AS9120 2-Stage Registration Process

AS9120 requires a two stage registration process.

Stage 1 (Readiness Review) Audit:

The readiness review is an on-site audit that includes a comprehensive review of documentation and key management processes to ensure their adherence to the requirements…


This activity is optional and is not required to achieve certification, however, it provides several benefits including: identification of system gaps, familiarity with the auditor and auditing process.

There are a number of reasons for the stage 1 Audit:

    • To review the system and its documentation (normally for compliance to the ruling standard)
    • Confirm that the quality manual follows the requirements of AS9120
    • Ensure the scope is applicable and accurate for certification
    • Determine the state of readiness of the organization for the registration audit (stage 2)
    • Confirm/plan the stage 2 audit arrangements (schedule, personnel, timing etc)
      • Including ensuring the existence of any other sites which may have been omitted.

There is no real ‘auditing’ done, but instead there is confirmation that all requirements and conformity for the standard are being met. The pre-assessment is a flexible approach to having the system ‘tested’ to see if it has any obvious weaknesses which may only be apparent to the CB (Certification Body) auditor, or to get ‘calibrated’ with the approach of the CB auditor etc.

Stage 2 (Certification Audit):

The purpose for the Stage 2 Audit is to confirm a corporation’s quality managmenet system is fully compliant with AS9120.

After one to two months following the Stage 1 audit, the certification body will return to aduit your entire quality system. The CB will analyze each process within your organization for compliance with AS9120. This includes such things as: customer requirements, and legal and organizational requirements. The length of the Stage 2 audit is determined by the size of the organization, number of sites, and the functions included within the system. The auditor will complete the following types of activities:

  • Execute sample audits of the processes and activities outlined in the scope.
  • Report how well the quality management system complies with AS9120
  • Report how well the quality magagement system complies wiht the organization’s quality manual and procedures.
  • Report all non-conformances so that they can be assessed further.
  • Create the surveillance plan for the organization and choose dates for the first surveillance visit in the following months.

If the Certification Body does not discover any serious facts which would contradict lead auditor findings stated in the certification audit report and proposal of lead auditor for certificate awarding, Director shall issue the consistent statement to the lead auditor’s statement and shall award the certificate.

Surveillance audits

Certification body performs surveillance audits once per year during the issued certificate validity. Surveillance audits are performed and documented in an analogical way like the certification audit. Lead auditors shall elaborate the surveillance audit report within 14 days from the realization of surveillance audit.

Transfer of accredited certification

Transfer of accredited certification means appreciaton of existing and valid management system certificate awarded by other accredited certification body for the purposes of certificate award by QSCert.


The Certification body, otherwise known as registrars, are the auditors that come complete the stage 2 certifcation audit within your corporation. Finding ANABaccredited registrars can be done by completing the free direct quotation questionnaire.

Select a Certification body/Registrar. Do this early, within the first few months into your implementation project and budget to cover the costs.
Registrar makes use of the AS9101-Rev D standard for Quality Management Systems Audit Requirements.
Registrar performs Stage 1 Readiness audit including a documentation review, after your procedures are finalized and approved.
Registrar performs Stage 2 Registration audit, approximately 3 months after you have used your QMS and generated sufficient records to prove that your are in compliance.

Address non-conformances, if any, found during the audit.
Receive Quality Management System Certificate.
CELEBRATE your AS9120 QMS Accomplishment.

The AS9120 QMS Registration / Certification Process is one of the tasks that organizations take on the journey to a recognized quality management system. This important step is included in the AS9120 Workbook that details a series of tasks associated with the preparation, development, implementation and registration phases for the quality project. Get more information on the workbook Task 1 through Task 28.


Our All-in-One Certification Package is a proven, efficient system. It gives you all you need to prepare for registration – in one simple to use package.

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