device through a radio frequency interface, usually through a wave or tap of the card on a designated area of the POS Device. Page | 8 EMVCo EMVCo, LLC, a company owned by American Express, JCB, MasterCard and Visa, that manages, maintains, and enhances the EMV Integrated Circuit Card Specifications to ensure global interoperability of chip-based payment cards and acceptance devices, including point of sale (POS) devices and ATMs and establishes and administers testing and approval processes to evaluate compliance with the EMV Specifications. Expresspay The payment program currently known as “Expresspay” developed by or for American Express and its affiliates that enables account holders to make purchases by transmitting American Express Card transaction information wirelessly from a supported device to a contactless reader. Issuer Any entity (including American Express and its Affiliates) licensed by American Express or an American Express Affiliate to issue Cards and to engage in the Card issuing business JCB Japan Credit Bureau Mobile A Near Field Communications (NFC) device, such as a mobile phone, that implements an Expresspay payment application. Mobile Payment Application A mobile payment application which is used with a mobile device to communicate with a POS Device for conducting transactions. POS Point of Sale POS Device An electronic device that is used for verifying and processing credit card / mobile transactions. Program Representative An American Express representative that supports training, enrollment, and questions related to the Program. Program The American Express POS Certification Participant Program, described in this guide. Requirements All applicable requirements, specifications and standards provided to Participant, including the POS Certification Participant Program Requirements Page | 9 Guide, and Specifications, as such Requirements may be amended by AMEX from time to time. Specifications Page | 10 AEIPS Card Specifications, Expresspay Specifications, and other specifications as stated in the POS Certification Participant Program Requirements Guide. Related Documents American Express Documentation – (latest versions) AEIPS Card Specification AEIPS Implementation Guide AEIPS Terminal Specification Global AEIPS Terminal Certification Test Plan Global Expresspay EMV Terminal End to End Test Plan Expresspay Terminal Specification Global Credit Authorization Guide Terminal Parameters Document EMV Integrated Circuit Card Specifications for Payment Systems Application Independent ICC to Terminal Interface Requirements — Book 1 Security and Key Management — Book 2 Application Specification — Book 3 Cardholder, Attendant, and Acquirer Interface Requirements — Book 4 JCB Documentation Terminal Check for Implementation Appendix B: Test Cases Appendix D: Terminal Parameters Appendix E: Terminal Check for Implementation (TCI) Report POS Certification Participant Program Training ATS User Guide Certification Portal User Guide Page | 11 1 Overview of the POS Certification Participant Program 1.1 What is the POS Certification Participant Program? The Program allows an Accredited Participant to self-certify POS devices to accept American Express® chip card transactions. The Accredited Participant will conduct certification testing and evaluation of POS devices with tools approved for use in the Program. After completing the certification test plan and receiving expected outcomes with respect to each device, the Accredited Participant will submit the certification results and other required documentation to American Express. American Express will review the submitted documentation and if verified as accurate, may issue the Accredited Participant a Letter of Approval for the particular device submitted for registration. The Participant is required to continually meet any updates to the Program requirements in order to remain an Accredited Participant in the Program. Page | 12 1.2 Benefits of Becoming a POS Certification Participant American Express is focused on optimizing the quality of certifications and efficiency of the EMV certification process through the Program. The benefits of becoming an Accredited Participant include greater flexibility and control of the EMV certification process, specialized support and access to advanced certification tools. The Accredited Participant will receive reasonable training materials and documentation for the Program. American Express has developed a set of certification tools to support the Program, as well as a process for approving additional tools created by external vendors. The goal of the Program is to streamline the EMV certification process and provide for automation wherever possible. 