WEBVTT 00:00:00.000 --> 00:00:07.150 00:00:07.150 --> 00:00:08.290 Welcome to the module on 00:00:08.290 --> 00:00:09.760 Conducting an Opening Meeting. 00:00:10.430 --> 00:00:11.750 After this module you will be 00:00:11.780 --> 00:00:13.760 able to identify the minimum elements 00:00:13.760 --> 00:00:15.700 required for an opening meeting and 00:00:15.700 --> 00:00:17.450 attain more knowledge on how to conduct it 00:00:18.120 --> 00:00:19.710 This module is meant for members of 00:00:19.740 --> 00:00:22.070 audit teams from approved Certification Bodies. 00:00:22.310 --> 00:00:24.610 However, this is especially interesting for 00:00:24.610 --> 00:00:26.690 Certificate Holders who wish to understand 00:00:26.720 --> 00:00:28.720 more about how audits are conducted in 00:00:28.720 --> 00:00:30.750 the Rainforest Alliance Certification Program. 00:00:33.320 --> 00:00:35.080 Once the audit team has worked hard 00:00:35.080 --> 00:00:36.670 to prepare the audit plan it is 00:00:36.710 --> 00:00:37.950 time to put it into action! 00:00:38.450 --> 00:00:40.270 The day has come to go to the field. 00:00:40.680 --> 00:00:42.060 Even though you have followed all the 00:00:42.060 --> 00:00:43.830 steps required by Rainforest Alliance 00:00:43.830 --> 00:00:46.510 to plan a successful audit the truth is that 00:00:46.530 --> 00:00:48.690 audits are always a little nerve-racking. 00:00:49.180 --> 00:00:51.230 This is why it is crucial to guarantee that 00:00:51.230 --> 00:00:53.090 the opening meeting is conducted well. 00:00:53.780 --> 00:00:55.380 The importance of an opening meeting 00:00:56.970 --> 00:00:58.120 to remove anxiety 00:00:58.220 --> 00:01:00.670 and set the tone for a smooth, friendly audit. 00:01:01.370 --> 00:01:03.060 This meeting is usually a short 00:01:03.100 --> 00:01:04.630 and informal gathering to discuss 00:01:04.630 --> 00:01:06.920 the audit plan and basic details of the audit. 00:01:07.720 --> 00:01:09.030 You might be asking yourself, 00:01:09.210 --> 00:01:11.770 if it will be a brief meeting, why all the fuss? 00:01:12.320 --> 00:01:13.650 The event might seem simple, 00:01:13.650 --> 00:01:14.990 but the outcomes are critical. 00:01:15.670 --> 00:01:17.350 Misunderstandings are addressed when 00:01:17.350 --> 00:01:19.350 the lead auditor goes over the audit plan 00:01:19.620 --> 00:01:21.200 asking the auditee if there are any 00:01:21.200 --> 00:01:22.830 questions or changes that are needed. 00:01:23.150 --> 00:01:25.020 These moments might reveal important 00:01:25.060 --> 00:01:26.760 elements or facts that can change 00:01:26.760 --> 00:01:28.060 the course of the audit plan. 00:01:28.550 --> 00:01:30.070 It is in the opening meeting that 00:01:30.090 --> 00:01:31.980 the audit team confirms its assumptions 00:01:32.270 --> 00:01:34.360 and finds out more about the Certificate Holder. 00:01:35.530 --> 00:01:37.340 In a nutshell, the opening meeting 00:01:37.360 --> 00:01:39.300 establishes your credibility as the audit 00:01:39.300 --> 00:01:41.700 team and sets the tone of the entire audit. 00:01:44.650 --> 00:01:46.310 All Rainforest Alliance audits 00:01:46.330 --> 00:01:48.250 have an opening meeting and all of them 00:01:48.270 --> 00:01:49.920 are conducted by the Lead Auditor. 00:01:50.770 --> 00:01:52.470 If there is more than one auditor 00:01:52.470 --> 00:01:54.630 conducting the audit, then the entire 00:01:54.660 --> 00:01:56.050 audit team must be present in the 00:01:56.050 --> 00:01:57.770 opening meeting together with 00:01:57.780 --> 00:01:59.100 key members of the auditee. 00:01:59.590 --> 00:02:01.010 For more information on who 00:02:01.010 --> 00:02:02.460 should be representing the Certificate 00:02:02.480 --> 00:02:04.400 Holder please refer to requirement 00:02:04.410 --> 00:02:06.790 2.3.11 of the Auditing rules. 