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Protocol and Report Writing for BRC Auditors
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Course Timetable
Introduction 09:30
Auditor consistency & Pre-course work review 09:40
Review and revision of the Standard 10:30
Break 11:00
Introducing the BRC Scheme 11:15
Report Writing 12:00
Lunch 12:30
Report Writing Cont. 13:30
Grading & Scoring 14:00
Post Audit Requirements 14:30
Requirements for auditors 15:10
Compliance 15:40
Review & revision 15:50
Examination 16:00
End 16:40
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Aim of this course
To give auditors the tools they need to carry out and report audits consistently
and accurately to BRC requirements.
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About the assessment
● 20 multiple choice questions● 40 minutes to complete● Questions on protocol and report● Delegates given a ‘clean copy’ of the
Standard, protocol & report form● No other notes
Pass = 80% (16/20)
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Auditor consistency / pre-course work review
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Credibility of the Standard
● Auditors are critical to the success, credibility and reputation of the Standard
● They should be:
Ethical Professional Accurate ConsistentAuditors are expected to operate at all times in a professional manner in accordance with the BRC code of conduct and are expressly forbidden from accepting gifts in payment or in kind which may cast doubt on the integrity or independence of the audit or certification process. Sites found to be offering inducements will also be subject to censure.
Auditors are expected to arrive on time, appropriately dressed, conduct themselves professionally at all times.
They should remember they are ambassadors of the BRC.
Auditors are expected to thoroughly investigate the site’s compliance with the requirements of the Standard and to report accurately any findings.
They should spend enough time in the production area to establish practices and not limit their audit to paperwork systems.
Auditors should be mindful of the definitions in the Standard relating to non-conformities and to the actual text of the clauses.
They should review the BRC website regularly for any interpretation updates .
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Consistency
This is achieved by:● Auditor training
● Clear understanding of aim and purpose of the Standa rd● Benchmark against other auditors
● Ongoing assessment exercises● Review of audit reporting
● Datamining for trends ● Random monitoring of reports
● Follow up on complaints● Supporting documents – guidelines, position statemen ts etc● BRC clarification of issues that cause problems● Robust accreditation process.
One of the key concerns of stakeholders is thataudits should be consistent
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Consistency of outcome v Consistency of report
● Important that the report reflects the actual situation – if auditor A assesses a site as Grade B, auditor X from another certification body should arrive at the same conclusion
● Their reports should also be consistent but they may have viewed slightly different things as they will have done the audits at different times and followed different audit trails
● Although the use of “ticklists” and “copy paste” of standard phrases leads to consistent reports, the decision process behind them still needs calibration to achieve consistency of outcome.
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Pre–course work review
● Each delegate was given a worksheet before the course with 10 scenarios
● They were asked to establish whether a non-conformity had occurred and to grade it minor, major or critical
● In some cases, they were also asked to identify the relevant clause.
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Module summary
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One way of ensuring consistency of audit is by ensu ring complaints are followed up
Consistency of report does not necessarily mean tha t there has been consistency of audit
Auditors should be ethical, professional and accura te
After conducting a few audits, auditors will no lon ger need to review the BRC website for updates
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Revision of Key Points of the Standard
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Revision
Establishing audit criteria● Review of the difference between product
groups and product fields and categories ● How to manage sites producing
products with multiple product groups● Agreeing the audit scope explanation
of what constitutes a good scope● Limitations of product categories.
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Revision
Statements of intent● The purpose of a statement of intent is to:
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explain the content of the clause
allow auditors to escalate the effect of numerous minor non conformities
set a requirement that must be met in order to gain certification
replace the detail of the clause if it is not relev ant
ensure a complete re-audit if requirement is not me t
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Revision
Fundamental Clauses● Identified by star next to statement of
intent● Crucial to the establishment of effective
production operation● Major or critical failure requires re-audit● Have a greater effect on the score.
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Introducing the BRC Scheme
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Global Standard for Consumer Products – Certification Scheme
● For the first time allows sites a continuous development approach
● Sites can progress from enrolment, through development to certification
● Allows sites to aspire to certification and progress to timescales set by their customers
● Allows retailers and other specifiers to monitor their suppliers progress
● Full details are explained in the Protocol document available on the BRC Global Standards website.
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Certification scheme – reasons for the change
● Requested by many retailers● To provide an easier entrance point and
allow suppliers to demonstrate their commitment
● An initial CB visit will support the credibility of the scheme
● Allows sites a choice of starting points● Goal is still certification
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How the scheme works
● Site can choose one of two entry points● Enrolment● Audit
● Both require a visit from an auditor● Enrolment is a simple short
assessment of their capacity to use BRC, not their compliance to requirements
● Audit is the complete BRC audit as performed to asses sites for certification.
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Sites wish to start on path to BRC certification
Option 1: Enrolment
Contact Certification Body for enrolment visit
Enrolment Visit
Enrolment On directory
Removal from scheme and
Directory
Audit within 6 months
Report
Contact details and products only
YesNo
Continuous development
phase
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Sites wish to start on path to BRC certification
Option 2: Full Audit
Contact Certification Body for audit visit
Audit Visit
Possible Certification?