1.3 How to Achieve POS Certification Participant Accreditation To achieve accreditation, an Applicant will progress through 3 phases of the Program – Program Enrollment Phase, Proficiency Review Phase, and Active Accreditation Phase. Program Enrollment Phase: Applicants who desire to become Accredited Participants of the Program will initiate the Enrollment Process as indicated in Section 3 of this Guide. Upon receipt of a request from Applicant, the Program Representative will work with the Applicant to convey the prerequisites and Program requirements. The Applicant will select certification test tools approved for use in the Program and establish internal processes to conduct certifications in accordance to Program requirements. The Applicant must accept Program Terms and Conditions to complete the Enrollment Phase. When the Applicant is confident with its ability to execute and validate the certification tests, it will request to begin the Proficiency Review with the Program Representative. Upon completion of the Enrollment Phase an Applicant is deemed a Conditional Participant and will move to the Proficiency Review Phase. Page | 13 Proficiency Review Phase: While in the Proficiency Review Phase, the Conditional Participant will submit only one device certification registration for review at a time. The Conditional Participant will complete the certification and submit the device registration to American Express via the Certification Participant portal as referred to in this Guide below. The Program Representative will analyze the certification results and accept or reject the Conditional Participant’s device registration. If rejected, the Conditional Participant will receive a Notification of Rejection that contains the reason for rejection. The Conditional Participant may correct the rejected registration and re-submit for American Express’ review. If device registration is accepted, American Express will provide a Letter of Approval for the device. The Conditional Participant will continue to participate in the Proficiency Review Phase until American Express determines in its sole discretion that a consistent number of registrations were acceptable to American Express on first submission. When the Program Representative is satisfied with the Participant’s ability to conduct certifications in accordance with the Program requirements herein, American Express, at its discretion, may approve the Participant for participation in the Program (“Accreditation”). The Proficiency Review Phase ends when the Conditional Participant receives Accreditation. Active Accreditation Phase: Upon Accreditation by American Express, a Conditional Participant is considered an Accredited Participant and will commence to operate under the Active Accreditation Phase. While operating in the Active Accreditation Phase, the Participant is free to submit any number of certification registrations. Only Accredited Participants are permitted to have multiple device registrations under review for acceptance at a time. During the Active Accreditation Phase the Accredited Participant must continue to meet all Program requirements or Accreditation may be revoked. 1.4 Conditions to Remain in the Program To remain in good standing under the Program, an Accredited Participant must maintain a consistent record of conducting certifications without errors. If errors do occur, the Accredited Participant must work with the Program Representative in good faith to rectify the issue. Changes to the certification requirements or tools may warrant training for the Accredited Participant. The Accredited Participant must always operate with approved tools and within the current guidelines of the Program in order to remain as an Accredited Participant. Accredited Participants must bear all its costs and expenses for participating in the Program and for fulfilling the Program requirements. Page | 14 2 Requirements of the POS Certification Participant Program 2.1 Terms and Conditions An Applicant must accept the Program Terms and Conditions by signing the POS Certification Participant Program Addendum, an addendum to the exiting Authorized Gateway Provider Agreement between American Express and the processor, or such other agreement that may be presented to the Applicant agreeing to comply with requirements set forth in the current version of the POS Certification Participant Program Requirements Guide as well as any future updates to the Program requirements. New Certification Participant Portal Users must accept the Program Terms and Conditions in order to complete the New User registration process. 2.2 Program Fees There are currently no program fees applicable at this time. 2.3 Relationship with Merchants Program Participants have the sole right to determine all charges and fees payable by entities to the Participant with respect to the POS devices certified under this Program, except that such charges and fees should be reasonable and comparable to the fees and charges imposed on similar services performed for other similarly situated entities. Any such fees or charges must not be prohibited by applicable law. Further, Participants must notify entities that any fees charged to such entities under this Program are charged by the Program Participant and are not imposed or required by American Express. Program Participants understand and acknowledge that if it imposes excessive charges and fees that can be reasonably understood to negatively impact the ability of an entity to accept American Express Cards, American Express may revoke its Accreditation anytime upon notice. Page | 15 2.4 Training Responsibilities The Program Representative will provide a reasonable amount of Program training materials, updates to Program requirements, and documentation that support the Program. The Participant is responsible, at its sole costs, for training its staff on the processes, certification tools, and specifications that supports the Program. The Participant staff carrying out certification activities must understand the current AEIPS and Expresspay certification process, related test cases, and the certification tools selected by the Participant. All Participant staff supporting the Program is expected to understand the requirements of the Program. 