February 2005 e-Newsletter

Did you notice the title of this article refers to "Certification Body" instead of "Registrar"? The new ANAB web site (http://www.anab.org) uses Certification Bodies (CBs) like the rest of the world, not Registrars as previously used by the RAB. This terminology change took place when the ANSI-RAB National Accreditation Board became the ANSI-ASQ National Accreditation Board (ANAB).

On the ANAB web site, they have a section titled, "Tips for Selecting a Certification Body":

As with most of life’s major purchases, it pays to shop around for an ISO 9001 or ISO 14001 certification body (CB). Investigate, ask for and check references, and request the resumes of the CB’s proposed audit team. You're the customer and the CB provides a service to you. Make sure you get what you pay for, but don’t let price alone be the deciding factor. Look for added value.

Things to consider when selecting a CB:

Accreditation by a reputable body
Industry experience, background, and expertise
For ISO 9001 CBs, approval to work in the appropriate scope category
Recommendations from your clients or customers
References provided by the CB
Scheduling issues and ability to meet your time frame
All aspects of the CB’s fee schedule
Your comfort level in establishing a long term relationship with a CB

In addition to these ANAB tips, our Implementing ISO 9001:2000 course also offers advice on selecting a CB:

Registration Process

After narrowing your search to a few Certification Bodies (CBs), you can provide them with the information necessary for them to give you a price quote for their services. After considering several selection factors, you will choose the best CB for your needs and submit the application.

You then need to reach agreement on the audit objective (pre-assessment or registration audit), scope of registration, and preferred dates for the visit(s). The CB will review your quality manual in advance of their visit and assess other documents at your request (for an extra fee).

The optional pre-assessment visit is recommended to confirm your readiness for the registration audit. It also provides an opportunity for the audit team to learn about your system and to become acquainted with your organization.

After undergoing the registration audit, the audit team will either:

1) recommend your system for certification unconditionally (no nonconformities; not the typical case),

2) recommend your system for certification based on acceptable corrective action plans (minor nonconformities to be closed at the next visit), or

3) be unable to recommend your system due to one or more major nonconformities (or too many minor findings).

If the CB is unable to recommend for certification, a special follow-up visit or another full audit will be required (at your expense in both cases).

Selection Considerations

A number of factors can influence your choice of a Certification Body. First, ensure the CB is accredited for your industry sector. What have you heard about the CB? Consider their reputation and experience as a CB. Check local references.

If you arrange for CBs to make sales calls, evaluate their attitude and cooperation. See if their interpretations of requirements agree with yours. Compare the costs, but be sure to make fair comparisons. Some CBs include travel expenses in their fixed daily rates. Others may charge separately for travel expenses, or even charge an hourly rate for their travel time.

Know what is included in the quote. For example, does the registration audit fee include the document review, or is it a separate fee? See if the CB has a local office or local auditor. Determine who would be assigned as the audit team and identify their travel locations.

Another consideration is the level of confidence in the CB and acceptance by your customers and the marketplace. Of course, your parent organization may require you to use a CB already selected for other sites.

Information Questionnaire

The Certification Bodies will need information from your organization to prepare a price quote and plan the registration audit. They will want to know the key contacts for the organization; for example, the senior manager and appointed management representative. They will also need to know your preferred dates for the document review, pre-assessment, and registration audit.

They will ask about your industry sector and product line to ensure they have the applicable scope of accreditation. The CB will want to understand your proposed scope of registration in terms of the sites and products to included, as well as, any exclusions from the scope (refer to ISO 9001:2000, clauses 1.2 and 4.2.2).

The CB will want to know the size of your facility and may even ask for a floor plan to help them understand the physical layout. They may ask about the principal equipment used in the manufacture of your product, if applicable, and the number of employees and shifts of operation.

Let them know if you perform any work at the customer’s premises or use off-site warehouses (if applicable to the scope of registration). Inform the CB of any outsourced processes or the use of subcontracting.

Let the CB know if your organization is subject to any statutory or regulatory requirements as a result of your product offerings. They will want to be aware of any software components included in your product line in order to assign the appropriate auditors.

If you are using a consultant, inform the CB. They will want to avoid a possible conflict of interest (in case the consulting services were from part of their parent company). They will also want to advise you on the role of a consultant during the audit.

The CB needs to know the primary language used within the organization to assign fluent auditors. A translator may be used for other languages. Advise the CB if there are any special safety requirements or the need for special clothing to be worn during the assessment.

Cost Factors

The cost of the Certification Body's services will depend on the size of your organization and its business complexity. Cost factors include the scope of registration (scope of the quality management system), permissible exclusions, and the number of locations to be included.

CB Costs

The fees charged by Certification Bodies may vary widely. Be sure you know what is included in the price quote for their services. Some CBs may charge a one-time administration fee. Some may charge separately for the quality manual review.

All CBs charge for the optional pre-assessment, but the costs will vary depending on the number of days involved and their daily rate. The initial registration audit will be included in the quote, but be aware of the additional cost if a follow-up visit is needed to close out any findings (before the certificate can be issued). If a major nonconformity is found during a surveillance audit, a special visit may be required to verify closure of the finding (prior to the next scheduled visit).

