Procedure 314, august.2008, witness audit instructions

Author: L. Bernstein Social Accountability Accreditation Services Issue: 1

Approval: R. Zaid SAAS Global Work Instruction 314 Effective: August 8, 2008

Work Instruction 314: Version: August 2008 © of 7

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SOCIAL ACCOUNTABILITY

ACCREDITATION SERVICES

Accreditation Work Instruction

Accreditation Process: Witness Audit

TABLE OF CONTENTS

Page

1.0 PURPOSE.........................................................................................................................2

2.0 SCOPE..............................................................................................................................2

3.0 DEFINITIONS .................................................................................................................2

4.0 REFERENCES .................................................................................................................2

5.0 INSTRUCTION................................................................................................................2

6.0 WITNESS AUDIT............................................................................................................2

7.0 POST-AUDIT ACTIVITIES............................................................................................6

8.0 RECORDS........................................................................................................................6




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1. Purpose: This instruction defines the requirements for the assigned SAAS Lead Auditor and other members of the SAAS

audit team to plan and conduct witness audits for applicant and SAAS-accredited certification bodies.

2. Scope: This instruction applies to all SAAS certification body clients undergoing witnessed audits for initial

accreditation, reaccreditation, or surveillance of a scheduled or unannounced audit.

3. Definitions: No specific definitions

4. References: a. ISO/IEC Guide 62:1996 (ISO/IEC 17021:2006 is accepted as an alternative and is required as of

September 15, 2008)

b. ISO Guide 19011:2002

c. SAAS Procedure 150 (SAAS Procedure 200 is accepted as an alternative and is required as of

September 15, 2008)

d. SAAS Procedure 201, Accreditation of Certification Bodies of Social Accountability Systems

e. SAAS Form 310, Audit Tracking-Overview

f. SAAS Form 310A, Audit Tracking-Details

g. SAAS Form 315, Witness Audit Report

h. SAAS Work Instruction 316, Office Surveillance Audit Process

i. SAAS Work Instruction 318, Writing CARs and Analyzing CAR responses

j. SAAS Form 408, Applicant Document Checklist

k. SAAS Form 415, CAR Form

l. SAAS Audit Plan and Estimated Fees

5. Instruction: 5.1. This instruction is effective upon the auditor’s acceptance of the assignment as an Auditor for the witness

audit of a SAAS client.

a. SAAS shall select the remainder of the audit team with the input of the assigned Lead Auditor.

b. In the case that the SAAS auditor does not speak the local language, an independent, non-CB staff

interpreter must be present. All interpreters and translators will be provided by SAAS and charged out

to the CB. If this is not possible, the CB, in conjunction and upon approval by SAAS, will arrange for

the hiring of the interpreter.

c. SAAS shall ensure that the audit team members are accepted by the applicant, per Procedure 201,

section 11.1.

5.2. SAAS will provide the Lead Auditor with a copy of appropriate CB documentation.

a. These include the CB’s application, document review and office audit report (for initial witness audits)

and previous audit reports for surveillances, as well as a copy of the SAAS Fee Schedule that has been

agreed upon with the CB.

b. The SAAS accreditation auditor will review the number of days that are proposed by SAAS to ensure

that the cited days are adequate to perform the audit function.

6. Witness audit: 6.1. The purpose of the witness audit is to verify that the certification body’s SAAS-accredited (or applicant)

certification system program is effectively implemented by witnessing their performance of a certification

or surveillance audit (for currently accredited Certification Bodies) at the CB client’s premises.

a. SAAS shall witness a stage 2 audit and shall conduct a review of the procedures and report from the

stage 1 audit undertaken by the CB.




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6.2. Audit planning:

6.2.1 Except for the commercial relationship between the CB and SAAS, the Lead Auditor is

responsible for planning and managing the witness audit process.

6.2.2 The CB is responsible for providing the SAAS lead auditor with the appropriate amount of

documentation (e.g. the application, certificate) from their certification client and a copy of

the CB’s audit plan.

6.2.3 The Lead Auditor shall prepare the SAAS audit plan and communicate the plan, including the

names and assignments of every member of the audit team, to the CB and to the SAAS Client

Coordinator, prior to the date of the audit.

6.2.4 When more than one SAAS auditor is involved in the audit, the Lead Auditor is responsible for

the determination of the individual audit paths.

