Audit Process

Audit Process

Annex 1: Audit Process:

1.1 Title:

Standard Operating Procedure of Audit Process.

1.2 Purpose:

This process explains the process of auditing for certifications.

1.3 Scope:

This procedure is applicable to all types of certification activities carried down by RICGISO, normal audits, any audit initial and surveillance which is part of original contract.

1.4 Responsibilities:

Quality Assurance Analyst Committee (Lead/Auditors, Assessors, Certification Manager, GD and CEO).

1.5 Policy and Methods:

RICGISO work on IAF methodology developing the audit management through it is professional team which is certified by IRCA & Exemplar Global The policy and procedure stand as below:

1.5.1. The (QAAC) review the application and choose the audit team according to the procedure AFG, to check the criticality of the client scope and decide the specific date of observation and inspection through Lead Auditors, Auditors, translators, interpreters, assessors, and auditors with auditors training.

1.5.2. The (QAAC) confirm the dates for the audit and confirm with the client by planning and confirmation of clients.

1.5.3. The selected auditor team information will be sent to the client for confirmation on visit.

1.5.4. If any observers were required to be witness during audit, Approval from the client will be taken and the arrangement of observer will be borne by the client company, The observer is allowed only as witness of audit and observation or witness report will be submitted directly to the Quality Assurance Analyst Committee (QAAC) of RICGISO, The observer will not interfere or influence the audit.

1.5.5. The audit team is provided the documents of the organization in case of first audit.

1.5.6. The audit team is provided the last audit report in case of any subsequent audits.

1.5.7. The audit team traveling arrangement will be confirm with the client.

1.5.8. The audit team is asked to follow guidance of audit practice group and ISO 17021 – 1:2015 during the auditing, Audit teams operate under lead audit who also act as team leader.

1.5.9. The audit team leader, in consultation with the audit team shall assign to each team member responsibility for auditing specific processes, functions, sites, areas or activities, such assignments shall into account the need for competence, and the effective and efficient use of the audit team as well as different roles and responsibilities of auditors, auditors in training and technical exports, changes to the work assignments may be made as the audit progresses to ensure achievement of the audit objective.

1.5.10. The audit team will periodically assess audit program and exchange information for multi day audit at the end of the day and for single day audit during lunch break, based on the information exchange re-assign the work as needed and also communicate audit progress and any concern to the client.

1.5.11. The audit team is fully authorized to suspend the audit, issue non conformity immediately if they find out that any con conformity is immediate threat to establishment of management system being audited, the time allowed for corrective action shall be minimum and shall be reviewed by the Quality Assurance Analyst Committee (QAAC) of RICGISO and communicate decision to the client and Certification Manager (CM) If it is a breach of an act of parliament or a contravention of a regulatory requirement then will suspend the audit and will immediately inform the certification body who then will notify the concerned regulatory body immediately, e.g. immediate threat to environment for EMS audit, Immediate threat to OHS, Director food safety risk for FSMS audit.

1.5.12. The action could b also be re-confirm or modification of audit plan changes to audit objective or audit scope or termination of audit.

1.5.13. The non-conformities would be classified major or minor based on the available evidences.

1.5.14. Audit report and summery, corrective action request form and recommendation letter is received from auditors.

1.5.15. The audit team is advised to contact Certification Manager (CM) in case of any dispute other than convenience.

1.5.16. The audit report will be sent it for review by the (QAAC).

1.5.17. The FSMS ISO-22000 multiple site audit duration will be calculated as per the ISO/TS 22003.

1.5.18. If any client wants for the certification in multiple sites and the same scope and activities than Quality Assurance Analyst Committee (QAAC) of RICGISO will make the audit program for sampling basis and use formula according to IAF guide MD 1:2007.

Surveillance Audit (6 months-12 months):

During the surveillance audit Quality Assurance Analyst Committee (QAAC) of RICGISO will select the auditor according to certification procedure, In Audit report of respective standard, (QAAC) will marked the * in mandatory clause which will be audited in every type of audit, During the time of surveillance of audit * rated clauses will be checked properly and sufficient evidence of conformity will be collected.

Re-certification (Renewal of Certification):

Once the surveillance audit has been completed the RICGISO will arrange the re-certification audit within the completion of 3 years certificate from the date of issue of the certification.