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ISO/IEC 17021-1:2015 Organisation’s

REPORT ON WITNESSING OF A SANAS No/s.
CERTIFICATION BODY
(PLEASE COMPLETE ONE FORM PER WITNESS)

Name of Certification Body

Name of Auditor(s) observed &

Role in the audit:
Type of Audit observed
Date(s)
(Initial / Surveillance / Re-cert)

Name of Organisation/Client: CB No(s) - (client ref)

Physical address of the Client

Is this a multi-site client? Audit man-days?

(9.1.5) (9.1.4 & MD5)
Certification Standard
EAC NACE
(e.g. ISO 9001/ISO 14001 etc)

Description of Certified Scope

PLANNING, PREPARATION AND COMMUNICATION C NC

9.2.3.3 Were audit team tasks communicated to the client in advance prior to the audit?

Was the plan communicated and were dates of the audit agreed upon, in advance with the client
9.2.3.4
organisation?

9.2.3.5 Was the client made aware of the audit team in advance prior to the audit?

Additional Comments on the above / Areas of Concern:

THE AUDIT PLAN C NC

Is the audit plan appropriate to the objectives and scope of the audit and does it include at least
9.1.2.3
the following?

a) The audit objectives?

b) The audit criteria?

The audit scope, including identification of organizational and functional units or processes to be
c)
audited?
The date(s) and site(s) where the on-site activities are to be conducted, including visits to
d)
temporary sites as appropriate?

e) The expected time and duration of on-site audit activities?

f) The roles and responsibilities of the audit team members and accompanying persons?

NB The audit plan information can be contained in more than one document

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Additional Comments on the above / Areas of Concern:

CONDUCTING THE OPENING MEETING C NC

Was there a formal opening where attendance was recorded? And were the following elements
9.4.2
covered during the meeting?

a) Introduction of participants, including an outline of their roles?

b) Confirmation of the scope of certification?

Confirmation of the audit plan (including type, and scope of audit, objectives and criteria), any
c) changes, and the relevant arrangements with the client, such as the date and time for the closing
meeting, interim meetings between the audit team and the client’s management?

d) Confirmation of formal communication channels between the audit team and the client?

e) Confirmation that the resources and facilities needed by the audit team are available?

f) Confirmation of matters relating to confidentiality?

g) Confirmation of relevant work safety, emergency and security procedures for the audit team?

h) Confirmation of the availability, roles and identities of any guides and observers?

i) The method of reporting, including any grading of audit findings?

j) Information about the conditions under which the audit may be prematurely terminated?

Confirmation that the audit team leader and the audit team representing the CB is responsible for
k)
the audit and shall be in control of executing the audit plan including audit activities & audit trails?

l) Confirmation of the status of findings of the previous review or audit, if applicable?

m) Methods and procedures to be used to conduct the audit based on sampling?

n) Confirmation of the language to be used during the audit?

Confirmation that, during the audit, the client will be kept informed of audit progress and any
o)
concerns?

p) Opportunity for the client to ask questions?

The degree of detail on the above points shall be consistent with the famialiarity of the client with the audit
NB
process.

Additional Comments on Performance / Areas of Concern:

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CONDUCTING THE AUDIT, COLLECTING AND VERIFYING INFORMATION C NC
Are auditors collecting information relevant to the audit objectives, scope and criteria by
9.4.4.1
appropriate sampling and is this information verified to become audit evidence?
9.4.4.2 Do methods of collecting information include at least the following:

a) Interviews?

b) Observation of processes and activities?

c) Review of documentation and records?

Additional Comments on Performance / Areas of Concern

COMMUNICATION DURING THE AUDIT C NC

is the audit team periodically assessing audit progress and exchanging information?

Is the team leader reassigning work as needed between the audit team members?
9.4.3.1
Is the team leader periodically communicating the progress of the audit and any concerns to the
client?

Where the available audit evidence indicates that the audit objectives are unattainable or suggest
the presence of an immediate and significant risk (e.g. safety), is the audit team leader:

9.4.3.2 reporting this to the client & where possible to determine appropriate action (e.g. confirmation
/modification of the audit plan, changes to the audit objectives/audit scope, audit termination)?

was the outcome of the action taken reported to the CB?

Are any changes to the audit scope which become apparent as on-site auditing activities
9.4.3.3
progress reviewed with the client and reported to the CB?

Additional Comments on Performance / Areas of Concern:

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IDENTIFYING AND RECORDING AUDIT FINDINGS C NC
Is the audit team recording audit findings summarising conformity and detailing non-conformity
9.4.5.1
and its supporting evidence?

Are opportunities for improvement recorded where not prohibited by the requirements of a
9.4.5.2
management system certification scheme?
Is a finding of non-conformity recorded against a specific requirement of the audit criteria, contain
a clear statement of non-conformity and identify in detail the objective evidence on which the non-
conformity is based?
9.4.5.3
Are non-conformities discussed with the client to ensure that the evidence is accurate and that
they are understood?
In the event of diverging opinions between the audit team and the client concerning audit
9.4.5.4 evidence or findings, is the audit team leader attempting to resolve these and are unresolved
points recorded?