6.2.4 The Lead Auditor is responsible for the preparation of audit checklists based on the CB's

SA8000 certification system, ISO/IEC Guide 62 or 17021, SAAS Procedure 150 or Procedure

200 and other appropriate documents. These checklists may be based on SAAS Form 408,

Application Documentation Checklist. Other team auditors may add items to the checklists to

reflect concerns related to their audit path. The audit plan shall include, as a minimum, the

following information:

a. Audit objectives, criteria and reference documents.

b. Scope of the audit.

c. Dates and places where the on-site audit will be conducted.

d. The assignment of each SAAS auditor to each CB auditor, as agreed upon with SAAS

Director. This may be shown by identifying the SAAS auditor on the CB’s audit plan with

the CB auditor that they will be witnessing. Each SAAS auditor, however, should witness

each of the CB’s auditors during the course of the witness audit.

e. The audit plan shall also include time for all meetings, including SAAS audit team

meetings and meetings with the CB’s audit team (the SAAS audit team should meet at

least twice per audit day). Other required meetings with the CB’s audit team:

1. The opening meeting with the CB’s audit team should be scheduled prior to the

beginning of the audit if possible. This may occur the evening before or the morning

of the audit. If not practical before the beginning of the audit, it should be scheduled

as close as possible to the beginning of the audit.

2. An audit planning meeting must be scheduled with the CB’s audit team to review the

preparation that was done by the CB for the audit. The CB shall arrange a location

for this meeting.

3. The closing meeting with the CB’s audit team should be scheduled as soon as

practical after the closing meeting of the witnessed audit, allowing some time for

SAAS auditors to prepare for the meeting. The CB shall arrange a location for this

meeting.

f. Roles, responsibilities and assignments of accreditation audit team members.

g. Identification of CB’s representative for the audit.

h. Working and reporting language of the audit.

i. Logistical arrangements such as meals (arranged by the CB on-site if possible) .

j. Statement of confidentiality.




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6.2.5 The SAAS Lead Auditor shall coordinate the travel arrangements for the witness audit team.

Travel costs should be minimized whenever possible such as by coordinating arrival times to

limit the cost of land transportation and by working with the CB to make hotel arrangements.

The CB may also assist by purchasing airline tickets and direct billing hotels. Should the

SAAS auditor require a travel visa, the auditor should contact the CB directly for assistance.

6.2.6 The SAAS Lead Auditor shall be the contact between the audit team and the CB during the

planning stage of the audit and shall copy the SAAS Client Coordinator on such

correspondence via email.

6.2.7 It may be necessary to perform a surveillance audit of the country/regional office of the CB in

conjunction with a witness audit, either immediately before or after the witness audit. When

both an office and witness audit are conducted in a country, instruction 316 and reporting

form 313 for a surveillance office audit shall be used as well.

6.3 On-Site audit:

6.3.1 Opening meeting: The opening meeting with the CB’s audit team shall be conducted by the

Lead Auditor and cover the following activities:

a. Introduce SAAS Audit team to Certification Body audit team.

b. Allow the Certification Body personnel to introduce themselves.

c. Record attendance at opening meeting (the SAAS auditor may choose to record attendance

on SAAS Form 413).

d. Share the expectation that the worker representative is expected to attend the opening and

closing meeting at the witnessed site.

e. Review the scope of certification for the site being audited by the CB.

f. Explain the objectives of the accreditation audit.

g. Explain the audit methodology: observations, interviews and record reviews.

h. Confirm confidentiality.

i. Explain Minor and Major CARs and Opportunities for Improvement. Explain that a Major

CAR precludes accreditation until satisfactorily closed out, if applicable.

j. Review the audit itinerary, and confirm acceptability. Modify to accommodate unexpected

changes, if possible.

k. Confirm times for daily start and finish and meal arrangements (in-house) and times for

the daily debriefing meetings and the closing meeting.

l. Confirm availability of resources and facilities needed by audit team, such as meeting

room, telephone, and copy machine.

m. Confirm that locations have been arranged for the audit planning meeting and for the

closing meeting.

6.3.2 Audit planning meeting: The audit planning meeting with the CB’s audit team must not

interfere with the witness audit and must be held outside the normal audit day scheduled for

the witness audit. This meeting must include at least:

a. A review of the auditee’s application.

b. A review of the CB’s proposal, including how the number of auditor-days was determined.

c. Auditor qualification information including training and experience.

d. Brief review of the CB’s audit procedures that will be used during this audit. Any change

since the last document review shall be noted.




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For SA8000 certifications only:

e. Detail of the calculation of the basic needs wage.

f. Stakeholder consultation and related information that was obtained.

6.4 Conducting the witness audit:

6.4.1 The SAAS Lead Auditor is responsible for managing the audit process. This includes the

resolution of any issues involving the SAAS audit team members and the CB personnel,

determination of the merits of any noncompliance and the resolution of any issues within the

SAAS audit team.

