WEBVTT 00:00:00.000 --> 00:00:04.270 00:00:04.270 --> 00:00:05.600 Welcome to the module on 00:00:05.630 --> 00:00:07.210 auditing planning and preparation. 00:00:08.050 --> 00:00:09.410 This module will provide you with the 00:00:09.410 --> 00:00:11.290 steps to follow on the audit process, 00:00:11.350 --> 00:00:13.580 especially in the planning before the audit 00:00:14.330 --> 00:00:16.150 We will also review the documentation 00:00:16.150 --> 00:00:17.590 that you need to deliver to the different 00:00:17.600 --> 00:00:19.300 stakeholders involved in the process 00:00:20.390 --> 00:00:22.840 We aim to give you a good foundation to start preparing 00:00:22.840 --> 00:00:26.220 your audits in the 2020 Rainforest Certification program 00:00:26.660 --> 00:00:29.320 but please remember this is an overview of the process, 00:00:29.530 --> 00:00:31.520 in case you need more specific information, 00:00:32.030 --> 00:00:34.820 please go to section 2.3 of the Auditing Rules. 00:00:38.930 --> 00:00:40.570 Before you can even begin planning 00:00:40.570 --> 00:00:41.540 and preparing your audit, 00:00:41.970 --> 00:00:44.010 you should make sure the Audit Application 00:00:44.020 --> 00:00:46.550 has been completed by the Certificate Holder and 00:00:46.550 --> 00:00:48.340 the data in the application form has been 00:00:48.340 --> 00:00:50.770 reviewed and approved by the Certification Body 00:00:51.540 --> 00:00:53.880 Remember that both the Certificate Holder and 00:00:53.880 --> 00:00:57.140 the Certification Body are required to use the audit application 00:00:57.150 --> 00:00:59.410 template developed by Rainfores Alliance. 00:00:59.730 --> 00:01:01.030 You can find the this template in the 00:01:01.030 --> 00:01:02.580 corresponding section 00:01:03.540 --> 00:01:06.190 If the application form is not complete or approved 00:01:06.460 --> 00:01:08.030 the audit planning cannot begin. 00:01:08.580 --> 00:01:10.140 In this case you need to check in 00:01:10.140 --> 00:01:11.600 with the rest of your auditing team, 00:01:11.650 --> 00:01:14.280 and assess and address the situation to move forward. 00:01:14.880 --> 00:01:17.420 Once you have the application you can begin the planning. 00:01:18.220 --> 00:01:20.630 Let's go over the fundamentals of this process together. 00:01:21.420 --> 00:01:23.940 Planning an audit is an essential part of the work, 00:01:24.250 --> 00:01:26.760 you need to gather key information that will help you 00:01:26.760 --> 00:01:28.560 and your team during the auditing process. 00:01:29.010 --> 00:01:31.480 We have compiled a list of some of the key data points 00:01:31.480 --> 00:01:33.530 that you will need to consider in planning an audit. 00:01:34.420 --> 00:01:37.460 Gathering context on the site is a great first step, 00:01:38.030 --> 00:01:40.380 this can give you an idea of the type of challenges 00:01:40.430 --> 00:01:41.610 you and your team will face. 00:01:42.260 --> 00:01:44.950 Contextual information might be Country Risk Analysis 00:01:44.950 --> 00:01:48.600 This analisis should be developed by your 00:01:48.600 --> 00:01:50.660 Certification Body and will help you 00:01:50.660 --> 00:01:53.020 understand the risks of the audit in a broad sense. 00:01:54.140 --> 00:01:55.940 You will also need to review the list 00:01:55.940 --> 00:01:58.300 of applicable laws for certificate holders. 00:01:58.740 --> 00:02:01.540 Some laws might be known to you but it is always good 00:02:01.540 --> 00:02:03.590 to review them in case new ones are developed 00:02:03.600 --> 00:02:05.070 or old ones are changed. 00:02:05.330 --> 00:02:08.220 So, always have a copy around, trust me, 00:02:08.680 --> 00:02:10.830 reading applicable laws before the audit 00:02:10.850 --> 00:02:12.280 will give you the upper hand. 00:02:12.760 --> 00:02:14.900 You will know the challenging areas beforehand 00:02:14.950 --> 00:02:16.250 and you will be able to take a 00:02:16.250 --> 00:02:18.220 strategic approach in the coming challenges. 