There is a little known story that occurs behind the scenes of every certification processed, guaranteeing the continued reputation of the industry as unbiased, informed and providing assurance that is recognized worldwide.
Certification Bodies, also known as 'registrars' to some on the East Coast of the US and in the UK, are heavily regulated. Certification exists across every industry - medical, accounting, mining, government, food - and each industry relies on certification for a different reason. Any auditing firm, prior to becoming a Certification Body, must apply to ANSI, JAS-ANZ or another Accreditation Body for recognition. This recognition only comes after several audits, extensive documentation systems to be put in place, and being completely free of any conflict of interest. A conflict of interest may include where the organization operates a laboratory or a consulting company within the same aegis as certification.
This accreditation is an ongoing process with witness audits conducted several times a year on a sample of auditors, audit reports reviewed for consistency and accuracy, and an extensive head office audit reviewing technical sign off procedures, any corrective actions that have occurred, and indeed many other areas.
In addition to this, auditors are registered with an auditing association such as RAB-QSA who calibrates audit competency, and standard owners also have their own individual requirements. In addition to this, as we know reputation is key to this industry we take this one step further with all new auditors being required to meet the following:
(1) New auditors, or auditors upgrading to new streams remain at level 1, or ‘Trainee auditor’ level, until they have successfully completed relevant audit courses depending on scheme and standard could be either 5 days or 2 days where appropriate. During this time, auditors may only observe on these audits.
(2) New auditors are also required, in conjunction with their Division and State Office Managers to submit relevant code allocation forms for relevant standards or personal certification scheme.
(3) Once an auditor has passed the course they are designated as level 2. In order to progress to level 3, there must be a demonstration that adequate experience has been gained, AND witnessed examples of the auditor’s work must be sighted and signed off by the relevant Verification Auditor.
(4) Auditors must be signed off at Level 3 before they can go on surveillance audits unattended. To gain sign off as an ‘Auditor’, the employee must have successfully completed the following within EACH stream for which sign-off is sought:
(i) Observe a minimum of 2 audits within the standard stream
(ii) Audit a minimum of 3 audits in the standard stream under direct supervision of a signed off Lead Auditor
(iii) Complete all requirements of an ‘Auditor Level Performance Review Pack’
(iv) Complete 2 successful witness audits within the stream. These may either be conducted by the Verification Auditor / Technical Manager, or by two different Lead Auditors who have been signed off within the standard stream.
(v) Auditor Core Training Modules must be completed and returned to the Technical Manager. A satisfactory result must be achieved.
(5) The Division Manager is to notify the relevant Verification Auditor (VA) that an auditor requires sign-off by submitting the Training Schedule Summary as completed so far. This allows the VA to determine that all of the requirements have been met, and to determine which records to review:
(i) 1 document review
(ii) 3 audit reports that the auditor has been primarily responsible for
(iii) 2 witness audit reports as described in point 4(iv) above.
(iv) Commentary and feedback from 2 certification pack submissions by the auditor
(6) Where the VA has comments to make, it is their judgement call as to whether these are to be treated as points for auditor development, or as issues that prevent auditor sign-off.
(7) When sign-off is achieved, the VA provides all information to the Technical Manager via a signed Training Schedule Summary Form for review and approval and updating of the auditor status within the NCSI intranet
(8) The Technical Coordinator or delegate will issue the NCSI Auditor status certificate for the standard stream.
(9) From this point on, the auditor can start gaining experience and progress to seek other external RABQSA certification, and to begin leading audits under supervision to allow eventual sign-off as a Lead Auditor.
The end result is a Certification Body that enjoys an excellent reputation as being a leader in their field.
Even without the additional requirements that NCSI imposes upon itself as its own quality control, the regulatory requirements for the industry means that certification services should be almost completely homogeneous, offering the same quality service as their competitors. In reality levels of service vary as they do in any industry, as does price, and that auditors can differ in quality. At NCSI regardless of the body you use for auditing, we always recommend ensuring that your auditor is from your industry and understands the product they are auditing.
At NCSI this is one thing we use to separate ourselves from the competition. And when a client books their audit with us they know the auditor they will receive will know their product as well as they do - from bottled water to eggs, from apples to cheese.
To conclude, have faith in the Certification process. It's a rigorous, well enforced, well informed industry that provides assurance to buyers on many levels.
