UL DQS Inc. / Prepared By: Sara Cuadrado / Issued: 11/30/09
Reviewed By: George Castro / Revised: 3/19/10
Approved By: Michael J. Caruso
Subject: / Procedure for Verification Group
1. PURPOSE
To define the global process for uploading and verifying all audit documents needed in order to raise the first pass yield through review, to improve turnaround time through certification generation, and to increase accuracy of payment of auditor expenses and invoice to the customer. This procedure only applies to the U.S. office for UL-DQS, due the significant size and scope of their operations.
2. SCOPE
This procedure applies to all audits falling under Annex programs as well as those performed for U.S. clients or with U.S. auditors.
3. APPLICABLE DOCUMENTS
Document Storage Location
4. DEFINITIONS
See Definition Document, Q-0000-3.
Customer Service (CS) – Individual that tracks audit progress, communicates information between Management Systems Services staff and the client
Verifications Administrator 1 (VA1)- Individual who verifies audit documents in the work flow tool (interchangeable with VA2)
Verifications Administrator 2 (VA2)- Individual who uploads documents for auditors into the document management system (interchangeable with VA1)
Concur- The company’s expense management system
Access Database- The company’s work flow tool
EASY- The company’s document management system
Sales Order Verification (SOV)- Verification that the information on the Sales Order is correct and can therefore be invoiced (done by the CS). This includes dates, mail to, contact information, rates, Annual Maintenance Fee, number of days and location.
Activity- A tool in dynamics which allows the work to flow from person to person once someone has completed their tasks and closed the action (assigning it to the next person).
CGCM- Document created by CS to show changes, and to consolidated information for the reviewer and the cert group. Reviewer signs CGCM approving changes and cert group creates the cert of signed CGCM.
5. GENERAL
5.1 This is the post-audit process that follows audits from completion through verification. It starts with Basic Data being uploaded from Dynamics into the Access Database and moves through the stages of receiving the audit documents, uploading those documents into EASY, verification, and passing through to review if needed or closing the file. This procedure also encompasses the CS completing the SOV, the escalation process, handling major nonconformities, and obtaining the Action Request Analysis (ARA).
6. PROCEDURE
UPLOADING DOCUMENTS
6.1 Each day VA2 will go through the emails received in the Docs email address in the order they were sent. VA2 will upload all documents sent in from the auditors into EASY. Documents received should be in accordance with Program Specific Requirements (see Appendix A) and loaded in accordance with the Document Storage Location.
Page 6 of 6Document Number: Q-1123-1 / Issued: 11/30/09
Subject: Procedure for Verification Group / Revised: 3/19/10
CONFIRMATION OF UPLOAD
6.2 Once documents are uploaded, VA2 will forward the auditors’ original email to CS, giving them notification that the Sales Order Verification can be completed. VA2 will also copy the email to the VA1 and auditor. If specified that Germany will do the review, VA2 will upload the docs to the Intranet allowing Germany to access the documents.
VERIFICATION OF AUDIT
Sales or CS will enter the requested services on STATS.
6.3 VA1 will go through all documents after the email notifications from VA2 are received. If all documents are uploaded and in accordance with work instruction, VA1 will indicate so in the Access Database. If required documents are missing, the VA1 will email the auditor to ask for the remaining documents, using the escalation process when necessary, and log missing documents in the Access Database. If all documents are in EASY, audit will be verified. Once the dates on the report and agenda are verified, VA1 will create an activity in dynamics (US-04) to alert the CSP that docs are in and they are ready for them to SOV it. Before putting an audit to review, VA1 will make sure that a CGCM has been submitted by CS if needed.
FINANCE
Sales or CS will enter the requested services on STATS.
6.4 The Finance Administrator will get email notifications when an auditor uploads the expense report into Concur. After making sure all the basic information is correct on the report, the Finance Administrator will make sure all receipts that are needed (anything over $25) have been submitted. If all is correct, the Finance Administrator will put the date the expense report was received into the Access Database. The expense reports will be approved and passed on to Accounting only after the Sales Order Verification is done and VA1 has verified the audit.
DUE DATES AND ESCALATION PROCESS
Sales or CS will enter the requested services on STATS.
6.5 All audit documents, except for ARAs, are due within five business days of the last day of the audit. AR’s for major nonconformities are due to the auditor within 10 days of the completion of the audit, and AR’s for minor nonconformities are due to the auditor within 30 days of the completion of the audit, unless otherwise stated by the auditor. ARAs are due to VA1 within five business days of the due date of AR’s.
6.6 The general escalation process is to first email the auditor. If the auditor does not respond within two business days, forward that email to the auditor again and copy the Business Line Manager. If neither the BLM or the auditor respond within two business days, forward that email to the auditor, copying the BLM and Vice President of Operations
MAJOR NONCONFORMITIES
6.7 When an auditor writes a major nonconformity, VA1 will send the audit to review right away. After ARA comes in or the Special Assessment is completed (whichever is first), the audit will be sent to review again.