6.4.2 SAAS auditors shall witness the CB audit activities on their audit path. The SAAS auditor is

expected to keep appropriate records and notes to support compliance with each SAAS

requirement. The audit notes should include at least the following:

a. The number of each type of record reviewed (sampling used).

b. Number and type of interviews (individual, group, on and off site interviews), and how

confidentiality is maintained.

c. The methods used by the CB auditor to select personnel to interview and document the

interviews.

d. How evidence is documented when CARs are identified.

e. How the CB auditor establishes how complaints have been handled by the facility and the

grievance policy that is in place.

f. How the CB auditor establishes that the Freedom of Association and collective bargaining

process is effectively implemented (SA8000 only).

g. Use of claims about certification scope and facilities it applies to (SA8000 only).

h. A review of the report from the stage 1 audit.

6.4.3 The SAAS auditor shall record evidence of any CB noncompliance to a requirement that

minimally includes a brief statement of what the noncompliance was and the normative

element it was not in conformance with, where it was found, how often it occurred and when

it occurred. The record shall clearly state the requirement that was not complied with

including the CB’s requirement and/or the SAAS requirement. (see SAAS instruction 318,

Writing CARs and Analyzing CAR responses). Opportunities for Improvement shall also be

documented.

6.4.4 Based on the audit team’s analysis of the evidence collected, the team shall recommend initial

accreditation or continuation of accreditation, as appropriate. The recommendation shall be

one of the following:

a. The CB be accredited or accreditation be continued, pending satisfactory response to

any CARs.

b. Another witness audit be scheduled before recommending accreditation or

continuation of accreditation.

If the recommendation is anything other than a recommendation for accreditation or

continuation of accreditation, SAAS must be contacted prior to the closing meeting, if possible,

or within 24 hours after the closing meeting.

6.4.5 Notes shall be recorded directly on the checklist provided by the Lead Auditor or on other

note paper and summarized on the checklist.




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6.5 Closing meeting: The closing meeting shall be conducted by the Lead Auditor and include the following

activities:

a. Record attendance.

b. Where appropriate, thank CB’s audit team for assistance, cooperation, and

hospitality and refer to the positive aspects of the management system

implementation.

c. Inform CB of the SAAS Audit team’s recommendation.

d. Emphasize that the witness audit will not be completed until the SAAS audit team

receives a copy of the CB’s audit report of its certification client and associated

CARs, translated into English. This report is expected to be submitted to the SAAS

Lead Auditor within 15 days of the end of the witness audit, if possible. Explain that

as a result of the certification client report review, additional CARs may be issued.

e. Present the CB with detailed results of the audit and explain Major and Minor CARs,

if required, that have been identified to date.

1. Clarify all questions related to any CARs and obtain the appropriate CB

representative's signature on each CAR as acknowledgment of receipt.

2. Take original copies of CARs with SAAS Lead Auditor and CB

representative signatures and leave a copy with the CB.

3. Be sure that the CB understands that additional CARs may result from the

review of the CB’s final client audit report they issue to their client,

f. Explain that these copies of the CARs are advance copies and the audit report will

contain the final copies.

g. Explain the process to close Corrective Action Requests, including establishing dates

for reply. The CB will be expected to respond to the CARs using the CAR form

415A

h. Explain procedures for complaints and appeals, if necessary.

i. Advise the CB of the timing for the preparation of the final audit report.

j. Invite questions from the CB.

k. Congratulate CB for performance, if appropriate.

7.0 Post-audit activities 7.1 After the completion of the closing meeting, all SAAS auditors shall give their checklists and notes to the

Lead Auditor.

7.2 The Lead Auditor shall send digital copies of all signed CARs to SAAS within five working days, if

possible, of the end of the audit. SAAS will enter the CARs in the Audit Tracking Record for the CB

(See SAAS Form 310 – Audit Tracking-Overview and SAAS Form 310A – Audit Tracking-Details.)

7.3 The Lead Auditor shall prepare the audit report and submit to SAAS, with all checklists and notes within

15 working days of the completion of the on-site audit activity. The report form SAAS Form 315 shall be

used for the report. This audit report shall be sent to SAAS within 15 days, regardless of receipt of the CB

client audit report; a supplemental report shall be done in that case.

7.4 The Lead Auditor shall send in to SAAS all notes, material, files, business cards, digital pictures, marketing

material and any other information gathered during the witness audit.

7.5 The Lead Auditor shall be responsible to receive, analyze and respond to the CB’s responses to the CARs

that were issued during the office audit. (See SAAS Work Instruction 318, Writing CARs and Analyzing

CAR responses). All communication with the CB must be copied to SAAS.




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8.0 Records: 8.1 Audit report – SAAS Procedure 315

8.2 Audit checklists and path notes – SAAS Form 408

8.3 Signed CARs – SAAS Form 415

Procedure 314, august.2008, witness audit instructions

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Transcript of Procedure 314, august.2008, witness audit instructions