Handbook For The Airport

Screening Services Pre-

Qualification Program

2015-09-29
Table of Contents

Purpose ..................................................................................................... 1

Scope ......................................................................................................... 1

Outline ....................................................................................................... 1
1. Phase 1: Application ............................................................................................................................ 2

2. Phase 2: Management System Documentation Review ..................................................................... 2

3. Phase 3: The ASS Pre-Qualification Program Decision ..................................................................... 2

4. Phase 4: Maintenance of Status ......................................................................................................... 2

Phase 1: Application................................................................................. 3

Phase 2: Management System Documentation Review ......................... 4

Phase 3: Status Decision ......................................................................... 4

Phase 3b: ASSA Pre-Qualification Decision ........................................... 5

Phase 4: Maintenance of Qualification .................................................... 6

Maintenance Assessments ...................................................................... 6

De-Listing, Appeals and Re-Application ................................................. 7

Complaints ................................................................................................ 8

Use of the CGSB Name and Status Number ........................................... 8

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Tables and Figures
Table Heading 1: Pre-Qualification Phases . ................................................................................................ 2

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Purpose
The Airport Screening Services Agreement (“ASSA”) Pre-Qualification Program (the “ASSA Pre-
Qualification Program”) sets the minimum eligibility requirements for screening contractor organizations
(“Applicant”) to provide screening services in CATSA designated airports.

Scope
This program applies to any organization wishing to be considered to provide airport screening services:
- for a long-term ASSA, or
- on a contingency basis through the CATSA Screening Services Contingency Program (“SSCP”).
Existing ASSA providers are automatically pre-qualified and are not required to complete the ASSA Pre-
Qualification Program.

Outline
In this handbook, Applicants will find information about The ASSA Pre-Qualification Program, including
application requirements, processes and forms.
CATSA has engaged the Canadian General Standards Board (“CGSB”), an accredited body with the
Standards Council of Canada, to assess Applicants against the CATSA Screening Contractor Management
System Standard (the “Standard”) for CATSA though the ASSA Pre-Qualification Program.

To obtain a copy of the Standard, please refer to the CATSA Web site at www.catsa.gc.ca or the CGSB
Web site at http://www.tpsgc-pwgsc.gc.ca/ongc-cgsb/.

Maintenance assessments will be conducted by CGSB on a periodic basis and if an Applicant no longer
meets the eligibility requirements, it will be provided with an opportunity to implement corrective
actions.

Briefly, Applicants gain admission to the ASSA Pre-Qualification Program by demonstrating that:

• their documented management system meets the requirements of the Standard, and
• they comply with their own stated management system.

To achieve this level of confidence, the ASSA Pre-Qualification Program has four phases:

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1. Phase 1: Application

2. Phase 2: Management System Documentation Review

3. Phase 3: The ASS Pre-Qualification Program Decision

4. Phase 4: Maintenance of Status

These phases are described in more detail on the following pages. For additional information on the
ASSA Pre-Qualification Program, as well as CGSB policies governing this program, refer to the most
recent edition of the CGSB Policy Manual for the Conformity Assessment Division, and the Standard.

The following table provides an overview of the steps required to participate in the ASSA Pre-
Qualification Program and the SSCP.

Table Heading 1: Pre-Qualification Phases

Phase Step Action

1 Applicant obtains and completes application
Phase 1: materials
Application 2 Applicant submits application forms to the CGSB
3 The CGSB reviews Application forms
Phase 2: 4 Applicant submits Management System Manual
Management 5 The CGSB reviews Management System Manual
System
Documentation
Review
6 The CGSB provides Applicant with Assessment
Report and Correction Action Report (CAR),
where applicable
Phase 3:
7 Applicant completes CAR and submits supporting
Status Decision
documentation, where applicable
8 The CGSB reviews CAR
9 CGSB provides Applicant with a Status Letter
10 Applicant submits Management System Manual
Phase 4: 11 The CGSB reviews Management System Manual
Annual 12 The CGSB issues maintenance report to Applicant
Maintenance of and conducts any CAR follow-ups, which may
Status include an on-site assessment if warranted
13 The CGSB notifies Applicant of status

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Phase 1: Application
Step 1: Obtain Application and Complete Materials

Applicants wishing to participate in the ASSA Pre-Qualification Program must submit the following to
CGSB:

• Applicant Profile Form

• Application Form
• Company certificate, corporate registration or business registration
Application Profile Form - Form CAT2 captures all necessary information including the
locations/facilities to be qualified.

Application Form - Form CAT1, when signed by a senior officer of the Applicant’s organization, grants
the CGSB the authority to assess the applicant's management system.

In executing and submitting the application form, the Applicant agrees to:

• the terms and conditions of the ASSA Pre-Qualification Program;

• maintain a system of internal review; and
• document, implement and maintain its management system.
Company Certificate, Corporate Registration or Business Registration - A copy of the certificate of
incorporation, business registration or other documents that confirm the applicant's legal status.