EXPIRING CERTIFICATES
6.8 When a certificate is expiring within 30 days, it is marked Urgent in the Access Database. If ARA is not submitted yet, VA2 will start the email escalation process, regardless of if the ARA is due or not.
Appendix A
Program Specific Requirements to define the required documents needed for each program in order to be verified.
*All audits require a signed quote and contract loaded into EASY prior to audit
TS 16949
Stage 1: Report, Agenda,
Stage 2: Report, Agenda, DN/Turtle, Calc (Multi-site), IATF Sheet, TSA
Surveillance/CA: Report, Agenda, DN/Turtle, Calc (Multi-site), IATF Sheet, TSA
Triennial: Report, Agenda, DN/Turtle, Calc (Multi-site), IATF Sheet, TSA, Stage-1 Report or Waiver
*Updated PIF required with closure of ARAs
AS 9100/AS9120
Stage 1: Report, Agenda (on-site only), Lead Notes (on-site only)
Stage 2: Report, Agenda, AS9101/AS9121, QF, Lead Notes
Surveillance/CA: Report, Agenda, AS9101/AS9121, QF, Lead Notes
Triennial: Report, Agenda, AS9101/AS9121, QF, Lead Notes, Stage 1 Report or Waiver
ISO 9001
Stage 1: Report, Agenda,
Stage 2: Report, Agenda, QF, Detail Notes,
Surveillance/CA: Report, Agenda, QF, Detail Notes,
Triennial: Report, Agenda, QF, Detail Notes, Stage 1 Report or Waiver
ISO 14001/RC 14001/OSHA 18001
Stage 1: Report, Agenda,
Stage 2: Report, Agenda, QF, Detail Notes,
Surveillance/CA: Report, Agenda, QF, Detail Notes,
Triennial: Report, Agenda, QF, Detail Notes, Stage 1 Report or Waiver
TL 9000
Stage 1: Report, Agenda,
Stage 2: Report, Agenda, QF, TL Adder checklist, Pre-Audit Data Sheet, Detail Notes,
Surveillance/CA: Report, Agenda, QF, TL Adder checklist, Pre-Audit Data Sheet, Detail Notes,
Triennial: Report, Agenda, QF, TL Adder checklist, Pre-Audit Data Sheet, Detail Notes, Stage 1 Report or Waiver
Medical (ISO 13485)
Stage 1: Report, Agenda,
Stage 2: Report, Agenda, QF, Detail Notes, CAPM[*]
Surveillance/CA: Report, Agenda, QF, Detail Notes CAPM*
Triennial: Report, Agenda, QF, Detail Notes, Stage 1 Report or Waiver, CAPM*
ESD
Stage 1: Report, Agenda
Stage 2: Report, Agenda, QF, Detail Notes
Surveillance/CA: Report Agenda, QF, Detail Notes
Triennial: Report, Agenda, QF, Detail Notes, Stage 1 Report or Waiver
Desktop / Transfer
ISO 9001 Program
1. Transfer Form – QF-0300-3
2. Assessment report from the registration assessment or the last triennial reassessment (if one has been performed since the registration audit)
3. All surveillance audit reports since the registration or reassessment, evidence of customer corrective action completion from the most recent assessment
4. A copy of the current certificate.
5. A summary of the customer complaints received since the last assessment and actions taken
ISO/TS 16949
1. Transfer Form – QF-0300-3
2. Previous audit report and all findings issued by the existing certification body for the site and any remote support functions,
3. Key indicators of quality management system performance,
4. A copy of the current certificate
AS9100/9120 Program
1. Transfer Form – QF-0300-3
2. Assessment report from the registration assessment or the last triennial reassessment (if one has been performed since the registration audit),
3. All surveillance audit reports since the registration or reassessment, evidence of corrective action closure and current CB acceptance
4. A copy of the current certificate.
5. Current customer satisfaction data and actions taken on any unsatisfactory issues including but not limited to customer report cards, customer audits, and customer status changes.
6. If the certificate expires within 12 months of the transfer, all documents required for an S1 and S2. If greater than 12 months, all documents required for a Surveillance/CA.
Medical (ISO 13485)
1. Unless otherwise specified, same documentation as the ISO 9001 program.
TL 9000
1. Unless otherwise specified, same documentation as the ISO 9001 program.
ESD
1. Unless otherwise specified, same documentation as the ISO 9001 program.
9/16/91
UL DQS Inc.
Revision History Sheet
Document Number: Q- 1123-1
Document Title: Procedure for the Verification Group
Date / Description of Change / Originator11/30/09 / Original issue to document the procedure for the Verification Group / S. Cuadrado G. Castro
3/19/10 / Revising Verification Group procedures, definitions, and updating required audit documents required per standard / S. Pinter
[*] cycle assessment planning matrix