2.5 Device Certification / Recertification Criteria American Express (AEIPS/Expresspay) POS Device certification is required in the following cases: When a new terminal is selected for deployment, end-to-end testing/certification is required to insure chip-card/POS device interoperability. As otherwise designated by American Express, e.g., due to acceptance, inoperability, and non-compliance issues. In the case of an update to an existing POS device that has been previously certified for American Express AEIPS/Expresspay card acceptance. Examples of updates include, but are not limited to: Existing AEIPS/Expresspay certified POS device updated with a new EMV kernel version. Any changes to the terminal application/payment component of an existing AEIPS/Expresspay certified POS device. Existing AEIPS/Expresspay certified POS device updated with a change involving peripheral equipment (e.g., signature pad, pin-pad, or reader). For the following cases, POS Device certification is recommended: Any change, which may include changes to the gateway or the acquirer/processor network platform, involving the transaction data mapping into the American Express network. An existing AEIPS/Expresspay certified POS device that is updated with a new communication interface. Page | 16 2.6 Certification Test Tools Overview American Express approved certification Test Tools are important components of the Program. The Conditional Participant and Accredited Participant as the case may be must, at their own cost, obtain all licenses and permissions for tools that they select to use in the Program. The current list of Approved Certification Test Tool Products can be found on the Certification Participant Portal under the documents tab. 2.7 Host Simulator Test Tools American Express approved Host Simulator Test Tools are evaluated by American Express to properly simulate the American Express Host System in a testing environment. The American Express Test System (“ATS”) is an approved Host Simulator available at no cost to the Participant. The ATS evaluates the authorization message sent by the device, and displays the pass or failure of the certification test case criteria. Certification Participants wishing to use a Host Simulator other than ATS must comply with the additional requirements defined in the Host Simulators for use in the Certification Participant Program section of the Approved Solution Provider Program Requirements Guide. Certification Participants choosing to use a Host Simulator other than the ATS during certification testing are responsible for additional requirements that include, but are not limited to, ongoing maintenance to support the current version of message specifications and test plans, and support during qualification and approval of the selected Host Simulator. The Participant is responsible for all costs associated with development and required maintenance of the Host Simulator selected by the Participant. Certification Participants are not required to sign the Approved Solution Provider Program Agreement, as use of a Host Simulator in support of the Certification Participant Program requirements are inclusive of the Terms and Conditions of the Certification Participant Program Agreement. Certification testing that is conducted with a Host Simulator that is not approved by American Express will be rejected. 2.8 Card Simulator Test Tools Card Simulator Test Tools are evaluated by American Express to properly simulate AEIPS contact and Expresspay contactless test cards. Only approved Card Simulator Tools can be used in place of physical Test Cards. Page | 17 2.9 Physical Test Cards Physical Test cards may be used if used in conjunction with an approved card and device logging test tool. Only Physical Test Cards provided to a Merchant or Processor by their American Express Relationship Manager or purchased from a provider identified on the Approved Product List may be used during Certification testing. 2.10 Card / Device Logging Test Tools Card / Device Logging Test Tools capture the communication between the card and the device. A log of the card and device interaction must be submitted for each test case as part of the device registration requirements; unless the test case explicitly states that a log is not required. The Conditional Participant or Accredited Participant, as the case may be is required to review the card and device interaction log and ensure that the interaction meets the certification pass criteria. 