Reference to Certification and Use of Marks
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
Scope
Applicable to all the Management systems to be certified by OEQ.
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
Procedure
For every client post registration and contract review an audit program is generated by technical Manager.
Following are the conditions applicable to all certified clients of OEQ :
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. The audit program is communicated to the audit client and consensus is taken from them regarding the program
Depending on the scope, Objective, criteria and EA code, number of man-days is selected for the audit client. While selecting number of days IAF Mandatory Document number is considered and as per the Procedure of Audit Time Calculation
Depending on the factors mentioned above Audit team is selected which includes Audit team leader and auditor. If required Technical Expert is also selected if the auditor is not technically competent.
Document review is done by the Audit team leader to check the readiness of Management system and provide the clearance for audit plan. If auditor feels appropriate, he can club document review with stage 1.
tage-1 Executed as per plan and if required follow up audit is also considered for planning.
Stage-1 Executed as per plan and if required follow up audit is also considered for planning.
Auditor initiates CAR based on findings of Stage 1 audit
Stage-2 Executed as per plan considering following parameters: - Opening Meeting - Plant / Facility Tour - Process wise audit Closing meeting
If the system conforms to the criteria, Auditor generates the conformance part of the report and the audit kit is sent to OEQ for review.
If there are no Major Non conformities during the audit, the following steps will be initiated:
Auditor to post recommendation for certification in the closing meeting and initiate CAR for all minor NC's.
Audit client initiates CA based on the findings and submits the CAR's along with supporting document to OEQ for review
OEQ auditor reviews the CAR and forwards to EC for certification decision
For Minor NC – There should be 30 Days of Time Period for Sending the CA Report.
If there are Major Non conformities during the audit, the following steps will be initiated:
Recommend a follow up audit and request for CAR.
Audit client initiates CA based on the findings and submits the CAR's along with supporting document to OEQ for review.
OEQ auditor reviews the CAR and recommends clearance for follow up audit.
For Major NC-There Should be 90 Days of Time Period for Follow up Audit.
Technical Manager to plan for follow up audit in coordination with Audit client and Auditor and the audit kit is sent to OEQ for review.
If the audit kit is complying, EC recommends for certification. Technical Manager to courier the copies of Certificate to the client.
Technical Manager to circulate the surveillance audit plan at least seven days before the audit.
EC/Technical Director allocates auditor as per auditor selection work instruction
Auditor executes the audit as per audit plan and evaluates the conformance against criteria
If the system conforms to the criteria, Auditor generates the conformance part of the report and the audit kit is sent to OEQ for review.
Technical Manager to plan for follow up audit in coordination with Audit client and Auditor and the audit kit is sent to OEQ for review.
If the audit kit is complying, EC recommends for continuation of certification.
Client processed for Re-Certification post two Surveillance Audits
If the major non conformity is not closed, Auditor to recommend Suspension and withdrawal process