Certification Process

1. Certification Process Guide

STEP 01

Certification Inquiries and Applications

  • The applicant organization shall complete and submit the Certification Application Form and Questionnaire to SQC Certification.

  • Upon receipt of the application, SQC Certification conducts an application and contract review and provides the applicant with a certification proposal, including the required audit duration and audit fees, together with the certification agreement.

STEP 02

Certification Agreement

  • After reviewing the proposal, the applicant company completes the application and contract process by signing the agreement and submitting it to our certification body along with the audit fee.
  • Once the contract is signed, an audit team will be formed and notified to the applicant company. The composition of the audit team may be adjusted based on the applicant’s input.

STEP 03

Pre-assessment (Optional)

  • A pre-audit may be conducted at the request of the applicant organization.

  • The purpose of the pre-audit is to review the overall implementation status of the organization's management system prior to the certification audit and to assist in determining audit readiness. The pre-audit is optional and does not constitute part of the certification decision.

STEP 04

Initial Audit

Stage 1 Audit

  • The Stage 1 audit is conducted to review the organization's documented information and evaluate whether the management system has been adequately established in accordance with the applicable certification requirements. The audit may include an on-site visit where necessary.

  • If significant issues are identified that may affect the organization's readiness for the Stage 2 audit, appropriate corrective actions shall be completed before proceeding to Stage 2.

Stage 2 Audit

  • he Stage 2 audit is normally conducted at the organization's site to evaluate the implementation and effectiveness of the established management system and its conformity with the applicable certification standard.
    The audit plan is provided to the applicant organization prior to the audit.
    The audit team conducts the audit in accordance with the approved audit plan, applicable certification criteria, and relevant audit procedures.
    Upon completion of the audit, the audit team reviews the audit findings and issues nonconformity reports where applicable.

  • At the closing meeting, the audit team explains the audit results and any identified nonconformities to the organization's management and agrees on an appropriate timeframe for corrective actions.
    Where a major nonconformity is identified, an additional on-site follow-up audit may be required.
    For minor nonconformities, corrective actions may be reviewed through submitted documented evidence, and the effectiveness of such actions may be verified during the next surveillance audit where appropriate.

STEP 05

Certification Registration Review

  • After completion of the Stage 2 audit and verification of any required corrective actions, the final audit report and relevant certification information are reviewed by authorized personnel who were not involved in the audit.

  • Based on the review, SQC Certification makes an independent decision on whether certification may be granted

STEP 06

Issuance of Certificate

  • Certification may be granted when all identified nonconformities have been satisfactorily addressed and the requirements for certification have been fulfilled.

  • Upon approval of certification, SQC Certification issues a certificate indicating the applicable certification standard, certified scope, certified site(s), and validity period.
    The certification cycle is generally three years, subject to continued conformity with certification requirements and successful completion of surveillance activities.

STEP 07

Surveillance Audit

  • Following certification approval, surveillance audits are conducted at least once each calendar year in accordance with the applicable certification requirements.

  • The purpose of surveillance audits is to verify that the certified organization continues to comply with the applicable management system standard and certification requirements.
    The results of surveillance audits are reviewed to determine whether certification may be maintained.

STEP 08

Recertification Audit

  • A recertification audit is conducted prior to the expiration of the existing certification cycle in order to evaluate the continued conformity and effectiveness of the organization's management system.
  • The recertification audit shall be planned and conducted in sufficient time to allow the certification decision to be completed before the expiration of the existing certificate whenever possible.
    Upon successful completion of the recertification audit and certification review, a new certification cycle may be approved.

2. Certification Decisions and Certification Status

SQC Certification manages certification status based on audit results, certification reviews, corrective actions, and continued conformity with certification requirements.

Certification decisions may include:

- Granting Certification
- Maintaining Certification
- Renewing Certification
- Suspending Certification
- Withdrawing Certification
- Reducing the Scope of Certification
- Expanding the Scope of Certification
- Rejecting a Certification Application
- Reinstating Certification
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① Granting Certification

Certification is granted when the applicant organization's management system has been demonstrated to conform to the applicable certification standard and all relevant certification requirements.

Prior to granting certification, SQC Certification reviews, as applicable:

  • Audit reports and audit findings
  • Corrective actions for identified nonconformities
  • Appropriateness of the requested certification scope
  • Information required for the certification decision
  • Compliance with applicable certification requirements

Upon a positive certification decision, a certificate is issued to the organization.

