Surveillance Procedure

9.0       Surveillance Audit: Surveillance audit is organized as per auditor’s recommendation, based on business volume, its complexity, and stability of the organization’s management system. It is necessarily conducted within one year(or as agreed in contract) from the date of certification however RCPL Starts the first surveillance audit process in 10th month/two months  from the date of initial certification Ref:- ISO 17021-1:2015. This is done to maintain confidence that the certified client continues to maintain conformity with the audit criteria during the validity of the conformity certificate.

Surveillance audit report is prepared in Form RCPL/F/15 (QMS/EMS/FSMS). After getting auditor’s clearance, certification/ registration continuation letter is issued to the client.

9.1 objective of the recertification audit

The objective is :

a) To assess the continued effectiveness of the management system in the light of internal and external changes since last audit with reference to the scope of the QMS certification

b) To assess whether the operation of the certified management system contributes to the achievement of the organization's policy and objectives.

c) To verify that the client is following the conditions of certification

Ref: Audit standard ISO 9001, 14001, 22000:2018

Records: Surveillance Audit pack / Audit file forms

10.0 Recertification:

Recertification process is initiated at least two month before the specified expiry date of the certificate. Information about any substantial change in management, machinery, process and QMS /EMS/FSMS scope is gathered, and if substantial change is reported, stage-1 audit is planned to assess suitability of the documentation with current process status of the client.

When no substantial change is reported Stage-1 audit is not conducted, and certification audit is planned. Audit duration for recertification audit is fixed as 2/3 of the initial audit duration. When stage-1 audit is conducted the audit duration is kept as during initial certification audit, however some reduction (10%) in the audit duration may be planned due to familiarity of the client.

As per our defined procedure recertification audit is also conducted only after informing the client about the audit plan and after receiving client’s consent.

10.1 objective of the recertification audit

a) To assess the extent of the effectiveness of the management system in the light of internal and external changes with reference to the scope of the QMS /EMS/FSMS/ certification

b) To assess whether the operation of the certified management system contributes to the achievement of the organization's policy and objectives.

c) To verify that the client is following the conditions of certification