Certification Process

SQA follows the same fundamental process for the following certifications: AS 9100, ISO/TS 16949, ISO 14000 Certification, and ISO 9001 Certification (previously known as ISO 9000 Certification.)

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

1. Document Review

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

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

2. Pre-assessment

   The pre-assessment is designed to prepare you for the 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 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 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 certification assessment 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. Initial Assessment; Stages 1 & 2

The quality certification assessment 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 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 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.

After certification is granted, two framed and one unframed certificate (for copying) is provided to each client. Appropriate organizations are notified of your successful certification.

4. Surveillance

   Surveillance assessments are the heart of the post-certification process. 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:

1. 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.

2. 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.

5. Re-certification

During the 3rd year of each 3-year certificate period, SQA will re-assess the management system in it entirety, but for an abbreviated amount of audit-days (typically 2/3 of the audit-days required for the initial certification). This re-assessment assures that all of the elements of the management system are working together as planned.