ASI WITNESS PROGRAMME Soil Association Cert. Ltd. June 2016

Introduction Aims of this session Who we are How we’ll do it Provide clarification on who ASI are and how they affect us Aims of this session SA Forestry (Senior) Certification Managers, Forestry Technical Team, SA Quality Team Who we are Presentation (30mins), group session (30 mins), whole group discussion (60 mins) How we’ll do it Evaluation The nature of ASI CARs going forward.

Each witnessed audit costs us €4,000 - €10,000. ASI witness programme ASI (Accreditation Services International) are required by FSC to witness a selection of Soil Association COC and FM audits around the world each year. The number of witness audits required each year is determined by ASI. For the last two years, the annual required figure is 18 (10 COC, 6FM, 2 affiliate). Each witnessed audit costs us €4,000 - €10,000.

ASI Audits: increasing Year No. ASI Audits 2011 5 2012 11 2013 12 2014 13 2015 17 2016 8 SO FAR

ASI witness programme ASI select the certificate holders and auditors they would like to witness based on risk. Here at SA, the quality team liaise with senior certification managers to co-ordinate suitable audit dates for us, the client and ASI. Once ASI select an audit, the senior certification manager and relevant auditor prepare information and documents (audit agenda, auditor competence records, previous two reports, report template) to send to the quality team. The quality team collates this information and forwards to ASI.

ASI risk based sampling

Focus areas 2016

ASI Findings: increasing 2014 2015 2016 SO FAR Currently open Observations 30 24 10 49 Minor CARs 25 9 31 Major CARs 1 12 3 4 (Waived after objection) 5 8 - NB: 12 Majors in 2015: 6 of these were from one desk audit. No real common themes in CARs from ASI – various across topics. Topics we cover in training, or issue Technical Updates about, are relevant for these CARs

Implications Within a draft report, ASI raise Observations, Minor Conditions and Major Conditions, which have the same timescales as for FSC audits. The Forestry Technical Team may enter ‘errors of fact’ (objections) within 5 days. ASI will respond and produce a final report (sometimes this can take considerable time), confirming their final findings. If Conditions are not closed in time, it is possible SA can be suspended…worldwide.

Thank you all for your on-going hard work & co-operation. Please note! ASI may find a system problem/omission on the part of SA – not necessarily anything an auditor does wrong. The examples here are deliberately auditor focussed. ASI witnessed audits can also feel pressurised, crowded and are occasionally last minute; findings are then based upon a very small sample of an auditor’s work. Thank you all for your on-going hard work & co-operation.

Group Exercise You have all been divided into small groups and given a selection of CARs raised against SA by ASI around the world. These include findings raised at witness audits on site, as well as internal office audits in both Bristol and Agents’ (Affiliates) offices overseas.

Group Exercise A. Please read the ASI finding and the evidence provided and then note down in writing what you feel the: root cause; corrective action and preventative action would be for each one. This is the format in which SA uploads a response onto the ASI database in order to close Conditions.

Root cause Examples Lack of training for a specific Auditor. Incorrect systems (procedures etc). Lack of clarity in FSC standards. Inadequate time allocated to audit. Inadequate preparation prior to audit. Last 2 are things which are easy to prevent!

Corrective Action Examples Suspend Auditor until re-trained Re-audit company Issue CARs to company Correct systems and re-issue report templates/procedures etc. Issue Technical Updates

Preventative Action Examples Training for ALL Auditors in region or world (webinars etc.). Re-audit all companies auditor has audited. Witness audits. New procedures/QMS docs.

Example ASI Finding: CAB auditor did not sufficiently evaluate the records to verify that management systems (documented or undocumented) are working effectively and consistently in practice. Evidence: Although a considerable number of documents were submitted by the Certificate Holder (CH) during the audit, the Lead Auditor did not sufficiently evaluate the records, considering that quantitative information on FSC sales was not available (the CH had not prepared an annual volume summary).

Example Root cause: The CAB lead auditor (LA) did not sufficiently ensure that the quantities produced and sold within every product group were compatible (and therefore wholly reconcilable) with the quantities of inputs. Corrective action: Training given to LA and to local team, understanding then confirmed at office audit. Preventative action: Technical Update released, sample of audit reports re-assessed from before and after ASI Witness audit, discussion at auditor training (here!).

Group Exercise B. Please also note down on paper who or what is going to be affected by these actions and will subsequently need to be updated. Example WHO: Individual Lead Auditor (LA) Regional LA Team SA documentation All LAs.

Group Exercise Please nominate a speaker for your group and we will then discuss your answers with the room. Some of you will have the same CARs as your neighbours so can add to each other’s comments. C.

Any questions ? Please ask!