Step 2: Submission of Application

By completing and signing the application documents the Applicant acknowledges having read and
understood the conditions of the ASSA Pre-Qualification Program and agrees to follow the processes in
relation to any activity connected with the ASSA Pre-Qualification Program.

Submission – The Applicant submits the application profile form, application form and company
certificate, corporate registration or business registration to:

Certification Services
Conformity Assessment Division
Canadian General Standards Board
Gatineau, Canada
K1A 1G5

Step 3: Application Review

The CGSB reviews the Applicant’s application. If, in the opinion of the CGSB, the documentation
submitted does not confirm the legal status of the applicant, the CGSB reserves the right to require the
submission of any necessary additional documentation.

A Conformity Assessment Specialist / Conformity Assessment Officer (“CAS/CAO”) is assigned and will
be the Applicant's main point of contact with the CGSB. The CAS/CAO reviews the application and

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notifies the Applicant of acceptance or rejection in writing. If an application is rejected, Applicants can
appeal the CGSB’s decision. The Applicant also has the right to view their records kept by the CGSB.

All documents and information submitted by the Applicant are treated in strict confidence and will only
be released to parties outside of CATSA and the CGSB with the Applicant’s consent.

Phase 2: Management System Documentation

Review
Following completion of Phase 1, The CAS/CAO reviews the application, resolves any differences or
misunderstandings, and selects a Lead Auditor.

Step 4: Submission of Management System Manual

Submission of management system documentation - The Applicant shall submit documentation that
identifies the processes used to meet the requirements of the CATSA Screening Contractor Management
System Standard (“Standard”). The documentation must be accompanied by a completed Standard's
Checklist, which maps the Applicant's documentation to the Standard's criteria.

Step 5: Management System Manual Review

Document review - The Lead Auditor reviews the Applicant’s documentation against the requirements
of the Standard and issues an Assessment Report. The applicant must address all areas of the report
where the requirements were not satisfied.

Phase 3: Status Decision

Step 6: Assessment Report

Assessment Report - The Lead Auditor then prepares an assessment. The report contains at least the
following:

• General information on the client and the assessment

• Scope and purpose of the assessment
• Overview including a brief description of the client, its products, and any other pertinent
information
• Summary of the findings and any general comments
• Status recommendation
Assessment Report Review - Once the Lead Auditor completes preparing the assessment report, it will
include one of the following recommendations:

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 • Standard criteria met
• Standard criteria met after response to Corrective Action Request(s) are acceptable to the CGSB
Assessment Team
• Complete re-assessment (in this case Corrective Action Requests are not issued; rather, a report
is issued recommending a complete re-assessment at a future date.)
Next, the CGSB reviews the Lead Auditor's recommendation and pertinent technical information about
the Applicant's system. A decision is made to accept or deny the recommendation, or to ask that
additional information be provided. If non-conformities are identified during the assessment, the
applicant must take satisfactory corrective action before the CGSB recommends that the Manager of
Conformity Assessment of the CGSB prepare a status decision.

Provide Assessment Report - the CGSB issues an assessment report to the Applicant along with any
Corrective Action Reports (“CARs”) if any non-conformities were identified. If CARs are issued, the
applicant must provide CGSB with evidence the non-conformity has been addressed.

Step 7: Applicant completes CAR and submits supporting documentation, where applicable

Applicant submits CAR(s) once Applicants have completed the require improvements to conform with
the standard, they will submit the CAR and all supporting documentation to CGSB for review and
approval.

Step 8: CGSB Reviews CAR(s)

CGSB reviews the CARs and supporting documentation to ensure the non-conformity has been
addressed. CGSB will notify the applicant of the review and provide feedback. If acceptable, the
Applicant moves to the next phase.

Phase 3b: ASSA Pre-Qualification Decision

Step 9: Status Letter

Letter - Applicants are considered to have met the Standard’s criteria only when they have received a
signed letter from the Manager of the Conformity Assessment Division of the CGSB.

Legal Agreement - Applicants who receive a signed letter are required to enter into a legal agreement
with the CGSB. This legal agreement provides the Applicant with a unique identification number. Legal
agreements are renewable every three years if program requirements continue to be met.

Certificate - A certificate is issued to the successful Applicants following the signing of the legal
agreement. The certificate shows the Applicant's name, the address of the qualified facility, and the
scope of the certificate. The certificate is valid for three years. A new certificate is issued upon
satisfactory completion of re-assessment.

Qualified Organizations - An up-to-date list of organizations able to participate in ASSA RFPs and SSCP
can be viewed here.

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Phase 4: Maintenance of Qualification
Applicants with a signed letter will be assessed yearly to maintain their qualification in The ASSA Pre-
Qualification Program.

Management System Changes - Applicants must promptly notify the CGSB, in writing, of any intended
changes to their management system. These include changes to policy and procedures, organization,
location, or any other change affecting conformity to the Standard. Before approving a change, the
CGSB may require a site visit or a re-assessment.

