ISO 9001 Consulting, Training
and Auditing Services

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6. Does the CB have local technical and administrative support capabilities that are readily accessible ?
Ideally, you want a CB that has local competent technical services accessible by phone or email. You want expert and prompt answers on interpretation. The competencies of the technical support personnel can significantly affect an audit's result.

The CB’s administrative processes include: performing surveillance audits on schedule to ensure your certification remains current; processing corrective actions on a timely basis; and, processing certificates promptly. Consider the registrar's support organization, check references, and incorporate the results of independent surveys.

7. How flexible is the CB in terms of scheduling? Can they accommodate your expected certification date?
The best of timing plans can go awry when implementing or upgrading management systems. CB auditors are also very busy people and their availability may be limited. You want to make sure that the CB you choose has qualified auditors available locally to accommodate your audit timing needs on short notice.

Investigate these expectations with your CB. Obtain the names of the Lead auditor and team members that are qualified to audit your organization and their availability within the expected time frame for your planned certification or surveillance audit.

8. Has the CB included additional terms and requirements in the contract?
It is quite common for CB’s to add additional requirements into the fine-print of the contract. When you sign the contract, you agree with whatever else the registrar might have decided you should implement. As an example, the CB may require your organizations auditors to be externally trained (preferably by them). There's no such requirement in ISO 9001. Learning about these additional requirements during an audit is much too late in the process.

Review the terms and conditions set out in the contract and CB policies that are applicable to you, in advance of signing any agreement. Understand its appeals process in case you ever need to dispute a finding or its severity classification. Be aware of situations that could cause suspension of your certificate, such as, actions not completed within the agreed time-frame, misuse of the CB certification mark or ISO logo, or other certificate conditions not being met. Certificate cancellation could occur if a suspension is not cleared, serious findings are unresolved, or you fail to pay the CB.

Spend the time with the CB marketing personnel in understanding all contractual terms and conditions before signing. If necessary, subject the contract to legal scrutiny to ensure you are clear about your rights, privileges and recourse options, in your business relationship with the CB. Caveat-emptor (buyer beware) should be your guiding light.

9. Why is it useful to check the credentials of the CB auditors assigned to your organization?
It is critical that you are comfortable with your CB auditors. You want qualified, consistent, reliability and locally available auditors, who are knowledgeable in your industry. Some CB’s assure auditor consistency while others make long-term lead auditor commitments. Frequent changes in auditors can impact the time required for your personnel to support the audits and the value of the audits over time.

To your organization, the lead auditor is the most visible representative from the CB. Ask for the resumes of the Lead auditor and the audit team. You should also arrange to meet and interview the lead auditor and enquire into his/her background, experience, technical expertise, ability to resolve issues, interpersonal skills, and knowledge of your industry. Remember - you want auditors that are objective, ethical and pragmatic and a CB with a reputation for providing a high standard of expertise, support and flexibility to their clients. Auditors must be properly qualified for your standard(s) and industry code(s).

Many CB’s use subcontract auditors providing them the flexibility to access a pool of auditors each with strong industry experience. In terms of certification program costs, it is preferable that the CB audit team be available locally and be flexible in scheduling services to your needs.

Don’t be bashful about checking into the CB’s process for auditor qualification, training, ongoing evaluation, local availability and accessability

10. How does the CB resolve differences in interpretation or other disputes?
Differences of opinion are a fact of life. The trick is to resolve differences constructively. All accredited CB’s have a formal appeals process, but it's much easier if there's a technical expert at the registrar's main office or better yet locally, who can help resolve issues in real time.

Many CB’s are highly aware of the risk of auditor subjectivity and have internal training programs to ensure that the auditors are all on the same wave-length in the interpretation of requirements. Some even publish interpretations of the standards they audit against.

Ask the CB what they do to guard against this risk and if they have published interpretations, obtain a copy, study it carefully and see if it is consistent with your understanding and application to your organization. If not, clarify and reach a comfort level, before acceptance.

11. Confidentiality
Over the course of your relationship with the CB, it will gather significant amounts of information about your organization - policies, systems, products, processes, technology, etc. You want to find out what processes the CB has in place to safeguard the confidentiality of this information.

You should seriously consider having the CB sign a confidentiality agreement to ensure that such information is protected from all illegal or inappropriate use by the CB, its personnel or its agents (subcontractors, etc.).

12. What information will the CB need from you?
The CB generally sends out an Information Request package that includes a questionnaire. They use the information to plan your certification program and the cost to your organization.
The information requested, generally includes:

· Details of your organization in terms size, number of facilities, area, headcount, type of manufacturing operations and equipment, etc.

· Your industry category; products and services; and business processes to ensure they are qualified to provide you with certification services.

· Your proposed scope of registration in terms of - the number of sites, processes, and range of products and services; any product or clause exclusions to your QMS scope.

· Your preferred dates for the documentation review, pre-assessment, and registration audit

· Key contacts of executive and quality management representatives

There is a lot of other information they will request of you in their questionnaire. Don’t just automatically provide them the information; engage in a dialogue with them (preferably in person with their sales/marketing personnel), when filling out the information, so you have an understanding and appreciation of the basis and use the information will be put to.

Summary
A good CB can be a valuable partner and useful resource in maintaining and improving your QMS. A good CB will facilitate external recognition of your organization and improve your competitiveness. We hope you find these tips useful and wish you much success in using them to help you select a CB to fit your needs and realize your business goals and objectives.

Need Training or Consultancy help?
Ask Art Solutions has significant expertise in dealing with CB’s. As ex-CB Lead auditors we know how CB’s operate. We have saved clients thousands of dollars in negotiating costs and contractual terms with the CB. Call us today at 905-593-8867 to discuss your needs.

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