00:02:18.820 --> 00:02:21.390 The social risk maps from Rainforest Alliance 00:02:21.390 --> 00:02:23.750 can be a useful tool to understand risks on 00:02:23.750 --> 00:02:26.090 the topics of child labor and forced labor. 00:02:27.520 --> 00:02:29.460 You will also need to gather more specific 00:02:31.480 --> 00:02:32.350 who they are, 00:02:32.410 --> 00:02:35.250 what they do, and what the scope of this audit is. 00:02:35.730 --> 00:02:37.700 This information should be available in the 00:02:37.700 --> 00:02:40.330 approved application form, where you should find 00:02:40.330 --> 00:02:43.050 a complete profile of the applicant and their activities, 00:02:43.230 --> 00:02:46.450 like crops, volumes, workers, subcontractors, 00:02:46.490 --> 00:02:47.860 intermediaries, and so on. 00:02:48.960 --> 00:02:51.540 Researching the track record of the applicant is also 00:02:51.540 --> 00:02:53.720 a good way of gathering useful information. 00:02:54.300 --> 00:02:57.070 You can review the results of previous audit reports 00:02:57.070 --> 00:02:59.740 to identify the challenging areas of the applicant. 00:03:00.390 --> 00:03:02.680 Other useful documents to go through are the 00:03:02.680 --> 00:03:03.990 group member registery, 00:03:04.360 --> 00:03:07.230 the Certificate Holder’s self-assesment, among others. 00:03:07.580 --> 00:03:09.540 You can find the full list of documents in 00:03:09.540 --> 00:03:13.200 section 1.4.26 of the Certification Rules. 00:03:13.990 --> 00:03:17.180 It is important to verify if a stakeholder consultation 00:03:17.370 --> 00:03:21.430 or an off-site investigation are needed. If so, you 00:03:21.430 --> 00:03:23.990 also need to plan well ahead for these activities. 00:03:24.360 --> 00:03:26.720 More information about this topic can be found 00:03:26.740 --> 00:03:27.780 in the module’s section 00:03:28.730 --> 00:03:30.170 Of course, you should also do some 00:03:30.170 --> 00:03:32.730 research on your own, follow your intuition 00:03:32.760 --> 00:03:35.680 and use our guidelines as tools to conduct your research. 00:03:36.350 --> 00:03:38.240 It might be the case that you need to research 00:03:38.240 --> 00:03:40.070 further on the history of the applicant, 00:03:40.590 --> 00:03:42.750 if there has been any legal actions or any 00:03:42.760 --> 00:03:45.560 lawsuits against them, or any issues identified 00:03:45.570 --> 00:03:48.260 by local NGOs, local authorities, etc. 00:03:48.760 --> 00:03:50.870 All of this will provide great context for 00:03:50.870 --> 00:03:52.740 you to go about the auditing process 00:03:55.900 --> 00:03:58.230 So now you have collected a lot of information 00:03:58.240 --> 00:04:00.230 about the potential certificate holder. 00:04:00.820 --> 00:04:03.250 In order to start the actuall planning on the audit 00:04:03.370 --> 00:04:05.340 you need to look at the points mentioned in rule 00:04:05.340 --> 00:04:07.560 2.3.1 of the Auditing Rules. 00:04:08.180 --> 00:04:10.210 We will pause this video for you to read them all… 00:04:11.950 --> 00:04:13.790 just kidding, you can do that yourself! 00:04:14.860 --> 00:04:16.330 After verifying all the points, 00:04:16.360 --> 00:04:17.910 you can use the data mentioned 00:04:17.920 --> 00:04:19.680 above to start planning and preparing. 00:04:20.160 --> 00:04:22.370 Documentation is another fundamental 00:04:22.370 --> 00:04:25.120 part of the auditing process, the documents 00:04:25.120 --> 00:04:27.840 you produce will be the deliverables of your work. 00:04:28.400 --> 00:04:30.120 What are these deliverables you ask? 00:04:30.520 --> 00:04:31.340 Excellent question! 00:04:31.930 --> 00:04:33.320 Let’s dive into some examples 00:04:34.460 --> 00:04:36.730 When auditing a farm, the team needs to 00:04:36.730 --> 00:04:39.350 perform what we call an ‘audit risk assessment’. 00:04:39.910 --> 00:04:42.180 This risk assessment should help in identifying 00:04:42.190 --> 00:04:44.600 the chances of non-conformities during the audit. 