② Maintaining Certification

Certification is maintained when the certified organization continues to demonstrate conformity with the applicable certification requirements.

Certification may be maintained when:

  • The management system continues to comply with the applicable certification standard.
  • Identified nonconformities have been appropriately corrected.
  • No significant issue affecting the certified scope has been identified.
  • Certificates and certification marks are used appropriately.
  • Required surveillance audits are conducted within the specified intervals.

Where necessary, SQC Certification may request additional information or conduct a special audit in order to confirm continued certification.

③ Renewal of Certification

Certification is renewed through the recertification process before the expiration of the existing certification cycle.

The recertification audit evaluates the continued conformity, suitability, and effectiveness of the organization's management system.

When the recertification audit, corrective actions, and certification review have been satisfactorily completed, SQC Certification may approve renewal of certification and issue a certificate for the new certification cycle.

④ Suspension of Certification

SQC Certification may suspend certification in the following circumstances:

  • The certified management system has persistently or seriously failed to meet certification requirements, including requirements relating to the effectiveness of the management system.

  • The certified organization does not allow surveillance or recertification audits to be conducted at the required frequency.

  • The certified organization voluntarily requests suspension.

  • Required corrective actions for identified nonconformities are not completed within the specified timeframe.

  • The certificate, certification mark, or audit report is used inappropriately.

  • The certified organization violates the requirements of the certification agreement.

  • Other circumstances arise that may seriously affect the credibility of certification.

During suspension, the certification is temporarily invalid.
The certified organization shall not make any statement or use any promotional material that may imply that its certification remains valid during the suspension period.

If the reasons for suspension are satisfactorily resolved within the specified period, certification may be reinstated.

⑤ Withdrawal of Certification

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Certification may be withdrawn when:

  • The issues that resulted in suspension are not resolved within the specified timeframe.

  • The certified organization persistently or seriously fails to comply with certification requirements.

  • The organization refuses required surveillance, recertification, or other necessary audit activities.

  • The organization voluntarily requests withdrawal of certification.

  • The organization ceases operations or certification can no longer be maintained.

When certification is withdrawn, the organization shall discontinue the use of the certificate and certification mark and remove references to certification from advertising, promotional materials, websites, and other media.

⑥ Reduction of Certification Scope

SQC Certification may reduce the scope of certification when part of the certified scope persistently or seriously fails to meet certification requirements.

The scope may also be reduced when the organization requests removal of certain products, services, processes, activities, or locations from its certified scope.

Following approval of the scope reduction, the certification information and certificate shall be revised accordingly.

⑦ Expansion of Certification Scope

When a certified organization requests an expansion of its existing certification scope, SQC Certification reviews the application to determine the audit activities necessary to evaluate the requested expansion.

An expansion may include, for example:

- Additional products or services
- Additional processes or activities
- Additional sites or locations
- Other changes affecting the certified scope

Where necessary, an additional or special audit may be conducted.

If the requested expanded scope is demonstrated to comply with the applicable certification requirements, the expansion is approved and the certificate is revised accordingly.

⑧ Rejection of Certification

SQC Certification reviews each certification application and determines whether the application can be accepted.

Where SQC Certification decides to reject an application or certification, the reason for rejection shall be clearly communicated to the applicant organization.

Certification may be rejected when:

  • Identified nonconformities have not been satisfactorily corrected and closed.
  • Sufficient evidence of conformity with the applicable certification requirements cannot be obtained.
  • The suitability or appropriateness of the requested certification scope cannot be adequately verified.
  • Information required to make a certification decision is insufficient.
  • The applicant organization does not comply with applicable certification or contractual requirements.
  • SQC Certification does not have sufficient competence or capability to perform the requested certification activities.

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9. Reinstatement of Certification

Certification that has been suspended may be reinstated when the issues that caused the suspension have been satisfactorily resolved and conformity with the applicable certification requirements has been verified.

Depending on the circumstances, SQC Certification may verify reinstatement through:

- Review of corrective action records
- Submission and review of additional documented evidence
- A special audit or follow-up audit
- Other appropriate verification activities

Following satisfactory verification, the certification status may be reinstated.

Where certification has expired, reinstatement or restoration of certification shall be handled in accordance with the applicable certification requirements and SQC Certification procedures.