2.11 Test Plan Evaluation Test Tools Test Plan Evaluation Tools evaluate certification test case criteria by providing analysis and a pass or fail assessment of the user validation responses and the card and device interaction. Test Plan Evaluation Test Tools help Participants by automating the test case evaluation requirements. 2.12 Test Tool Upgrade Requirements The Applicant, Conditional Participant or the Accredited Participant, as the case may be, must upgrade their certification Test Tools, at their own cost, when an update impacts certifications or important Program processes. Examples include, but are not limited to, new AEIPS or Expresspay certification test case requirements, and functionality that impact device registration capabilities. Upon receipt of notification from a Program Representative stating that an upgrade is available, the Participant must upgrade the applicable Test Tool(s) within 60 days of receipt of such notification. Notification of upgrades may be made via email or the Certification Participant portal. Certifications and device registrations that occur with outdated versions of certification Test Tools may be rejected by American Express. 2.13 Requesting Approval of Test Tools Please contact the Program Representative – Certification.Participant.Program@aexp.com to evaluate a certification test tool that is not currently approved for use in the Program. Page | 18 2.14 Executing Certification Test Plans The Conditional Participant or Accredited Participant, as the case may be is required to execute all applicable test cases as indicated in the Certification Test Plans. The AEIPS Terminal Certification Test Plan is required for all contact and dual interface capable devices. The Expresspay End to End Test Plan is required for all contactless and dual interface capable devices. The Test Plans contain instructions on how to complete the test scripts and evaluate the success criteria. The ATS User Guide provides additional instructions on how to validate the success criteria while using the ATS. 2.15 JCB Certification American Express has established a relationship with JCB of Japan, one of the largest card issuers in the world, whereby American Express is its merchant acquirer in several countries throughout the world where it generally accepts and processes JCB cards in a similar manner to American Express Cards. Accordingly, the Conditional Participant or Accredited Participant, as the case may be, must meet all pre-requisites, execute all test cases and provide all certification testing results documentation as indicated in the JCB Terminal Check for Implementation and related appendices. The Terminal Check for Implementation report and certification testing results must be submitted for acceptance as part of the device registration via the Certification Portal. The Conditional Participant or Accredited Participant must not deploy the JCB capable device in market until it receives a JCB Letter of Confirmation for the device. 2.16 Waiver Process A waiver to any pre-requisite, test case, or expected outcome requires approval by American Express. The Conditional Participant or Accredited Participant must receive approval for the waiver prior to submitting the device certification registration. The Conditional Participant or Accredited Participant can submit a waiver request through their American Express Relationship Manager. The waiver request must include the description of the waiver, reason for requesting, and the expected end date (if requesting a temporary waiver). If the waiver is approved, the American Express Relationship Manager will provide a waiver approval reference number. Test case(s) impacted by the waiver must include a waiver comment that contains the waiver approval reference number, a brief description of the waiver and the expiration date of the waiver. Please send any questions regarding the waiver process via email to a Program Representative – Certification.Participant.Program@aexp.com Page | 19 2.17 Device Registration via Certification Portal When the Conditional Participant or Accredited Participant determines that the device passes all certification test cases with the expected outcomes, the Conditional Participant or Accredited Participant must register the device with American Express. Device registration involves submitting device details and certification results in accordance with this Guide via the Certification Portal - http://certification.americanexpress.com. The Conditional Participant or Accredited Participant must submit all required device information indicated in the Certification Portal device registration page. Please reference the Certification Portal User Guide for details on the device registration process. The Conditional Participant or Accredited Participant can view the current status of the submission in the Certification Portal and will receive email notification when the submission status is updated. A Certification Letter of Approval can only be provided for devices registered through the Certification Portal. 