The 9000 Resource

Step 8 Registration Audit

First you will need to select a Registrar. When you choose a Registrar you are starting a relationship that will last at least 3 years, most likely longer. You will want to make a careful decision to lay the groundwork for a smooth and lasting relationship. Read our blog post about how to select a Registrar.

When the day of your Registration Audit has arrived, it is time to showcase your Quality Management System. The Auditor or Auditors are coming in to see how you have addressed the requirements of ISO 9001, and how you have designed your QMS.

Preparing for the Audit

Prepare the employees

• Before the Audit you will want to make sure that all employees know that the audit will be taking place, and the purpose of the audit. This will help them understand how to respond to the auditors' questions. You want employees to respond openly and honestly to the auditor.  The auditor is looking for evidence that you are complying with the requirements of ISO 9001, your employees are the ones that will be providing that evidence. Preparing them to answer the auditors questions will make the audit go more smoothly.
• This is not a test. If the auditor asks a question, they are looking for information on how something works, not if the employee has all the answers but how the employee goes about finding answers and information. Do procedures provide information? If the information is not in a procedure, where does the employee go next, do they ask a supervisor? Use our Employee Flyers to update employees on this issue and other implementation steps throughout your project.

Prepare the facility

• Make sure all areas of the facility are clean and neat; there are potential nonconformances hiding in any given mess.
• Make sure documents are available where every they need to be used.
• Check bulletin boards, counters, cupboards, drawers for uncontrolled documents, un calibrated measuring and monitoring instruments and unidentified parts or supplies.

Prepare for the Auditor

• Have a copy of the Quality Manual and Quality System Procedures available for the auditor.
• Designate a place for them to work when they are not out in the facility. They will need to work on their documentation and reporting.
• Assign someone to go with the Auditor to show them where different areas and departments are. Coach this person to let employees answer the auditors questions, not answer the questions themselves unless the question was directed to them.

Selecting your ISO 9001 Registrar

When you choose a Registrar you are starting a relationship that will last at least 3 years, most likely longer. You will want to make a careful decision to lay the groundwork for a smooth and lasting relationship.

Registrar Basics

Generally, when you sign a contract with a Registrar, it will include the Registration Audit, and Surveillance Audits. The Registration Audit is the initial audit that will be done to see if you will achieve registration. After you have your registration, the Registrar will come back every 6 months or year to see if you are maintaining your system and continuing to meet the requirements of ISO 9001. Registrars vary in their approach, so you will want to find out details from each Registrar you are interested in.

Your certificate will be valid for 3 years. After that period your registrar will be required to do another Registration Audit to renew your certification. The contract you set up with your Registrar will be for the three year period. You would renew your contract after three years to start the cycle again.

Registration Audit: An audit of your QMS system to see if you meet the requirements of ISO 9001 and will achieve registration.

Surveillance Audit: A follow up audit of a portion of your QMS to see if the QMS is being followed and maintained. These are done every 6 months or year.

Costs

The costs for the audits and registration will be dependant on the size of your company, the number of locations, the accreditations that you need, and the distance between you and your Registrar.

The costs are typically dependant on the number of audit days required for the registration audit and the surveillance audits, the travel costs for the auditors, and the administration fees and accreditation fees for the registration.

Choosing a Registrar

The most important factor in choosing a Registrar is how well they can work with you. This includes how well they know your industry, how much experience they have with similar companies, and how well they communicate with you and your employees.

Interview 3 or more Registrars to get a good idea of the options available and differences between Registrars. Look locally if you have good choices, it will save on costs, but if you do not find a good fit look farther. The benefits of your relationship with your Registrar will pay off. Remember that these are experienced professionals that spend day after day evaluating how companies do business. The feedback you get from them is one of the best benchmarking tools available.