Certification Audit Program

For every client post registration and contract review, an audit program is generated by a Quality Manager. UCSPL follows a three-year certification cycle with a minimum of the following assessments to be covered as a part of every audit program:

• Adequacy review
• Stage I Audit
• Stage II Audit
• 2 Surveillance Audits (Once every year)
• Re-certification (If the client is retained for the next cycle)

All Audit Plans and Schedules are approved by any member of the controller or Director and reviewed by the MD on a 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, the number of man-days is selected for the audit client. While selecting the number of days, the IAF Mandatory Document number is considered and as per the Procedure of Audit Time Calculation.

Depending on the factors mentioned above, an Audit team is selected, which includes the Audit team leader and auditor. If required, a 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 the Management system and provide clearance for the audit plan. If the auditor feels appropriate, they can combine document review with Stage 1.

Stage-1 is executed as per plan, and if required, a follow-up audit is also considered for planning. The auditor initiates a CAR based on the findings of the Stage 1 audit.

Stage-2 is executed as per plan, considering the following parameters:

• Opening Meeting
• Plant / Facility Tour
• Process-wise audit
• Closing meeting

If the system conforms to the criteria, the Auditor generates the conformance part of the report, and the audit kit is sent to UCSPL for review.

If there are no Major Non-Conformities during the audit, the following steps will be initiated:

• The auditor recommends certification in the closing meeting and initiates a CAR for all minor NCs.
• The audit client initiates CA based on the findings and submits the CARs along with supporting documents to UCSPL for review.
• The UCSPL auditor reviews the CAR and forwards it to the Technical Committee for a certification decision.
• For Minor NCs – There should be a 30-day 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 a CAR.
• The audit client initiates CA based on the findings and submits the CARs along with supporting documents to UCSPL for review.
• The UCSPL auditor reviews the CAR and recommends clearance for the follow-up audit.
• For Major NCs – There should be a 90-day period for the follow-up audit.

The Controller plans for the follow-up audit in coordination with the Audit client and Auditor, and the audit kit is sent to UCSPL for review.

If the audit kit is compliant, the Technical Committee recommends certification. The Quality Manager circulates the surveillance audit plan at least seven days before the audit. The Director allocates an auditor as per the auditor selection work instruction.

The auditor executes the audit as per the audit plan and evaluates conformance against criteria. If the system conforms to the criteria, the Auditor generates the conformance part of the report, and the audit kit is sent to UCSPL for review.

The Quality Manager plans for a follow-up audit in coordination with the Audit client and Auditor, and the audit kit is sent to UCSPL for review. If the audit kit is compliant, the Technical Committee recommends the continuation of certification. The client is processed for Re-Certification post two Surveillance Audits.

If the major non-conformity is not closed, the Auditor recommends the Suspension and withdrawal process.