Additional Comments on Performance / Areas of Concern:

PREPARING AUDIT CONCLUSIONS C NC

9.4.6 Prior to the closing meeting, is the audit team:

reviewing the audit findings and any appropriate information collected during the audit against the
a)
audit objectives?

Agreeing upon audit conclusions, taking into account the uncertainty inherent in the audit
b)
process?

c) Identifying and agree on any necessary follow-up actions?

Confirming the appropriateness of the audit programme or identify any modifications required
d)
(e.g. scope, audit time or dates, surveillance frequency, competence)?

Additional Comments on Performance / Areas of Concern:

CONDUCTING THE CLOSING MEETING C NC

Was there a formal closing where attendance was recorded? And were the following elements
covered during the meeting?

9.4.7.1 Were non-conformities(if identified) presented in such a manner that they were understood by the
client?
(NB. Understood does not necessarily mean that the nonconformities have been accepted by the
client)

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Was the timeframe for responding to nonformities agreed upon by the client and the audit team?

9.4.7.2 Were the following elements covered during the closing meeting?

is the client advised that the audit was a sampling exercise, thereby introducing an element of
a)
uncertainty?

b) the method and timeframe of reporting, including any grading of audit findings?

the CB’s processes for handling nonconformities including any consequences relating to the
c)
status of the client’s certification?

the timeframe for the client to present a plan for correction and corrective action for any
d)
nonconformities identified during the audit?

e) the certification body’s post audit activities?

f) information about the complaint handling and appeal processes?

is the client given opportunity for questions and are diverging opinions regarding findings or
conclusions discussed and resolved where possible?
9.4.7.3
were any unresolved diverging opinions recorded and referred to the CB, if applicable?

NB. The degree of detail on the above points shall be consistent with the famialiarity of the client with the audit process.

Additional Comments on Performance / Areas of Concern:

THE AUDIT REPORT (NB. To be reviewed after submission to SANAS, after the audit) C NC
Is the report for the audit that was witnessed and is there evidence that the CB maintains
9.4.8.1
ownership of the audit report?
Is there evidence that the audit team leader is responsible for the contents of the report?

9.4.8.2 Does the report provide an accurate, concise and clear record of the audit as was witnessed?

Does the audit report include or refer to the following?

a) Identification of the certification body?

b) The name and address of the client and the client’s management representative?

c) The type of audit (e.g. Initial, surveillance or recertification?

d) The audit criteria?

e) The audit objectives?

The audit scope, particularly identification of the organizational or functional units or processes
f)
audited and the time of the audit?
g) Any deviations from the audit plan and their reasons

h) Any significant issues impacting the audit programme

i) Identification of the audit team leader, audit team members and any accompanying persons?

j) The dates and places where the audit activities (onsite/offsite) were conducted?

Audit findings, reference to evidence and conclusions, consistent with the requirements of the
k)
type of audit?
Any significant changes that affect the clients management system since the last audit took
l)
place?

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m) Any unresolved issues, if identified?

n) If applicable, were audits combined, joint or intergrated?

o) Disclaimer regarding the audit being conducted on a sampling process

p) Audit team recommendation

q) Is the audited client effectively controlling the certification documentation and marks

Verification of effectiveness of corrective actions regarding previous nonconformities that may

r)
essist

9.4.8.3 The report also contains the following:

A statement of conformity and effectiveness of management system including a summary of

a) evidence relating to the system meeting applicable requirements and expected outcomes, as well
as, internal audit and management review process

b) A conclusion of the appropriateness of the certification scope

c) Confirmation that the audit objectives have been fulfilled

Additional Comments on the report / Areas of Concern:

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Additional Comments by the Technical Assessor/Expert

Comments on this section should include atleast the following;

Process, technology, products/service and risks related to the specific operation of the client organisation being
witnessed.

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6. AUDITOR BEHAVIOURAL ATTRIBUTES C NC

Did the Auditor display the following attributes satisfactorily:

a) Objective, unbiased, open minded, mature, considers alternative ideas or points of view

b) Open questions (when, why, what etc), not closed questions (yes, no)

Perceived situations realistically to understand complex operations from a broad perspective, &
c)
understands the role of individual units within an organisation

d) Able to distinguish crucial points from less important ones

e) Acts ethically (fair, truthful, sincere, honest & discreet)

f) Diplomatic – deals with team & client tactfully

g) Observant – Aware of physical surroundings, activities and habits

h) Tenacious – Persistant, focused on achieving objectives

i) Decisive – reaches timely conclusions based on logical reasoning and analysis

j) Self-reliant - Acts & functions independently while interacting effectively with others

k) Ability to listen

l) Ability to generate an appropriate atmosphere

m Good and professional relationship with team

n) Good and professional relationship with client

o) Systematic

p) Ability to control assessment

q) Appearance appropriate and conducive to the assessment

r) Body language appropriate and conducive to the assessment

s) Performed well under pressure

t) Ability to gain co-operation of the assessment team

u) Ability to adapt as necessary

Additional Comments on Performance / Areas of Concern:

7. RECOMMENDATION Yes No
a) The Auditor has demonstrated competent performance in the conduct of the audit
b) The Auditor has not demonstrated competent performance in the conduct of the audit

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Additional Comments:

Name of Technical
Signature
Assessor/Expert

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