WEBVTT Kind: captions Language: en 00:00:06.480 --> 00:00:10.560 Welcome to the online training module on  the certification and surveillance audits.   00:00:11.120 --> 00:00:16.320 During this video, we will explain what the main  purpose of an audit is and the minimum elements   00:00:16.320 --> 00:00:21.680 of a Rainforest Alliance certification and  surveillance audits we will also describe the main   00:00:21.680 --> 00:00:26.640 requirements Certificate Bodies or CB personnel  need to follow when carrying out certification   00:00:26.640 --> 00:00:32.320 and/or surveillance audits this module is meant  for CB personnel involved in the audit process   00:00:32.320 --> 00:00:37.920 such as auditors and certifiers. This video is  applicable for both farm and supply chain scopes   00:00:38.720 --> 00:00:44.080 after completing the online module you will be  able to know the difference between certification   00:00:44.080 --> 00:00:48.880 and a surveillance audit, have a better  understanding of what a successful audit is,   00:00:49.600 --> 00:00:54.880 list its main elements, and what to do when  carrying out a Rainforest Alliance certification   00:00:54.880 --> 00:01:00.640 and/or surveillance audits. You can find more  detailed information regarding certification   00:01:00.640 --> 00:01:05.440 and surveillance audits in section 2.6  of the Certification and Auditing Rules   00:01:08.160 --> 00:01:12.960 as you might have noticed by now, efficient  certification body personnel are very good at   00:01:12.960 --> 00:01:18.480 streamlining processes and keeping records of everything. There are different factors at play   00:01:18.480 --> 00:01:22.480 to ensure an audit is effective but one  of the most important ones is to have   00:01:22.480 --> 00:01:26.400 a series of minimum requirements that  will increase your chances of success.   00:01:27.120 --> 00:01:32.560 Rainforest Alliance approved CBs must have and  implement a documented procedure that describes   00:01:32.560 --> 00:01:38.080 how to carry out certification and surveillance  audits the main purpose of an audit is to collect   00:01:38.080 --> 00:01:43.440 accurate objective and representative data to  serve as evidence to check if a certificate holder   00:01:43.440 --> 00:01:48.800 is implementing the standard correctly or not. But  how can you make sure that an audit is sufficient   00:01:49.520 --> 00:01:54.320 if you have read chapter 1 of the certification  and auditing rules you have noticed there are   00:01:54.320 --> 00:02:00.640 different types of audits. In this module, we will  address two: certification and surveillance audits.   00:02:01.440 --> 00:02:06.880 The certification audit is and you might have guessed it by now. an audit performed by a CB   00:02:06.880 --> 00:02:12.240 authorized by the rainforest alliance needed to  determine to what extent a prospect certificate   00:02:12.240 --> 00:02:17.280 holder complies with the applicable requirements  to obtain a Rainforest Alliance certification   00:02:17.280 --> 00:02:21.040 depending on the result of the audit, a certification decision is taken   00:02:21.040 --> 00:02:27.120 and a certificate can be issued. In other words, a  certification audit takes place when a producer or   00:02:27.120 --> 00:02:32.560 supply chain actor wishes to become certified. The  result of that audit will determine whether or not   00:02:32.560 --> 00:02:39.440 the auditee may become an official Rainforest  Alliance Certificate Holder. On the other hand,   00:02:39.440 --> 00:02:45.200 a surveillance audit is an audit performed by a  Rainforest Alliance authorized CB personnel needed   00:02:45.200 --> 00:02:49.760 to determine to what extent a certificate holder  still complies with the applicable requirements   00:02:49.760 --> 00:02:55.200 for Rainforest Alliance Certification and based on  which a certificate can be maintained or suspended.   00:02:56.240 --> 00:03:02.400 You guessed it! a surveillance audit only happens  when a CB wants to check if the certificate holder   00:03:02.400 --> 00:03:07.760 is still correctly implementing the Rainforest  Alliance standard, therefore, the certification   00:03:07.760 --> 00:03:13.280 audit will always precede a surveillance audit.  For more detailed information about the different   00:03:13.280 --> 00:03:18.080 types of audits that take place in the Rainforest  Alliance Certification Process please refer to   00:03:18.080 --> 00:03:25.120 the Certification Rules e-course or chapter 1 of  the Certification and Auditing Rules. Rainforest   00:03:25.120 --> 00:03:30.320 Alliance has defined the minimum elements that  every certification and surveillance audit must   00:03:30.320 --> 00:03:35.520 have and luckily we have drafted a checklist  for you to ensure that you do not miss a thing. 