CGSB Program Changes - The CGSB will notify Applicants, within a reasonable time, of any changes it
intends to make to program requirements. Applicants' views will be considered before the CGSB makes
decisions on the precise form and effective date of proposed changes to the program.

Step 10: Submission of Management System Manual

Submission of management system documentation - The Applicant shall submit documentation that
identifies the processes used to meet the requirements of the Standard. The documentation must be
accompanied by a completed Standard's Checklist, which maps the Applicant's documentation to the
Standard's criteria.

Step 11: Management System Manual Review

Document review - The Lead Auditor reviews the Applicant’s documentation against the requirements
of the Standard.

Maintenance Assessments
Maintenance Assessments - The CGSB conducts maintenance assessments at least once a year, usually
during the anniversary month of the initial assessment. The maintenance assessments will be assigned,
planned and executed in a manner similar to that for the initial document review. The maintenance
assessment shall include, but not be limited to, a review of:

• The current version of the Applicant's management system manual including any changes;
• The results of previous internal and external audits and any corrective actions, if applicable;
• The results of previous management reviews.
The CGSB reserves the right to verify information by requesting further documents or by conducting
telephone interviews or on-site assessment, at its discretion. Should an on-site visit be conducted, the
CGSB shall provide the Applicant with written notice and justification of such action.

Upon completion of the maintenance assessment, a report is issued that meets the same criteria as for
the report mentioned in Phase 3.

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To remain in the ASSA Pre-Qualification Program, the Applicant continues to agree to:

• abide by the program requirements;

• discharge to the satisfaction of the CGSB any non-conformities that arise. These include non-
conformities identified, and misuse of logos and trademarks, as specified in the Legal
agreement.
Maintenance Letter - Applicants are considered to have met the Standard’s criteria only when they have
received a signed letter from the Manager of the Conformity Assessment Division of the CGSB.

De-Listing, Appeals and Re-Application

If a major non-compliance occurs, or a series of faults are identified, the qualified Applicant is given the
opportunity to provide an explanation and voluntarily take corrective action within a specified time
period.

In the event of repeated problems with the performance of an Applicant's management system,
complaints from users, or other evidence that indicates a lack of performance within the facility, the
CGSB may, at its discretion, decide to:

• audit more frequently;

• return to the facility to verify the effectiveness of the corrective action, if previous on-site was
required;
• suspend or de-list the registrant.
Applicants that fail to demonstrate their ability or willingness to meet the program requirements within
a specified time period will be suspended or de-listed. CATSA will be notified of all potential changes
and/or changes to an Applicant's status.

Any decision by the CGSB against the qualified Applicant may be appealed (CGSB Procedure CAD OP -
001 Appeal) to the Team Leader, Certification Services (“CS”) (first level), Manager, CAD (second level),
Director, and CGSB (third level); ultimately, all participating Applicants have a right of final appeal of the
decision to the CATSA committee (fourth level). The appellant must submit arguments and evidence in
writing within 30 days of notification of the decision in question. Additional details on the appeal
process will be provided upon request.

Applicants that wish to re-apply to the program following de-listing must repeat the entire listing
process.

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Complaints
The CGSB has a mechanism for handling complaints relating compliance to the Standard by Applicants.

The CGSB will, upon written notice, investigate the complaint in accordance with its formal procedures.
The Applicant may be asked to provide information, records and other pertinent data. The Applicant has
the right to provide evidence that refutes the complaint. To resolve the dispute, the CGSB may require
an on-site assessment. If the Applicant fails to comply with those requests or to correct the problem, or
if the complaint is upheld, the Applicant may be suspended or de-listed from the program. Generally,
the Applicant will have the opportunity to take corrective action before the CGSB suspends or de-lists
the facility, or takes other action.

If the Applicant is found to be at fault, it will pay any costs associated with the complaint (e.g. cost of
additional audits, program management time, etc.). If the Applicant is not found to be at fault, the
complainant will be responsible for these costs.

Any decision by the CGSB against the Applicant may be appealed. Details of the appeal process are
available from the CGSB. All participating Applicants have a right of final appeal of the decision to the
CATSA committee. Applicants that wish to re-apply to the program following de-listing must repeat the
entire listing process.

Use of the CGSB Name and Status Number

The sole intended use of The ASSA Pre-Qualification Program is for CATSA to meet CATSA Act
requirements pertaining to the certification of Screening Contractors. The CGSB name and status
number and/or CATSA name may therefore be used only in that context.

Applicants shall not use the CGSB name or status number in a manner that tends to be misleading.
Moreover, Applicants shall not make use of the CGSB name, abbreviations, status number, marks or
symbols, or any other form of reference to the CGSB and/or CATSA in a manner that may be interpreted
to mean that the CGSB and/or CATSA approves of or endorses any product or service of the Applicant,
or the performance (including the quality compliance or performance) of any product or service of the
Applicant.

The use of the status number is independent of, and does not excuse, release or relieve the Applicant
from its obligations to comply with, all applicable federal, provincial or municipal statutes, regulations
and by-laws and all applicable industry guidelines concerning quality matters.

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