An audit is a formal check of management system of an business or organization. An External audit is conducted by independent and competent auditor. There are seven steps in the audit process that will be conduct by BCert.
Requesting Management System Document
After notifying the organization of the upcoming audit, the auditor typically requests documents listed on an audit preliminary checklist. These documents may include a existing management system documentation, internal audit report and management review. In addition, the auditor may request organizational charts and business process.
Preparing Audit Plan
The auditor looks over the information contained in the documents and plans out how the audit will be conducted. A risk workshop may be conducted to identify possible problems. An audit plan is then drafted.
Scheduling an Open Meeting
Senior management and key management system staff are then invited to an open meeting during which the scope of the audit is presented by the auditor. A time frame for the audit is determined, and any timing issues such as scheduled vacations are discussed and handled. Department heads may be asked to inform staff of possible interviews with the auditor.
Conducting Onsite Fieldwork
The auditor takes information gathered from the open meeting and uses it to finalize the audit plan. Fieldwork is then conducted by speaking to staff members and reviewing procedures and processes. The auditor tests for compliance with policies and procedures. Internal controls are evaluated to make sure they're adequate. The auditor may discuss problems as they arise to give the organization an opportunity to respond.
Wrap Up and Closing Meeting
The auditor prepares a report detailing the findings of the audit. Included in the report are data errors, posting problems, inconsistency to fulfill the requirements and other discrepancies. The auditor then writes up a commentary describing the nonconformity findings of the audit. And Asking for the auditee organisation to give feedback based on the audit Nonconformity Audit finding.
The auditor solicits a response from management that indicates whether it agrees or disagrees with problems in the report. At the closing meeting, all parties involved discuss the report and management responses. If there are any remaining issues, they're resolved at this point.
Submit Corrective Action
The client has to submit the corrective action plan in 14 Working Days. Where, the evidences have to submit in 60 days for Minor NC Finding and 90 days for Major NC Finding.
The lead auditor will give response on corrective action and its evidences.
Certification Decision
BCert Commitee will review the audit report and corrective action to evaluate the sufficiency process audit to take decision for issuing certificate.