Certification Audit Program and Execution
1.0 Purpose
The purpose of this procedure is to:
Define the requirements for Stage-I & Stage-II audit
Process steps and reporting
Criteria for issue of certificate of compliance and conditions
Maintain records
2.0 Scope
Applicable to all the Management systems to be certified by OEQ.
3.0 Definitions & Abbreviations
Top Management: Governing body of the organization made of MD & EC
MD: Managing Director
OEQ: OEQ Certification Pvt. Ltd.
CAR: Corrective Action request
Document Review: Verify adequacy of the management system documents to the relevant contractual standard including any exclusion. Document review will be conducted on site along with Stage I audit or off site
Stage I: Verify the following
Clients management system documentations
Evaluate client’s location and site-specific condition
- Are the objectives / targets and policy of company determined?
- Are the conditions of client and site-special conditions adequate for the system(s)?
- List the company's legal regulations that they are obliged to abide by? - List the necessary licenses/permissions?
- Verification of the shifting system including dispersion of total employee numbers per each shift provided by the application. Justification of selected shift that will be audited during Stage-2 Audit
Verify client’s preparedness for Stage II audit
Review client status and understanding regarding the requirements of the standard
Collect information regarding scope, processes, statutory and regulatory requirements, exclusions claimed etc
Review the allocation of resources/logistics for stage II audit
Internal audit and Management Review are planned and performed
Identify concerns if any in the planning of management system
Stage II: Verify the following
Compliance to contractual standards, documented Systems, statutory and regulatory requirements
Effective implementation of the planned management systems
Management commitment
Awareness of the system across the organization
Acceptance of the management system for Recommendation for issue of certificate of compliance with/without conditions or otherwise
Follow up Audit: Follow Up audit is recommended when it is considered that on site verification is required to verify the corrective actions for the non-conformances recorded during any base audit. Verify the following:
Effectiveness of the Corrective action taken for the non-conformances identified during the base assessment
Revision to the system documents if any
4.0 Reference Documents
| Doc. Name | Doc. No. | Rev. No. | Rev. Dt. | Retention Period |
|---|---|---|---|---|
| Auditor Selection | OEQ-D-06 | 00 | 01.01.2023 | Live |
| Document Review | OEQ -D-10 | 00 | 01.01.2023 | Live |
| Stage I Audit program & Execution | OEQ D-11 | 00 | 01.01.2023 | 5 Years |
| Stage II Audit Program & Execution | OEQ -D-12 | 00 | 01.01.2023 | Live |
| Audit Report | OEQ-QF-31-40 | 01 | 07.01.2025 | 5 Years |
| Audit Plan & Schedule – Stage-01 | OEQ-QF-29 | 00 | 01.01.2023 | 5 Years |
| Audit Plan & Schedule – Stage-02 | OEQ-QF-30 | 01 | 07.01.2025 | 5 Years |
| Audit Observation Sheet | OEQ-QF-41 | 00 | 01.01.2023 | 5 Years |
| Opening / Closing Meeting Attendance Sheet | OEQ-QF-51 | 01 | 07.01.2025 | 5 Years |
| Non-Conformity Closure Report | OEQ-QF-42 | 00 | 01.01.2023 | 5 Years |
| Surveillance audit & NC closure | OEQ-D-13 | 01 | 07.01.2025 | Live |
| Directory of Certified Clients | OEQ-QF-44 | 00 | 01.01.2023 | 5 Years |
| Certificate Decision and handling | OEQ-D-14 | 01 | 07.01.2025 | Live |
| Re-Certification audit | OEQ-D-20 | 00 | 07.01.2025 | Live |
5.0 Procedure
For every client post registration and contract review an audit program will be generated considering the size of the client, the scope and complexity of its management system, products and processes as well as demonstrated level of management system effectiveness and the results of any previous audits by technical Manager.
The following list contains additional items that can be considered when developing or revising an audit programme:
- Complaints received by the OEQ about the client
- Combined, integrated or joint audit
- Changes to the certification requirements
- Changes to legal requirements
- Changes to accreditation requirements
- Organizational performance data (e.g., defect levels, key performance indicators data)
- Relevant interested parties’ concerns
OEQ follows a three-year certification cycle with minimum of following assessments:
- Adequacy review
- Stage I Audit
- Stage II Audit
- 2 Surveillance Audits (Once every year)
- Re-certification (If client is retained for next cycle)
- All Audit Plan and Schedule are approved by any member of EC or Director on sampling basis
- Depending on scope, objective, criteria and EA code, number of man-days is selected using IAF Mandatory Document and OEQ’s Audit Time Calculation Procedure
- Audit team includes team leader and auditor. Technical Expert added if auditor lacks technical competence
- Stage-1 executed per plan; follow-up audit considered if needed
- CAR initiated by auditor for Stage 1 findings
- Stage-2 executed covering Opening Meeting, Plant/Facility Tour, Process-wise audit, and Closing Meeting
- If compliant, conformance report generated and sent to OEQ for review
If there are no Major Nonconformities:
- Recommendation posted in closing meeting; CAR raised for minor NCs
- Client submits CA and supporting docs to OEQ
- OEQ auditor reviews and forwards to EC for certification decision
- Minor NC CA report due within 30 days
If there are Major Nonconformities:
- Follow-up audit recommended; CAR requested
- Client submits CA and supporting docs
- OEQ auditor reviews and recommends clearance
- Major NC follow-up audit must occur within 90 days
- Technical Manager plans audit and sends kit to OEQ
- If compliant, certification decision made and certificate couriered to client
- Surveillance audit plan shared 7 days before audit
- Auditors assigned per selection procedure
- Audit conducted and conformance evaluated
- Conformance report generated if compliant; kit sent to OEQ
- Follow-up audit planned as required; reviewed by OEQ
- If compliant, EC recommends continuation of certification
- Client processed for Re-Certification after 2 Surveillance Audits
- Unresolved major NCs may lead to suspension/withdrawal
- Results of NC acceptance/non-acceptance communicated via email or other means
Surveillance Activities
OEQ monitors certified clients between certification cycles through Website Verification, Logo Usage reviews, Market and Auditor Feedback, etc., at least once every six months.