AS9100 Certification and Registration Process

What is the process for becoming certified in the AS9100 standard?

SQA assures you of continuity and consistency of your basic AS9100 audit by maintaining the same lead auditor throughout the document review, and certification assessment phases.

1. AS9100 Document Review

   This is the first step in assessing your quality management system and is often described as "write what you do". Your SQA auditor then compares your documented system with the requirements of the AS9100 standard. Your documentation must be approved before your quality certification can be granted. The document review is normally conducted on-site.

   We have prepared an AS9100 audit checklist to facilitate your preparation for the document review. This device is user-friendly and comprehensive, supporting our pledge of No Surprises.

2. AS9100 Pre-assessment

   The pre-assessment is designed to prepare you for the AS9100 certification assessment by identifying areas of concern and reducing the anxiety level associated with the assessment process.

   Although optional, clients overwhelmingly elect for SQA to conduct a pre-assessment. This affords you the benefit of knowing what types of things the auditor looks for in assessing the system. Further, by meeting and speaking with the AS9100 audit team, your staff will realize that we want your program to succeed and that the process is less intimidating and traumatic than you may anticipate.

   SQA offers two types of pre-assessments:

   • Desk audit:

     This is a perception audit, intending to ensure that you understand and correctly apply the AS9100 standard. Each element is addressed and you receive a written report, but there is usually limited opportunity to assess records. This option offers balance by being cost effective yet comprehensive.

   • Dress rehearsal:

     This is a mini audit, an abbreviated version of the AS9100 certification audit. Personnel are interviewed and objective evidence is gathered and evaluated by the auditor. You will experience how an audit is conducted; the auditor provides immediate feedback on your quality system. This alternative is more detailed and lengthy, but reflects what you will encounter during the certification audit. The majority of SQA clients choose this type of pre-assessment.

3. AS9100 Initial Assessment

   The quality certification assessment for AS9100 has two main goals:

   • Validating system compliance and implementation

   • Determining system effectiveness

   Note: Initial assessments are conducted in two stages. The first stage involves determining the company’s state of readiness and defining the approach and duration of the second stage.
   Prior to conducting a Quality Management System AS9100 certification audit, the following should have taken place:

   • The documented system has been reviewed and approved

   • A complete cycle of internal audits has been performed and the results covered in a formal management review

   • You know exactly what SQA will be looking for, so there should be No Surprises

   • All identified weaknesses in the system that were discovered in the pre-assessment have been effectively corrected

   • The certification assessment date, audit team makeup, and audit schedule have all been developed and agreed upon

   The entire process involves open communication. We let you know at once what we are seeing, doing, and finding. We invite your feedback and discussion. No one knows your company like you do, so we don't come in with preconceived ideas. We are open-minded and objective.

   The AS9100 audit process involves interviewing employees at all levels and reviewing records. Our purpose is to document with objective evidence the system's effectiveness. SQA holds daily wrap-up meetings to go over the events of the day and solicit further input if needed.

   At the end of the assessment, SQA conducts a closing meeting where findings and recommendation status are discussed. The entire process is intended to be value-added.

4. AS9100 Certification Surveillance

   Surveillance assessments are the heart of the post-certification process for AS9100 certification. They assure ongoing conformity, determine whether your management system remains effective and encourage continual improvement, thereby helping enhance your profitability. The last surveillance audit is always a recertification audit to ensure accreditation conformity and full assessment of the requirements.

   SQA offers two surveillance scheduling options:

   • Semi-annual surveillances are performed every six months. Certain core elements are reviewed during each visit and all elements are assessed within the three-year service agreement period. The advantage of this option is that each audit is half the duration of an annual surveillance. The majority of SQA clients select this schedule option.

   • Annual surveillances are conducted once a year. Again, core elements are reviewed each year, with all elements covered by the end of the three-year cycle. This alternative involves fewer, but longer visits. Quality Management System certificates may be renewed, provided there is no evidence of degradation of the certified management system.

5. Re-certification:

   Once every three years, during the third year of each 3-year certificate period, SQA will assess the quality management system in its entirety. The duration of this re-assessment is typically equal to about 2/3 of the audit days required for the initial assessment. By assessing the entire QMS during one assessment activity, the relationship of all the processes comprising it can be fully evaluated for effectiveness.