STEP 1

Complete the on-line questionnaire and return to AJA Registrars or request an information pack from your local office, which will include the questionnaire for the required service. Complete this questionnaire and return to AJA Registrars. We will then generate a Proposal of Cost (Quotation) for a three-year Cycle.

STEP 2

On acceptance of the quotation, submit the signed and dated Application (which is the final page of the Proposal of Costs) to confirm your intent to utilise the services of AJA Registrars. A confirmation of receipt and invoice for the first year's fees will be posted to you by return.

STEP 3

On receipt of a signed Application, a Lead Auditor will be allocated to your registration. He/she will contact you to agree a provisional schedule for your registration, explain the registration process and answer any questions you may have.

STEP 4

When your Procedures and Manuals and other system documentation are complete, submit these to your allocated AJA Registrars Lead Auditor for review against the requirements of the standard. (Note) for some standards, it is mandatory to carry out the review on site supported by a limited audit to validate the effectiveness of the documentation prior to the registration audit (EMS, ISMS, and FSMS) . This is referred to as a Document Review or Stage 1 Audit (EMS, ISMS, FSMS). Most potential problems can be identified during the document review/stage 1 audit and these can be eliminated by you prior to the formal registration/compliance audit.

STEP 5

On completion of the Document Review, the Lead Auditor will discuss and mutually confirm the registration audit date. This will take account of any time needed to make any adjustments to the documented system resulting from deficiencies identified during the document review.

STEP 6

Approximately two-week prior to the registration audit an audit itinerary will be prepared and sent to you by the Lead Auditor. This will provide an outline programme for the audit, identify the audit team if more than one auditor and identify any facilities and support, which may be required.

STEP 7

The main registration audit will commence with an opening meeting. During this meeting the methodology and conduct of the audit will be explained. The itinerary will also be confirmed and an opportunity given for any questions you may have regarding the audit. Who attends the opening meeting is a matter for the client but it is recommended as a minimum the key management personnel responsible for the implementation of the system are in attendance.

STEP 8

The registration audit will consist of sampling of objective evidence (records) observation of working practice and discussion with personnel at all levels of your company's organisation. A brief outline of the progress to date of the audit will be given at the close of each day.

STEP 9

Should the Lead Auditor decide at any time during the audit that there is a complete breakdown of the system against the requirements of the standard, then a meeting will be called with senior management to advise you of the Team's findings and agree with you a course of action. It is worth noting however that this is a rare occurrence.

STEP 10

On completion of the main registration audit, a closing meeting will be convened to provide an overview of the audit and detail the audit findings and recommendations. Deficiencies identified will be documented within a Corrective Action Request (CAR). Where these deficiencies are minor in nature, the CAR will be designated as a minor. Where major deficiencies are noted then the CARs will be designated as major. Minor CARs raised only requires a written indication of the action to be taken to address the deficiency before the certificate can be issued. Major CARs require completion of the corrective action and validation by the Lead Auditor. Whenever possible this will be done by submission of written evidence but in certain circumstances a return visit may be required to visually check that corrective measures have been implemented. In addition, at this meeting you will be advised of the surveillance routine operated by AJA Registrars.

STEP 11

It is general policy of AJA Registrars to produce a written report on site at the time of the main registration audit. Should this not be possible, a written report will be prepared within 10 working days of the registration audit. This report will then be reviewed by the appropriate Certification Manager on behalf of the Independent Governing Council of AJA Registrars, whose role it is to ensure that AJA Registrars are impartial and fair in its dealings with its customers. The Governing Council reviews reports retrospectively.

CERTIFICATE ISSUE

Certification issue is usually within 15 working days of completion of the audit.

SURVEILLANCE

Quotations will be provided on the basis of a 12 monthly or 6 monthly surveillance visit routine following the main registration audit. The 12 monthly routine is preferred by most of AJA Registrar clients. However the option exists for 6 monthly surveillance routines (for those who prefer more frequent visit programmes) and a quotation can be provided accordingly. When clients fail to effectively maintain their management system on a 12 monthly visit programme or during the main registration audit, there were sufficient concerns to indicate that 6 monthly visits are desirable, then AJA Registrars would retain the right to impose 6 monthly surveillance visits until confidence is restored.


CODE OF PRACTICE

Additional rules and conditions in AJA's Code of Practice (CoP). The current Code of Practice will be issued along with your Proposal/Application. It is important that you read this carefully.

IMPARTIALITY

AJA Registrar’s Impartiality Policy Statement can be viewed on line by clicking on the link below: