ISO 9001:2015 registrar Auditor requesting copies of procedure prior to audit

#1
All,

We have our ISO 9001:2015 Upgrade audit next week. I got a call today from our auditor and he requested copies of the procedures for our key processes.

I am newer in the quality world but have never sent this level of documentation to a 3rd part auditor before. I have sent him our QM already.

Is this a normal request?

Thanks!
 

ScottK

Not out of the crisis
Staff member
Super Moderator
#2
I have not been asked for this. I've provided the Quality Manual and a master document list, but not procedures or work instructions.

In fact the auditors I've worked with over the last 15 years don't take any copies if any procedures with them.

I'd ask why and say "we prefer not send our QMS documentation off site"

Sounds like the auditor is trying to get a jump on things and do the desktop part early.
 

AndyN

A problem shared...
Staff member
Super Moderator
#3
All,

We have our ISO 9001:2015 Upgrade audit next week. I got a call today from our auditor and he requested copies of the procedures for our key processes.

I am newer in the quality world but have never sent this level of documentation to a 3rd part auditor before. I have sent him our QM already.

Is this a normal request?

Thanks!
No, it's not normal. The auditors rarely get paid for their time to review before the audit. If the CB asks you, that's different. I'd tell the auditor you don't let documents off site.
 

Golfman25

Trusted Information Resource
Trusted
#5
Why punch him in the nose? If he is actually trying to understand what you do and how, why not help him. Imo it would be great if the auditor knew our operation. Saves me the trouble of explaining it again and again. As long as it's not The Colonel's secret recipe you should be fine.
 

Randy

Quite Involved in Discussions
Involved in Discussions
#6
Nope not right, not even. I'd have a couple comments to make but I'll hold back. If he's insistent ask for another auditor because this isn't the norm and it's not taught that way.
 

Sidney Vianna

Post Responsibly
Staff member
Super Moderator
#7
Is this a normal request?
As already mentioned, this is not the norm, for 3rd party auditing. A couple of things you can do:
Call the technical manager at the CB and ask if it is their policy to have auditors requesting these documents ahead of the audit or is this a case of an auditor going rogue. Ask them also if they are willing to sign a draconian Non Disclosure Agreement before the documents are released. That should kill it.
From a risk based perspective, how much proprietary information is in the documents?
 

dsanabria

Quite Involved in Discussions
#8
All,

We have our ISO 9001:2015 Upgrade audit next week. I got a call today from our auditor and he requested copies of the procedures for our key processes.

I am newer in the quality world but have never sent this level of documentation to a 3rd part auditor before. I have sent him our QM already.

Is this a normal request?

Thanks!
Be aware that good 3t party auditors will audit your processes to the standard. Internal audits should have audited to your procedures and the standard...

So, if a third party auditor is asking for procedures... get another auditor because this is a new auditor with old having - requesting procedures is not the norm.
 

Jen Kirley

Quality and Auditing Expert
Staff member
Administrator
#9
Welcome to the Cove!

Your auditor has it backwards. The audit has not even started yet - the opening meeting has not been conducted. He should review your system and practices while on site, and compare them to the standard and your procedures. Since documented procedures are not required in most cases, I ask for the procedure if I find something that looks like it does not conform to requirements.

I would politely decline and indicate they will be made available during the audit.
 

Randy

Quite Involved in Discussions
Involved in Discussions
#10
Welcome to the Cove!

Your auditor has it backwards. The audit has not even started yet - the opening meeting has not been conducted. He should review your system and practices while on site, and compare them to the standard and your procedures. Since documented procedures are not required in most cases, I ask for the procedure if I find something that looks like it does not conform to requirements.

I would politely decline and indicate they will be made available during the audit.
Yep, you may be getting the sow's ear instead of the silk purse.:lol:
 
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