00:04:45.280 --> 00:04:47.180 For more about non conformities and 00:04:47.180 --> 00:04:50.400 risk assessment you can review the rules from 17 to 20 00:04:51.360 --> 00:04:53.520 After the auditor has all the data required 00:04:53.520 --> 00:04:55.900 to develop a plan, they will need to prepare 00:04:56.020 --> 00:04:57.160 an audit plan document. 00:04:57.920 --> 00:04:59.790 There are some rules describing the specific 00:04:59.790 --> 00:05:01.240 requirements around the audit plan. 00:05:01.750 --> 00:05:03.580 I recommend you look at the rules from 00:05:03.580 --> 00:05:05.910 number 3 to 13 in the corresponding 00:05:05.910 --> 00:05:06.760 section of this module. 00:05:08.100 --> 00:05:10.530 It’s important to know that the audit plan must 00:05:10.540 --> 00:05:13.200 be shared with RA and the Certificate Holder 00:05:13.200 --> 00:05:16.410 within a certain time frame. It is super important 00:05:16.420 --> 00:05:18.890 to keep the stakeholders informed so they can 00:05:18.910 --> 00:05:21.380 plan the activities related to the auditing process. 00:05:23.500 --> 00:05:25.610 So, you have done the research, 00:05:25.850 --> 00:05:28.580 collected the information, made an audit plan 00:05:28.610 --> 00:05:30.600 and shared it with both the applicant and the 00:05:30.600 --> 00:05:32.940 Rainforest Alliance team. Is this it? 00:05:33.870 --> 00:05:35.080 Remember when we talked about 00:05:35.100 --> 00:05:37.540 extra consultation and off site investigation? 00:05:38.180 --> 00:05:41.420 Well… During the audit planning and preparation phase, 00:05:41.520 --> 00:05:44.260 the audit team should answer two important questions: 00:05:44.860 --> 00:05:48.060 First, is a stakeholder consultation needed? 00:05:48.700 --> 00:05:51.600 Annex AR4.2 of the Auditing Rules will 00:05:51.610 --> 00:05:53.430 provide you with the guide for this question 00:05:53.880 --> 00:05:56.860 Second, is an off-site investigation required? 00:05:57.540 --> 00:06:00.210 Annex AR4.10 of the Auditing Rules 00:06:00.260 --> 00:06:01.740 will be your go to document. 00:06:02.660 --> 00:06:04.390 When either of these are required, 00:06:04.700 --> 00:06:06.880 the audit team needs to plan and carry out 00:06:06.880 --> 00:06:08.830 the corresponding activities and deliver 00:06:08.830 --> 00:06:10.900 the results when reporting the audit results, 00:06:10.930 --> 00:06:12.240 at the end of the process. 00:06:13.020 --> 00:06:14.710 Please note these questions are important 00:06:14.720 --> 00:06:16.600 because the results of such activities will 00:06:16.640 --> 00:06:18.640 influence your audit planning and execution. 00:06:20.040 --> 00:06:22.580 Some people say that preparation is half the journey. 00:06:22.930 --> 00:06:25.630 That is very true for an audit, especially when 00:06:25.630 --> 00:06:28.510 aspiring to have a transparent risk-based approach 00:06:28.540 --> 00:06:30.390 throughout the certification process. 00:06:30.960 --> 00:06:33.300 You can never prepare too much, that is for sure. 00:06:33.790 --> 00:06:36.700 Check, double check, triple check and then, 00:06:36.920 --> 00:06:37.480 check again! 00:06:40.130 --> 00:06:41.880 We hope this module gave you some insights 00:06:41.880 --> 00:06:44.000 about the planning and preparation of an audit. 00:06:44.440 --> 00:06:46.140 If you are preparing your first audit, 00:06:46.230 --> 00:06:47.560 or you are new to the program, 00:06:47.970 --> 00:06:49.900 review the relevant sections with time 00:06:50.180 --> 00:06:52.590 and ask more experienced fellow collegues to guide you 00:06:53.350 --> 00:06:55.910 With that final note, I wish you best of 00:06:55.910 --> 00:06:57.930 luck with all the preparations you are going to do. 00:06:58.060 --> 00:06:59.560 And remember, check again! 00:07:00.300 --> 00:07:02.450 Thank you for your attention and happy auditing! 00:07:02.590 --> 00:07:03.230 See you next time!