Some CBs may include a fee for listing your organization in their registry (most do not). If you postpone too late a scheduled audit (read your agreement), there will be a postponement fee (since auditors cannot be reassigned at such a late date). One CB includes an annual fee increase based on the consumer price index.

If you want extra copies of the registration certificate for display, or with extra accreditation marks, there will be extra charges. If you decide to cancel out of your agreement before the contract period ends, you can expect a cancellation fee. Most CBs charge separately for travel and living. A few offer to include it in their fixed daily rate for the audits (which helps budget the fixed expenses).

Most organizations will be visited every six months (smaller organizations may be audited annually). These surveillance visits will be charged at about 1/3 of the cost of the registration audit. The newly required recertification audit every three years will be about 2/3 of the cost of the registration audit.

Scope Statement

The scope of a quality management system is described by the standard, organizations, sites, products, and supply-chain. The scope of the registration statement must be agreed to by the CB and is expressed on the registration certificate.

From a “truth in advertising” view, you must be careful to accurately reflect the scope of your business on the certificate and in other public documents. Consider any outsourced processes that your organization “manages” instead of directly performs.

CB Policies

Review the policies of the Certification Body. Understand its appeals process in case you ever need to dispute a finding or the severity classification. Be aware of situations that could cause suspension of your certificate, such as, actions not completed within the agreed timeframe, misuse of the registration mark, 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.

The CB will be pleased to provide camera-ready artwork for their registration logo (it’s good advertising for them). However, you must use the logo in the appropriate manner. The logo cannot be cropped or edited and must not be used in relationship to your products (since it is a system certification, not a product certification). You can use the logo on business cards, company stationery, promotional literature, and advertising materials. Check with the CB on the rules.

The new RABQSA organization (replaced the RAB on January 1, 2005) offers two types of certification schemes for quality management system auditors:

1. Accredited: competency-based referencing ISO 17024:2003, and
2. Non-Accredited: based on the prior RAB scheme (to be phased out YE2006).

Certification Grades

The old RAB scheme had three QMS auditor certification grades: Provisional Auditor, Auditor, and Lead Auditor. The new RABQSA accredited scheme has five grades:

PAAS Master is a simple e-based online examination consisting of 85 psychometric questions, which examine 12 personal attributes. These attributes identify the more effective and efficient auditors. A software matrix-analysis of each answer determines whether the applicant has the potential to demonstrate the required attributes.

It is not a 'go/no-go' evaluation. Simply, it will indicate to RABQSA where an applicant may experience difficulty in terms of demonstrating specific attributes and will be considered in relation to the other competencies of skill, knowledge, and qualification.

Where the RABQSA may have a concern, the applicant will be required to attend an interview with a RABQSA scheme examiner. The examiner will validate the results and recommend the appropriate professional development. In the most extreme case, RABQSA may decline certification.

The PAAS Master online examination is taken as part of the Application (except for Provisional QMS Auditors) and again every four years for the Re-Certification.

Education Level

The old RAB scheme required a minimum of a secondary education. The new RABQSA accredited scheme requires a "tertiary" education level, defined as post-secondary education, e.g., trade school, associate, bachelor, and/or higher college degree. However, applicants may be considered for certification if they can demonstrate that through their work experience, and/or other means, they have achieved an educational standard that enables the effective conduct and management of QMS audits.

Work Experience

The old RAB scheme required a minimum of 8 years of work experience with a secondary education, 6 years of work experience with an associate's degree, and 4 years of work experience with a bachelor's degree or higher. The new RABQSA accredited scheme requires only 2 years of work experience in a technical or managerial position with direct quality management responsibilities.

Certification Fees

The old RAB scheme required a certification and annual fee for Provisional QMS Auditor = $160, QMS Auditor = $210, and QMS Lead Auditor = $220.

The new RABQSA accredited scheme has similar certification and annual fees for the new grades: Provisional QMS Auditor = $160, QMS Auditor = $220, Lead QMS Auditor = $240, Principal QMS Auditor = $240, and Business Improvement QMS Auditor = $240.

However, the new RABQSA accredited scheme has an increased application fee of $525 (Administration Fee = $100, Skill Examination Fee = $400, and PAAS Master = $25). After the application has been approved, the certification fee is paid (the annual amount shown in the prior paragraph).

The applicable Annual Fee is payable each year on the anniversary of the certification. And, a Re-certification Fee is payable every 4th anniversary of the initial certification and re-certification. This Re-certification Fee is $425 (Skill Examination = $400 and PAAS Master = $25), plus the applicable Annual Fee (Provisional QMS Auditor = $160, QMS Auditor = $220, Lead QMS Auditor = $240, Principal QMS Auditor = $240, and Business Improvement QMS Auditor = $240).

