It’s Audit Season!

by Kathy Bimber

The Auto Glass Safety Council™’s (AGSC) 2016 audit season is officially underway. One cluster of audits has already been completed and the next cluster is about to start.

For companies that have been audited in previous cycles, this will not be your first audit so you have an idea of what is ahead. For our newer Registered Member Companies, this is your first audit and the experience is totally unknown to you.

To help alleviate some of the anxiety, here is a quick overview of the audit process.

Notification of the Audit

No later than 60 days prior to the audit you will be sent a notification packet through postal mail as well as an email stating the week during which your audit will take place.

This notification includes:

1. Five questions for you to answer and submit to AGSC. These questions are location-specific, such as the number of auto glass replacement (AGR) technicians that are employed at the location, the days and hours that the location is open, and how your records are kept (hard copy or electronic). This information helps us verify the information that we have on file for your company and helps Orion Registrar, our third-party auditor, to know approximately how long the audit will take and if there are any special circumstances that they need to be aware of in preparation for your audit;
2. A list of documentation that you will need to provide to Orion Registrar prior to the audit. By providing this information to Orion you are enabling the auditors to accomplish part of the audit ahead of time. This helps to shorten the amount of time the audit will take at your company location;
3. A list of instructions and requirements for the audit. This list includes instructions such as having a windshield installation job available on the day of the audit for each of the AGR technicians employed at the location. It also includes further documentation that you might need to have available on the day of the audit to show compliance to the current AGRSS^TM Standard;
4. A copy of the current ANSI/AGSC/AGRSS^TM Standard;
5. A copy of the AGRSS Compliance Checklist. This is the checklist that the auditor will use for each windshield installation observed at your location; and
6. A copy of Attachment C – Your Guide to Your Third-Party Validation Audit. This provides an overview of the audit process.

The Scheduling of the Audit

Approximately 30 days prior to the week during which you are notified that your audit will take place, Orion Registrar will call you to schedule the specific date and time of your audit.

The Audit

On the day of your company’s audit, the auditor will arrive at your location and will speak to all of the employees (or a smaller group, if preferred), providing an overview of the audit process. Then the auditor will watch each of your AGR technicians install a windshield. During the installation the auditor will ask each technician questions about what he/she is doing as well as what he/she might do should a specific instance occur. Samples of these questions can be found in the AGRSS Compliance Checklist.

Once all the windshield installations are complete, the auditor will begin the process of auditing the records that are required to be kept according to the current AGRSS™ Standard. The auditor will also look at the storage of the materials used for windshield installations.

The Results of the Audit

After the entire audit process is complete the auditor will meet with the management of the location to discuss the findings of the audit and discuss any questions you may have.

The auditor’s findings will be classified as one of the following:

1. Validated as Compliant – The company administration and technicians at the audited location have been found to be in compliance with the AGRSS™ Standard in all respects. Once the AGSC has been notified by Orion Registrar that the company has passed the audit, we will provide the company with a certificate of compliance as well as a press release for the company to personalize to advertise the successful completion of their audit.
2. Validated as Compliant Pending Correction of Deficiencies – This designation is provided to companies that will be deemed compliant if they correct one or more instances of non-compliance as found by the auditor and show proper evidence of this correction during the re-audit of the location.
3. Determined Non-Compliant – Companies that do not permit the audit to be conducted properly or completed in a reasonable timeframe will be determined non-compliant. Their AGSC registration will be cancelled immediately.

The Re-Audit

If your company location was found to be “compliant pending correction of deficiencies,” a re-audit of the location will be scheduled by Orion Registrar approximately six weeks after the original audit. At this time, the auditor will return and verify that all non-compliances have been corrected. If the non-compliance was only paperwork-related, the auditor is sometimes able to re-audit the records without having to return to the location. Orion Registrar will let you know if this is the case.

If the auditor determines that all non-compliances have been corrected, your company will be classified as “validated as compliant” and will receive a certificate of compliance from AGSC as well as a press release that can be personalized to advertise the company’s successful completion of the audit.

If the auditor determines that the all non-compliances have not been corrected, your company will be classified as “determined non-compliant” and your AGSC registration will be cancelled immediately. Should this be the case and you feel this determination is incorrect, you may file an appeal for the non-compliance with the AGSC Validation Review Board. Contact the AGSC office for more information on this process.

While the thought of being audited typically creates an anxious response, I hope that this overview will help to reduce some of that anxiety. Many company representatives have told me at the conclusion of their audit that it was not as bad as they thought it would be and they are glad they had the experience. After all, by being an AGSC Registered Member Company you are saying you are committed to safety and replacing windshields according to the AGRSS™ Standard. By successfully completing your audit, you prove it; not all windshield replacement companies have that proof.

As always, should you have any questions regarding the audit process or if I can be of further assistance to you, please contact me by email at kbimber@agsc.org or by phone at 540/602-3263.