Procedure 4 Assessment Scheduling and Audit Team Appointment

Transcription

1 Procedure 4 Assessment Scheduling and Audit Team Appointment

2 Table of Contents 1 Assessment Scheduling and Audit Team Appointment Process Flow Initial Welcoming Letter and Obtaining Documentation Auditor Appointment Acknowledgement Document Revision History... 4 Proc 04 / Issue 7 Page 1 of 4

3 1 Assessment Scheduling and Audit Team Appointment Process Flow Responsibilities Supporting Inputs Procedure 3 Procedure 5 Procedure 16 Issue Welcoming Letter See Section 2 below Chase Organisation through Brought Forward System No Documents Received? See Section 2 below Yes See skills matrix Procedure 11 Suitable Audit Team selected Skills matrix used to ensure that team has capability, skills and experience required to assess all aspects of clients system Operations Manager Arrange Assessment Date Liaise with client and audit team, ensure within specified time frame (12 months etc) Operations Manager Issue AAA (Form 3's) to auditor Ensure IMS Purchase Order number shown and AAA Scheduling letter sent to client Standard letters file, letter 6a etc Chase through Brought Forward System Audit Pack sent to audit team and request plan Send past information (Reports, DMS, 3 Year Programme) to help team prepare appropriate audit plan Audit Plan Received from Audit Team See Auditor Handbook (Doc 32, 33) for relevant procedures and information on audit plan preparation Issue Audit Plan to client with invoice Ensure Audit information is correct prior to sending (date, audit team etc) Update Brought Forward system for future activites See working instructions and procedure 16 Proc 04 / Issue 7 Page 2 of 4

4 2 Initial Welcoming Letter and Obtaining Documentation When an organisation has accepted the quotation from IMS an initial welcoming letter is sent to the client. Information shall be requested during this process dependant on the scheme and status of the organisations certification. The welcoming letter is not issued for organisations controlled by SIMS (Critical Location). If an organisation is transferring their certification from another Certification Body (Proc 6), the transfer letter (Standard Letter 3F) is issued. If an organisation is starting a new scheme and we have identified that a Document Review is required then standard letter 3A is issued. If an organisation is starting ISO certification then standard letter 3I is issued. If an organisation is starting a new scheme and we do not require any documentation then Standard Letter 23 is issued. When a letter has been issued, a Brought Forward shall be issued in order to chase the receipt of any requested documentation, this shall generally be for 14 days time unless the client informs us that they do not wish to schedule in their assessment for a period longer than 90 days time. The above letters can be issued by . 3 Auditor Appointment Acknowledgement Auditor Appointment Acknowledgements (AAA s/form 3 s) are issued to all auditors before each audit, the AAA will communicate to the auditor the requirements and information relevant to the audit activity. The form (Sage PO or Form 3 s) will dictate the full required fields of information but will generally be the client name, the type of audit, the standard of the audit, the scope of the audit, audit team members, the length of the audit and the date of the audit. When informing the auditor of the length of the audit the administration team will inform the split of audit time required for multiple standard audits. For example, the ISO 9001 section of the audit may require 1 day, the ISO section may require 2 days and the OHSAS section may require 3 days. The auditor should plan the audit accordingly. The AAA s will be signed and returned by each auditor. Proc 04 / Issue 7 Page 3 of 4

5 4 Document Revision History Date Amendment Revision 14 th February Added this revision history block Revamped the process flow to bring in line with current procedures and to update the responsibilities in line with current organizational structure Added the welcoming letter section and included the information for ISO requirements for obtaining information Added in section 4-Auditor Appointment Acknowledgement 19 th May 2015 Slight amendment to allow for different versions of Form 3 s (AAA s) Removed requirement for welcoming letter for SIMS Added requirement for auditors to sign the AAAs and return 7 Proc 04 / Issue 7 Page 4 of 4