Frequently Asked Questions

The scope of registration is normally defined by the customer or by your need to establish a quality management system. The scope of the QMS is a term commonly used within the context of QMS certification/registration to describe the organization and products to which the QMS applies. The scope of the QMS should be based on the nature of the organization’s products and their realization processes.

SRI requires confidentiality agreements from our staff, auditors, Advisory Council and Board of Directors. A specific confidentiality agreement may be signed with our clients as necessary. OFI’s by SRI, where permitted by the accreditation bodies, focus only on opportunities to improve existing, client-defined processes. SRI auditors do not provide OFI’s that represent the intellectual property or sensitive competitive information of competing organizations. This is a concern of many companies, so SRI takes great care in maintaining the confidentiality and integrity of its customers’ business information.

A controlled copy of your quality management system (QMS) quality manual (Levels I and II) is required for SRI to review. Environmental management system (EMS) manual review is optional by the ISO 14001 standard.

A full documentation review is conducted. Any inadequacies in the quality manual must be approved and implemented before the registration audit.

A tour of your facility, review of your working documentation, and sampling of various activities within your system will occur during the pre-assessment. In addition, the lead auditor will provide a summary of observed nonconformances needing attention and review the upcoming registration process. A report will be provided for review and reference. You are encouraged to question your auditor at this time to ensure a thorough understanding of the standard and the registration process.

SRI offers an optional pre-assessment (non-accredited) activity for a duration of your choosing. The lead assessor will visit your primary site(s) for a period of your choosing – typically equal to 30% to 60% of your planned registration audit mandays. This is often one to two days, and it is largely up to the requesting company to determine where their comfort level is.

Auditors often provide value-added OFIs for the client to consider. OFIs are an excellent method for an experienced auditor to share (non-proprietary) information. However, OFI’s by SRI, where permitted by the accreditation bodies, focus only on opportunities to improve existing, client-defined processes. SRI auditors do not provide OFI’s that represent the intellectual property or sensitive competitive information of competing organizations.

The auditor may indicate whether your approach is acceptable. However, the auditor may not provide direction on how the client should proceed.

The certificate is normally issued within 30 days after auditor acceptance of any outstanding nonconformances or corrective actions.

The SRI Registration Review Panel will review all aspects of the registration recommendation and assessment, as required by our accreditation bodies. The review panel will make the final decision concerning certification approval.

The quality system should be fully implemented and subjected to a full internal audit and management review cycle prior to the registration audit. SRI looks for approximately three months of full operational maturity that includes internal auditing and management review as well as closure of any internal audit corrective actions.

The success rate, after an SRI pre-assessment, is very high.

Auditors are selected based on their area of expertise and SIC Code experience as mandated by ANAB and RvA (C074) accreditation.

Other factors such as availability, geography, and other logistics are considered prior to assignment.

Yes, if this is cost effective for the client and scheduling permits the use of the same audit team.

As the quality management system registration industry in North America develops and matures, there will be cases where a client wishes to have its registration structured such that more than one registrar may be involved. For example, a multi-site registration may be requested when the individual sites to be covered are already registered by more than one registrar. In such cases, SRI, as a member of the International Association of Accredited Registrars (IAAR), promotes cooperation among its registered members such that the client may be served effectively and efficiently.

A company can request a quote for the transfer of registration to SRI. Upon receipt of the request, SRI will review and confirm the scope of registration and SRI’s capabilities to provide a registration transfer meeting the company’s requirements. A proposal containing expected fees and further instructions would be provided. Potential client then accepts the SRI proposal and provides all necessary documentation on current registration. SRI will conduct a Quality Manual Review. Upon completion of registration requirements, SRI will issue a new certificate and provide appropriate public notification.

Typically after three years, SRI will conduct a renewal audit, which includes a review of the client’s policies and procedures. The on-site duration is typically slightly longer than the normal surveillance. (SRI adheres to the ISO/IEC Guide 62 adopted by ANAB and RvA (C074)).

Surveillance audits are typically conducted in six to twelve month intervals from the date of the registration audit. They can be scheduled three years in advance, although specific dates are usually set at the prior event and finalized approximately three months prior to the surveillance. An audit plan will be provided several weeks before the scheduled surveillance visit.

Registration will not be affected. If a product line is eliminated, the scope of registration may need to be revised and a certificate may have to be reissued. A restored product line should be brought to SRI’s attention in a timely manner and will be reviewed prior to or during the next surveillance.

On-site notification will be both verbal and documented Corrective Action Notifications (CANs). SRI’s corporate headquarters will issue a formal report after the assessment. The report will summarize the audit process, results and any open CANs that may exist.

SRI recommends, and our clients typically prefer, that the audit be completed to assist in finding any other areas of major and minor nonconformance. However, the option to stop the audit is always available to the client.

A follow-up on-site audit will be necessary if any major system nonconformances were cited.

Normally no. However, the impact and the severity of changes to the quality system will dictate the necessity. The lead auditor reviews changes during each surveillance activity.

A response with your plan of corrective action is required within 30 days of the audit event. Nonconformances are expected to be corrected within 90 days. Any major nonconformances require immediate attention. Any nonconformance(s) closure is a function of the standard or requirement selected.

The nature and magnitude of the scope modification dictates whether a revision and need for reassessment is warranted. Most modifications can be reviewed during the subsequent surveillance audits.