00:03:37.840 --> 00:03:43.600 All Rainforest Alliance audits must have  an opening meeting, a facility tour, (only   00:03:43.600 --> 00:03:49.840 when applicable) verification of the documented  management system, this might include: checking   00:03:49.840 --> 00:03:55.120 policies and procedures, staff competence  internal inspection, and self-assessment,   00:03:55.120 --> 00:04:01.600 interviews with certificate holders, administrative  staff, and management interviews with hired and   00:04:01.600 --> 00:04:07.120 subcontracted workers, workers committees, and workers representatives. Interviews   00:04:07.120 --> 00:04:13.840 with community members, if applicable, visits to  selected farms or farm units under ecosystems,   00:04:14.480 --> 00:04:20.000 visits to other farmed locations, included but not  limited to, processing units, purchasing centers   00:04:20.000 --> 00:04:25.440 nurseries, and worker's house. Interviews  with workers at such locations if applicable   00:04:26.320 --> 00:04:30.800 A moment where the audit team triangulates the  information at the management system before the   00:04:30.800 --> 00:04:35.920 closing meeting, a moment to determine the  audit's findings among audit team members.   00:04:36.560 --> 00:04:43.280 Closing Meeting you can consult requirement 2.6.3  of the auditing rules for further details on what   00:04:43.280 --> 00:04:47.200 should the audit team take into account  to ensure the effectiveness of an audit. 00:04:49.520 --> 00:04:54.720 For a surveillance audit, the audit team must  carry out at least the following activities: 00:04:55.600 --> 00:05:01.600 Any change in certification and or auditing scope. The functioning of the management system.   00:05:01.600 --> 00:05:06.880 This can include verifying if their training  and awareness-raising activities are effective,   00:05:06.880 --> 00:05:11.200 If the certificate holders root cause  analysis and closure of non-conformities   00:05:11.200 --> 00:05:15.920 are viable and appropriate and if their  risk assessment and management are efficient.   00:05:16.800 --> 00:05:23.200 When auditing a farm, the audit team must visit a representative sample of farms and or farm units.   00:05:23.200 --> 00:05:29.680 This includes conservation areas infrastructures and non-certified crop areas. Additionally, the team   00:05:29.680 --> 00:05:34.320 must verify the data quality for the applicable  smart meter requirements as well as the   00:05:34.320 --> 00:05:40.000 implementation of improvement and self-selected  requirements. There might be times when Rainforest   00:05:40.000 --> 00:05:45.040 Alliance wants to know more about an audit that  happened in the past or is simply curious to   00:05:45.040 --> 00:05:50.480 know how a CB is carrying out their audits. This  is why the audit team must have enough evidence   00:05:50.480 --> 00:05:57.120 to justify any decision taken before, during, and after an audit. All relevant records must be kept   00:05:57.120 --> 00:06:01.680 to demonstrate that the CB performed an audit  process in compliance with the requirements of   00:06:01.680 --> 00:06:07.040 the Rainforest Alliance Assurance System and that  all non-conformities raised were indeed justified. 00:06:09.200 --> 00:06:12.880 In this module we have learned that the  main purpose of an audit is to collect   00:06:12.880 --> 00:06:17.520 accurate objective and representative  data to serve as evidence to check if a   00:06:17.520 --> 00:06:23.680 certificate holder is implementing the standard  correctly or not. We have also listed all the 12   00:06:23.680 --> 00:06:28.240 essential elements that comprise a Rainforest  Alliance certification and surveillance audits 00:06:28.240 --> 00:06:31.360 and finally, we have stressed  the relevance of record-keeping.   00:06:32.160 --> 00:06:35.840 For more detailed information about the  different types of audits that take place   00:06:35.840 --> 00:06:39.920 in the Rainforest Alliance Certification  Process please refer to the Certification   00:06:39.920 --> 00:06:45.600 Rules e-course or Chapter 1 of the Certification  and Auditing rules it seems that you're ready to   00:06:45.600 --> 00:06:56.000 plan your next certification or surveillance  audit. Thank you for watching and see you next time!