Note: The Skill Examiner expenses, such as travel, accommodations, and incidentals is NOT included in the $400 Skill Examination Fee. The applicant (for certification) or auditor (for re-certification) will be invoiced for the Skill Examiner expenses. These expenses may add hundreds of dollars, depending on the travel location of the Skill Examiner.

Audit Logs and CPD Points

The audit logs that were maintained for RAB certification and recertification will not be required by the RABQSA accredited scheme. Likewise, evidence of continuing professional development will no longer be needed for the RABQSA accredited scheme.

RABQSA Web Site

For more information on QMS auditor certification, go to this RABQSA page: <http://www.rabqsa.com/per_quality.shtml>.

The National Commission on Writing issued a report titled, "Writing: A Ticket to Work ... Or a Ticket Out: A Survey of Business Leaders". The survey concluded that writing in today's workplace is a "threshold skill" for hiring and promotion among salaried employees. In other words, writing is a ticket to professional opportunity, while poorly written job applications are a figurative kiss of death.

Estimates based on the survey reveal that employers spend billions annually to correct writing deficiencies. One executive stated, "All employees must have some writing ability ... Manufacturing documentation, operating procedures, reporting problems, lab safety, waste-disposal operations - all have to be crystal clear."

Half of all companies take writing into account when making promotion decisions. One succinct comment: "You can't move up without writing skills."

The Commission stated that writing is a basic building block for life, leisure, and employment. Individual opportunity in the United States depends on the ability to present one's thoughts coherently, cogently, and persuasively on paper.

How important is writing in the workplace? Read what some of the executives said:

How does an auditor judge how much improvement is "enough"? The ISO 9001:2000 requirement is for continual improvement of the effectiveness (results) of the quality management system. Continual improvement will be assessed based on the quality objectives set by top management.

Quality Objectives

The auditor should determine if the organization has attempted to set objectives that establish the correlation between three factors:

Thereafter, it is up to the organization to balance the need for increasing internal efficiency and the need to improve external performance, although the two are very often closely related. Neither one in isolation can ever be considered as being enough or not enough.

The only real solution for the auditor is to verify how the organization has determined its proposed rate of improvement, how it has evaluated the associated risks, and how this relates to customer requirements and the monitoring of feedback on customer satisfaction. It would be difficult to issue a nonconformity report stating there was not enough continual improvement.

What sort of information is relevant for continual improvement and where can we find it? The auditor has to verify how the overall corporate objectives have been translated into internal requirements throughout the appropriate processes, and how these requirements are communicated and monitored.

The type of information that an auditor needs to look for is evidence of how the corporate objectives are translated into specific quality objectives. For example, an organization could set an objective to reduce customer complaints by 30%. The top management analysis may show that 50% of the complaints are concerned with overdue deliveries. The auditor should then look for evidence that the organization is monitoring and analyzing key aspects of its scheduling and planning activities, throughout its processes and the process interfaces, to reduce the delays.

However, an organization that does not have a policy and objectives relating to continual improvement is clearly not conforming with the standard. Similarly, the absence of any evidence of improvement on at least one of these aspects would have to be considered as indicating that an organization's quality policy is not in line with ISO 9001.

If top management has set a realistic objective for a process and there is no evidence of improvement, this information must be considered at the management review so that top management can decide what type of action is appropriate, for example, re-adjusting the objective or providing other means to impact on the process.

The International Accreditation Forum (IAF), in consultation with the International Organization for Standardization (ISO), have set the expiration date for all 60,000 certificates to ISO 14001:1996 at May 15, 2006. After this date, the only valid accredited certificates for environmental management systems will be those issued against the requirements of the new ISO 14001:2004 edition of the standard.

To enroll in these public classes, go to Class Schedule at our web site, or call us at 800-404-7585. Classes taught by Larry Whittington are shown in yellow.

ISO 9001:2000 Lead Auditor (RAB Accredited) - BSI Management Systems
Initial course version developed by Larry Whittington

February	March	April
14-18 Atlanta, GA	07-11 St. Louis, MO	04-08 Chicago, IL
14-18 Orlando, FL	14-18 Las Vegas, NV	11-15 Newport Beach, CA
28-04 San Jose, CA	21-25 Reston, VA	18-22 Atlanta, GA
- -	- -	18-22 Providence, RI
- -	- -	25-29 Memphis, TN

ISO 9001:2000 Internal Auditor (RAB Accredited) - BSI Management Systems

February	March	April
08-10 Reston, VA	15-17 San Jose, CA	19-21 Newport Beach
- -	22-24 Chicago, IL	- -
- -	29-31 Atlanta, GA	- -

Understanding ISO 9001:2000 Requirements (Atlanta Only - $295)
Course developed by Larry Whittington

Quality System Documentation (ISO 9001:2000)
Course developed by Larry Whittington

The above public courses can be offered on-site at your facility. In addition, we offer these on-site courses:

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Whittington & Associates provides training, consulting and auditing services for quality systems based on ISO 9001, ISO/TS16949, TL9000, AS9100, ISO 13485, as well as, ISO 27001, ISO 20000, ISO 22000, and ISO 14001.