00:02:08.370 --> 00:02:12.130 Requirements 2.7.3 to 2.7.19 00:02:12.200 --> 00:02:13.990 lists the minimum elements that must 00:02:13.990 --> 00:02:16.220 be present when conducting an Opening Meeting. 00:02:16.650 --> 00:02:17.870 You can pause the video now 00:02:17.910 --> 00:02:19.620 and consult the document if you wish. 00:02:21.090 --> 00:02:22.900 For now, we will briefly touch 00:02:22.930 --> 00:02:23.980 upon the most relevant 00:02:24.010 --> 00:02:25.490 elements of an opening meeting 00:02:26.590 --> 00:02:28.080 Introduce yourself and the team. 00:02:28.790 --> 00:02:30.100 Make sure to describe each 00:02:30.100 --> 00:02:31.280 person’s responsibilities, 00:02:31.590 --> 00:02:33.170 this will build trust and rapport 00:02:33.310 --> 00:02:34.940 between the audit team and the auditee. 00:02:35.720 --> 00:02:37.090 Confirm the audit plan and 00:02:37.140 --> 00:02:38.390 all the planned activities. 00:02:38.890 --> 00:02:40.980 A clearly defined audit plan helps 00:02:40.980 --> 00:02:42.680 to remove confusion around audit 00:02:42.700 --> 00:02:44.720 objectives, scope, and criteria. 00:02:45.150 --> 00:02:46.750 It also solves differences as 00:02:46.750 --> 00:02:48.070 they arise during the meeting. 00:02:48.980 --> 00:02:50.230 Make sure that all required 00:02:50.240 --> 00:02:52.580 documentation is available at the location. 00:02:53.150 --> 00:02:54.640 If the documentation is not 00:02:54.650 --> 00:02:56.400 in the Certificate Holder’s facilities, 00:02:56.450 --> 00:02:58.650 then it should be made available to the audit team. 00:02:59.350 --> 00:03:00.680 Ensure Confidentiality. 00:03:01.180 --> 00:03:02.440 Make sure that the auditee 00:03:02.480 --> 00:03:03.780 knows that there is a commitment 00:03:03.780 --> 00:03:05.540 from the audit team to maintain 00:03:05.570 --> 00:03:07.560 confidentiality regarding the evidence 00:03:07.560 --> 00:03:10.060 gathered and conclusions generated from the audit. 00:03:10.610 --> 00:03:12.250 Inform the reporting method. 00:03:12.820 --> 00:03:14.480 Especially the types and grading 00:03:14.480 --> 00:03:17.020 of any nonconformities that may be identified. 00:03:17.440 --> 00:03:18.940 This will help the auditee to better 00:03:18.940 --> 00:03:20.770 interpret the evidence and conclusion 00:03:20.770 --> 00:03:22.330 discussed in the closing meeting. 00:03:23.130 --> 00:03:25.210 Address questions and confirm changes. 00:03:25.860 --> 00:03:27.600 It’s not uncommon for unforeseen 00:03:27.630 --> 00:03:29.700 events to happen just before an audit. 00:03:30.090 --> 00:03:31.850 Make sure to confirm that the audit plan 00:03:31.900 --> 00:03:34.140 is fully understood by all parties and 00:03:34.140 --> 00:03:37.080 most importantly that it is agreed upon by everyone. 00:03:37.540 --> 00:03:40.330 In rare cases, the audit may need to be rescheduled 00:03:40.810 --> 00:03:42.290 Conclude the opening meeting. 00:03:42.740 --> 00:03:44.930 In this part, the audit team discusses and 00:03:44.930 --> 00:03:46.730 resolves any lingering issues of the 00:03:46.730 --> 00:03:49.240 audit plan and makes sure there are no 00:03:49.240 --> 00:03:50.880 further questions or uncertainties. 00:03:54.010 --> 00:03:56.160 As you have seen, a successful audit 00:03:56.170 --> 00:03:58.060 starts with an effective opening meeting. 00:03:58.590 --> 00:04:01.360 Now, what happens when an audit is unannounced? 00:04:01.880 --> 00:04:03.360 In these cases, the lead auditor 00:04:03.360 --> 00:04:05.250 conducts the opening meeting immediately 00:04:05.250 --> 00:04:06.800 after the audit team arrives at the 00:04:06.800 --> 00:04:08.770 Certificate Holder’s selected location. 00:04:09.750 --> 00:04:11.310 Now you know how to plan and conduct 00:04:11.310 --> 00:04:12.200 an opening meeting, 00:04:12.660 --> 00:04:13.780 thank you for watching and 00:04:13.780 --> 00:04:14.780 see you in the next module!