2.18 Level 1 and Level 2 Type Approvals The Conditional Participant or Accredited Participant is required to provide the appropriate EMVCo and Expresspay terminal type approval numbers in the device registration entry in the Certification Portal. All EMVCo and Expresspay terminal type approvals must be current, and not expired or revoked. All EMVCo and Expresspay approvals must reference the same device (or device family), and kernel as the device and kernel submitted in the registration. Contact Only Devices Require: EMVCo Level 1 Contact and EMVCo Level 2 Contact approval. Contactless Only Devices Require: EMVCo Level 1 Contactless and Expresspay Level 2 approval. Dual Interface Devices Require: EMVCo Level 1 Contact, EMVCo Level 2 Contact, EMVCo Level 1 Contactless, and Expresspay Level 2 approval. Page | 20 2.19 Card and Device Interaction Logs The Conditional Participant or Accredited Participant must provide a card and device interaction log for each test case result; unless the test case explicitly states that it is not required. If the Conditional Participant or Accredited Participant is using physical test cards, it will need an approved card spy / logging tool to produce the logs. If the Conditional Participant or Accredited Participant is using an American Express approved card simulator tool, the tool is capable of producing such logs. Logs uploaded to the ATS for validation are a subset of a certification results package that is pushed to the Certification Portal upon completion of testing. When certification results are pushed from a Test Tool integrated with the Certification Portal (such as ATS), the participant is required to enter the Certification Confirmation ID in place of attaching the logs. 2.20 Device Transaction Receipts The Conditional Participant or Accredited Participant must provide a scanned copy of the transaction receipt for each test case that indicates the receipt as required evidence. Receipts uploaded to the ATS are a component of a certification results package that is pushed to the Certification Portal upon completion of testing. When certification results are pushed from a Test Tool integrated with the Certification Portal (such as ATS), the participant is required to enter the Certification Confirmation ID in place of attaching the receipts. 2.21 Registration Acceptance or Rejections American Express will review the submission and either “Accept” or “Reject” the registration in its sole discretion. If the registration is accepted, the device is issued a Letter of Approval and approved for production deployment. If the registration is rejected, the device is issued a Notification of Rejection that contains a reason for the rejection. Device registrations that are rejected may be corrected and re-submitted. If a Conditional Participant or an Accredited Participant deploys a device into production without a Letter of Approval, its accreditation may be revoked. Page | 21 2.22 Notification of Rejection for POS Device American Express will issue a Notification of Rejection for a rejected device registration. The Notification of Rejection will include the reason for rejection. It is the responsibility of the Conditional or Accredited Participant to address the reason for rejection and re-submit for acceptance. 2.23 Letter of Approval for POS Device American Express will issue a Letter of Approval for every accepted device registration. The Letter of Approval is confirmation that all testing and documentation has been completed and submitted by the Conditional Participant or Accredited Participant as required by American Express. Upon receiving the Letter of Approval, the device is permitted for production deployment. 2.24 Production Keys and Parameters Prior to deployment, a device must have all test keys removed, Production Certification Authority Public Keys (CAPK) installed, and parameters configured as expressed in the Letter of Approval. The Conditional Participant or Accredited Participant is responsible for providing the Letter of Approval to the provider of the device so they are aware of the Production Keys and Parameters requirement. The Production Keys and Terminal Parameters document can be found on the Certification Participant Portal under the documents tab. 2.25 Notification of Changes to Tools or Operational Environment Conditional Participant or Accredited Participant must notify American Express whenever there are changes to their environment used for conducting device certifications. The Conditional Participant or Accredited Participant is permitted to use any American Express approved certification tools; however, the Program Representative must be notified prior to the use of a new tool. 2.26 Encountering Issues with a POS Device in Production If the Conditional Participant or Accredited Participant becomes aware of issues in production with a device that they certified through the Program, it must notify the Program Representative. If the error was due to an improper certification completed by the Conditional Participant or Accredited Participant, a recertification and re-registration of the device is likely required. Page | 22 2.27 Inquiry Support and Resolution An acceptance of the device certification registration and Letter of Approval does not guarantee that the device will function without issue. If the Program Representative identifies a potential issue and submits an inquiry, the Conditional Participant or Accredited Participant is required to address the concern and support through resolution. The Conditional Participant or Accredited Participant must respond to an inquiry request within 5 business days, unless the Program Representative agrees in writing to a longer timeframe. If an issue is identified, the Conditional Participant or Accredited Participant must resolve the issue within a reasonable timeframe, but no later than the deadline specified by the Program Representative, to American Express’ satisfaction. 