The audit reports are reviewed at multiple stages.
Stage 1 includes administrative review. The submitted set of documents is reviewed for completion (also called administrative review) by AE. Audit report review checklist (F34) is used to record the review. AE issues a deviation note against the team leader (F35 Deviation note) if he finds one while administration review. AE submits his findings to Director Ops.Stage 2 includes technical review. The audit report (corrected if possible) along with audit report review checklist (F34) is submitted to Certification committee member for technical review which includes review of the information provided by the audit team is sufficient with respect to certification requirements, scope of accreditation and effectiveness of corrections and corrective actions are effective for all non conformances raised during the audit. Stage 2 shall be carried out by the auditor qualified for the specific EAC sector, provided he has not participated in the audit and has not declared any conflict w.r.t. the client. The person responsible for technical review is identified during the contract review (QP-SOP-08). It is the responsibility of the auditor to pro-actively declare of any conflict. The technical review may lead to a deviation note (F035), which is issued against the team leader, if a deviation is found. All auditors are trained for the review process. In cases where technical expert is used for the audit, the technical reviewer may discuss with the technical expert on the NC / observations used. The reviewer may also discuss any particular part of the report with the team leader / specific auditor. The reviewer also identifies if correction to deviation note (F035) issued needs to be completed prior to Stage 3. In case the audit report does not require review by certification committee chairman, the report is returned to AE for Stage 4.
Stage 3 includes decision making by certification committee chairman. Any audit report requiring issue of certificate (Stage 2 audit, change in scope or address, triennial audit etc) requires review and approval by certification committee chairman. For routine surveillance, the review by certification committee chairman is not required. The technical reviewer shall decide whether the report needs submission to certification committee chairman. Certification committee chairman reviews the findings of Stage 1 and 2 in addition to review of audit report prior to taking the decision. Correspondence related to the client (e.g. Complaints received against the client, changes in scope, media reports etc) are also reviewed during recertification decision. The decision taken is recorded on F034 form. For stage 1 audit, the stage 2 audit may be planned after technical review, however the certification committee chairman shall review the stage 1 audit report along with stage 2 audit before making his decision. The certification committee may ask for specific inputs from the client or send any auditor to the client to verify any part of the report.
In case Certification committee chairman is involved in the audit or is not available or has declared conflict w.r.t. any client, any other director reviews the audit report and takes the decision. The change is recorded on F034 form.
Stage 4 includes further action by Account Executive. AE reviews the decision taken by technical review member and / or certification committee chairman for the following –
- Preparing the certificate as per process detailed below.
- Updating the client data base w.r.t. changes in client details, NC’s issued in the audit, planning for next audit etc.
- Filing the report in the client file along with all relevant papers like audit notes, corrective actions submitted by client etc. Auditor performance evaluation sheets etc are filed in respective files.
- Verify compliance to all ETE Certification. quality and certification requirements