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. NameDoc. No.Rev. No.Rev. Dt.Retention Period
Auditor SelectionOEQ-D-060001.01.2023Live
Document ReviewOEQ -D-100001.01.2023Live
Stage I Audit program & ExecutionOEQ D-110001.01.20235 Years
Stage II Audit Program & ExecutionOEQ -D-120001.01.2023Live
Audit ReportOEQ-QF-31-400107.01.20255 Years
Audit Plan & Schedule – Stage-01OEQ-QF-290001.01.20235 Years
Audit Plan & Schedule – Stage-02OEQ-QF-300107.01.20255 Years
Audit Observation SheetOEQ-QF-410001.01.20235 Years
Opening / Closing Meeting Attendance SheetOEQ-QF-510107.01.20255 Years
Non-Conformity Closure ReportOEQ-QF-420001.01.20235 Years
Surveillance audit & NC closureOEQ-D-130107.01.2025Live
Directory of Certified ClientsOEQ-QF-440001.01.20235 Years
Certificate Decision and handlingOEQ-D-140107.01.2025Live
Re-Certification auditOEQ-D-200007.01.2025Live

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.