2.28 Compliance Violation Reviews A Conditional Participant or Accredited Participant that experiences compliance violations may lose accreditation and be required to demonstrate proficiency in order to re-establish accreditation. If the Conditional Participant or Accredited Participant experiences violations, the Program Representative may notify them of actions required to meet the Program requirements and maintain accreditation. 2.29 Documentation Retention The Conditional Participant or Accredited Participant is required to securely retain device type approval documents and certification results documentation for 2 years from the date an American Express Letter of Approval is received for a device. The Program Representative may request that the Conditional Participant or Accredited Participant provide certification results documentation when the device registration is incomplete or in question. The Conditional Participant or Accredited Participant must respond to the requests within 5 business days, unless the Program Representative agrees in writing to a longer timeframe. Documentation retention applies to accepted device registrations only. Page | 23 3 Enrollment and Accreditation Process 3.1 Participant’s Accreditation Checklist Program Enrollment Phase Initiate Enrollment with Program Support Attend Program Kick-off Meeting Obtain Approved Certification Tools Develop Internal Processes and Train Staff Accept Program Terms and Conditions Proficiency Review Phase Demonstrate Device Certification Proficiency Receive Certification Participant Accreditation Active Accreditation Phase Maintain an Active Accreditation 3.2 Accreditation Lifecycle Page | 24 3.3 Initiate Enrollment with Program Support Applicants are required to contact a Program Representative – Certification.Participant.Program@aexp.com to initiate the Program enrollment process. The Program Representative will confirm if the entity is eligible to participate in the Program. 3.4 Attend the Program Kick-off Meeting The Program Representative will host a meeting to review the Program requirements. The Program Representative will provide a reasonable amount of Program materials including the current list of approved certification tools, AEIPS Terminal Certification Test Plan, Expresspay End to End Test Plans, and the applicable User Guides. 3.5 Obtain Approved Certification Tools The Applicant must obtain the approved certification tools at its expense and notify the Program Representative of tools selected. 3.6 Develop Internal Processes and Train Staff The Applicant must develop internal processes and train staff to support the Program. The Applicant is responsible for ensuring that staff is trained to support the Program. All staff that supports the Program is required to understand the materials related to their job function. 3.7 Accept Terms and Conditions The signed agreement and/or acceptance of the Program Terms and Conditions through the Portal Registration Process must be submitted to American Express before the Applicant can enter the Proficiency Review phase. Page | 25 3.8 Demonstrate Certification Proficiency Conditional Participants are required to demonstrate proficiency as detailed in Section 1.3 above. 3.9 Receive Certification Participant Accreditation After the Conditional Participant demonstrates the ability to comply with the Program requirements, American Express will issue it a notification of Accreditation in writing. The notification of Accreditation indicates approval for the Accredited Participant to certify devices in accordance to the Program and register device certifications at their schedule. 3.10 Maintain and Active Accreditation The Accredited Participant must conduct certification and device registrations in accordance to the requirements of the Program. Participant Accreditation can be revoked at any time under Terms and Conditions of the Agreement. When accreditation is revoked the Conditional Participant or Accredited Participant is not authorized to register device certifications. Any device registrations under a revoked accreditation will not be reviewed and is ineligible for a Letter of Approval. If a Conditional Participant or Accredited Participant with a revoked accreditation is interested in re-joining the Program, it can request a proficiency review with a Program Representative. Re-accreditation will be offered if the Conditional Participant or Accredited Participant is able to demonstrate proficiency with all Program requirements. Page | 26
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