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FAQs -- > How to choose your auditor
FAQ: How to Choose Your Auditor9 Questions to AskWe'd made good progress on upgrading the quality system and filling the gaps identified at the gap analysis. "Now would be a good time to start thinking about your auditor," I told Robert, my client. But Robert just shrugged. "They're all pretty much the same, aren't they? So does it matter?" It's a very common belief, but a mistaken one. After deciding to "go for ISO", who you choose as your external auditor is a very important decision. About as important as choosing an ISO 9001 consultant (if you decide to use one, that is). The proper name for the auditing body is ‘certifier’ or ‘registrar’ (different countries prefer different terms). No matter which, it's the company that audits you against a Standard, decides if you meet its requirements, and awards you the certificate.p> LLike Robert, so many people don’t understand that careful choice is important. Why? Because you're going to have a business relationship with your certifier, and particularly whoever they assign to your company as auditor(s). The auditor interprets the Standard/s you want certification for. They will inspect and test your system against its requirements. And decide if your system meets them -- or not. The decisions they make will affect you a lot, not least in whether you get or maintain your certification. I recomment you consider and compare at least 2 and preferably 3. You see, they are service providers ((granted, special ones), but they are not government bodies and they are different. Before you approach them, do think about what you need, and which criteria are most important for you. Don’t just blindly go for one with a logo you've seen or a name you've heard. How do you find them? Similar to selecting any other supplier: ask other people, ask consultants, search the web, use the phone book and so forth. Pre-qualifyingBefore you put anyone on your list to consider, they must be:
a. Accredited by a signatory of the IAF a. Accreditation Make sure they are accredited by a signatory (member) of the IAF (International Accreditation Forum). That ensures they meet the required standards, follow protocols, & are subjected to controls by the Accreditation Body, including regular audits to verify they are meeting requirements. All the big, well known names in certification are. But if dealing with an organisation no one has heard of, check. In Australia, the accrediting body is JAS-ANZ, in the US it's ANAB, in the UK it's UKAS in the UK, and so on. (If you want to know more about why it’s a good idea, ask. For now, just take my word for it and don’t consider anyone who isn’t!) b. Qualified To ensure your certifier is competent to evaluate your company, certifiers are accredited to specific scopes. Don’t even consider anyone who isn’t! Similarly, they are not permitted to take on your work if they aren't accredited to do so. Assuming they are pre-qualified, here are my suggestions for more specific questions.
1. Approach
For ISO 9001, you need and want an organisation whose approach to quality is compatible with yours. For example, are they focused on risk and importance, or more on mere conformity and procedure? Do they talk processes? Do they know what a process approach is? What does the certifier say about itself? What are various company personnel like to deal with: in person, on the phone, via their website? Do they send you incomprehensible forms, for example, and insist you fill them in alone? Some certifiers have very good auditors, but their back office/ administrative staff leave something to be desired. And how long have they been accredited? You want someone who’s been around for a while, and is likely to remain so.
2. Price Once you have quotes, consider costs. Different certifiers charge slightly differently, so make sure you evaluate them against the same criteria. Don’t assume they all do exactly the same thing, the same way. They don't. In my experience, you do get what you pay for. The cheapest possible price is usually cheap for a reason. Rarely a good one. Choosing on price alone is unwise and very short-sighted.
3. Schedule How flexible is it? Can they fit in with your expected date? If time is very short, this may be high on your list. 4. Their Audit Personnel What kind of auditors do they have? Where do their auditors come from and how are they selected and trained? Do they have reasonable experience in your field or a closely related one? Do their auditors have experience at management level? (It's hard to find auditors with management experience, versus a 'shopfloor inspection' mentality. It matters. A lot.) How does the certifier make sure their auditors remain up to date with changes and developments? Is there a suitable auditor in your geographical area? (Travel expenses add significantly to cost.) With a local auditor, this isn’t an issue, and may also help with scheduling. Can you meet your Lead Auditor beforehand? (Often may be difficult, as auditors are usually busy auditing.) The person assigned as your primary (lead) auditor is very important – you need to feel comfortable with them, so you should at least be able to talk by phone, even if not in person. Note that if you have trouble understanding them, or you don't much care for the way they approach things, it never improves! 5. Differences What happens if there is a difference of opinion with an auditor, or you aren't happy with the course of an audit? It can happen. Is there anything beyond a very formal appeals process? For example, is there a technical audit manager you can discuss an issue with, to ensure any differences are resolved constructively and effectively? 6. Major nonconformance You hope not to get one of these (and won't if we're yyour consultant). But if you do, how are they handled? For example, do they require a further special auditor visit - which you are charged extra for - to verify your corrective action? 7. Value add (If using a good consultant, this may well be irrelevant.) Do they offer 'technical' support if needed, such as understanding terms? But do be aware that certifiers and their auditors can not consult. And they must not give advice such as ‘if you do x, then you’ll definitely pass’. This would be a breach of ethics and a conflict of interest. It is specifically prohibited by their accreditor (JAS ANZ etc). Do they offer training, for example, in quality systems or auditing ? Most of the larger and reputable ones do. But if you’re going it entirely alone, then you may want all the help you can. When a question comes up about how to interpret a particular requirement, for example, you may need some informed guidance. 8. Other
9. Other People’s Experience What do others say about them? Talk with other certified organisations, perhaps some key customers, or if possible other companies in the same/similar field. If you contact your own customers or suppliers, it's also an opportunity to publicise your plan to get certified. You may find certain of your customers have a strong preference for a particular certifier. If almost everyone in your field is certified with Bloggs International, perhaps it's good if you are too. Note that these questions have focused on the certifier as a company. But for most of the time, you’ll be dealing just with one main person: ‘your’ auditor. I’ll write more about that another time. ~~~~~~~~~~~~~~~~~~~ Need to get ISO 9001 but don't know how? Tired of struggling with it? You can get ISO 9001 fast, without spending a fortune. More info> <-- More Quality articles |
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