Audit Integrity Programme

Steve Mould. October 2011

Why do this now?

GFSI Guidance Document V6 requires schemes to implement:

A conformity assessment programme

A system of KPIs for CBs including report screening procedures

A risk based system of auditor competence assessment which

may include review of performance by documentation review

AIP Programme Components

The AIP has 3 levels:
Level 1: Provisional Licence
Desk review by general secretary of information about the CB

17021 accreditation for 22000

Application made for accreditation with IAF AB
Signed agreement with FS22000
Entrance fee paid
Check of scopes

Level 2: Contract & full licence CBs

Desk review by general secretary
CB holds appropriate FSSC accreditation

Desk review of audit reports by independent technical expert

Optional positive result of desk review of 2 audit reports

AIP Programme Components

Level 3: Continuous monitoring of approved CBs
Desk review by general secretary

Check of all submitted certificates content/scope/FSC Logo/Validity

CB attendance at annual Harmonization meeting
CB provides KPI data to FSC
Valid FSSC accreditation
Fee payments fulfilled

Desk review of audit reports by independent technical expert

Positive result of desk review of audit reports
The independent technical expert is nominated by the BOS and reports to
the secretary of the foundation.
All communications go through the secretary.

Scope of the AIP desk review

The desk review shall consider:

Auditor qualifications are appropriate for the intended scope
Audit scope is within FSSC scope
Audit duration meets specified requirements
Audit report format meets specified requirements
Audit content covers all mandatory requirements
Audit content has sufficient detail
Audit includes review of previous audit outcomes, including close out
of any unresolved non-conformances
All major non-conformances are resolved and an action plan to
address minor non-conformances is agreed prior to granting a
certificate

Information needed for AIP review

The CB is required to provide appropriate supporting

documentation to facilitate the AIP review within 4 weeks of
request from the secretary of the foundation.
If the audit is in English, original documents are required. If the
audit is not in English, translation shall be provided.
Documents required include:

The full audit report

The client contract
The certificate
Evidence of auditor qualification
Evidence that audit duration meets the requirements

AIP Plan for 2011

12 AIP reviews are planned:

Mix of accredited and provisional licence holders
Mix of large & smaller CBs
Include CBs with clients in potential risk areas

4 AIP reviews have been completed to date:

Fresh/Frozen Bakery Goods [USA]

Starter Cultures & Media [Germany/Denmark]
Refined Sugar [India]
Flavourings, Colourings & Additives [Canada]

Outcomes & Trends?

Across the 4 AIP reviews the results showed:

Zero major non-conformances
6 minor non-conformances
9 observation comments

Most common issues:

Evidence that CAP to address minor NCs agreed prior to certificate
Register of complaints
Evidence that audit duration meets the requirements
Watch outs:
Signed list of auditees showing their function
Auditor training and experience
Utilities included in PAS220 [9] requirements
Inventory of regulations, codes of practice etc.
Clarity of scope for combined audits

Thanks for your attention!

Questions?