Removal from scheme and Directory
Audit within 12 months
Certification process
NoYes
No
Audit report and score Post on the Directory
Yes
21Re-audit within allowed time frame
Close non-conformities
Sites wish to start on path to BRC certification
Option 2: Full Audit
Contact Certification Body for audit visit
Audit Visit
Possible Certification?
Removal fromscheme and
Directory
Certification process
Yes
CB makes decision & awards grade?Report on the Directory
No
Post on public Directory
No
Yes Continuous development
phase
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Pre-work: Site studies Standard & estimates their position
Enrolment visit
Enrolment: On directory
Yes
Option 2Option 1
Audit
Possiblecertification
Report & score
Yes
Continuousimprovement process
Audit within 12 months
Possible certification
Upload ondirectory
Decide entry point/ contact CB
Yes
Audit within 12 months
Continuousimprovement
process
Possible certification
Upload ondirectory &Public site
Yes
No
No
No
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Module summary
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If there is a major or critical non compliance agai nst a fundamental clause, then the auditor must stop the audit and it will be removed from the directory
If a site opts for an enrolment visit there is no n eed for a visit from an auditor.
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Reporting
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Reporting
● There are 2 possible reports, firstly● Enrolment assessment
● Enrolment assessment is not part of the accredited product certification scheme
● Requires simple yes/no evaluation using auditor best judgement
● Auditor should add simple comment to justify opinion
● Users should check BRC website for latest update.
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Reporting
Assessment report can be completed by any BRC auditor or an auditor who has met all BRC requirements except having carried out sufficient audits
● Different to normal auditing process● Overall impression rather than individual assessment against requirements● Short visit – unlikely to be more than one man day
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Exercise
● Do product specifications exist?On site you find that most products are produced from
customer samples and a bill of materials ● Is there a system for recording complaints?Site informs you that this is all handled by the customer
service department at head office
● Does site appear clean & tidy? Site is clean. One storage area is very untidy and goods
out seems disorganised
Work in pairs – choose one of the scenarios● Is the requirement met – yes or no● Suggest an appropriate summary
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Reporting
● There are 2 possible reports, secondly ● Audit report (used for certificated sites and those
in development)
● Full report posted on Directory database● Must be fully completed● Requires the auditor to include a comment
(positive or negative) for every fundamental clause● Requires auditor to describe every non conformity g iven● Allows auditor space to add comment at the end of e ach
of the 8 requirements sections, if appropriate● Requires the auditor to answer yes/no to all the
questions listed● Requires the auditor to score each clause● Requires the auditor to complete close out informat ion
on non conformities for those sites becoming certificated
● Users should check BRC website for latest update.
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Report writing
● The audit report must be completed in the required format as it will be uploaded directly to the directory
● Data should be entered within the “tagged”fields
● Auditors should respect the required formats for dates etc
● All reports must have the first section completed in English, the remainder should also be in English unless both the site and chosen specifiers are non English speaking.
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Report writing
● Some fields have a maximum number of characters
● For example company profile - maximum 2000 characters
● Translation can be added AFTER text field● Additional information can be added at end of
report● This information will NOT be uploaded.
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Report writing
Audit report writing ● Content and level of detail
● Concise but enough to identify what was seen ● Reporting positive & negative findings
● There is no longer a need for a comment in each requirement (issue 2a) but must complete for all fundamentals
● Time spent on audit should be accurate reflection of actual hours on factory and in office
● Use of the Audit report template ● Key points
● Countries / regions of sale● Company profiles● Recording and evaluating corrective actions.
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Report writing
Top 5 Errors● Unclear scope● Unclear non-conformities● Not enough detail provided to show
controls in place● First section not provided in English and/or
poor translation to English● Poor details within company profile
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Audit report
Report Template Example Report(Site in continuous development)
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Exercise
● Each delegate is asked to imagine a site they have visited● Write a summary for one of the
fundamental requirements● Write a section summary
● Work in pairs ● Discuss each others work● One of group to report findings.
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Exercise
● Each delegate to list the information that they think should be included in the “company profile”
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Of 20 check weighers listed on site, 2 (DS35 & DS 38) within the quality control area were found to have missed their scheduled weekly check in the last week (25/06/09). No other examples of missed checks were found in the 6 sampled weekly records checked
Check weighers not calibrated to scheduleX
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Reporting non-conformities
Detail on extent of issue – confirms whether major or minor.
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Reporting close out ofnon-conformities
● Need information on means of close out● Who reviewed it ● Dates
Extent of issue – will determine required procedure.
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Completing the Questions
● The audit report contains a set of questions for each requirement
● Questions are there to ensure that● Items do not get forgotten● There is a degree of consistency between auditors
● Auditors can use comments section to include additional information not covered by questions
● Auditors should fill in yes/no answers to the quest ions● A no answer will result in a non conformity – which
should be recorded and classified as minor/major or critical
● Some retailers prefer a question based system and w ill need to see the completed responses to questions.
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Questionnaire is NOT
● A replacement for auditor skill
● A list to be followed to the exclusion of other matters relevent to the Standard
● A means of using unskilled or untrained auditors
● A way of avoiding reporting detail of non conformities
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Auditor Behaviour
● No final decision to be given on site● Summary of findings at close or within
24 hours● Information to be provided to the site
within correct timescale● Respecting and understand the agreed
timescales for reporting and uploading report to BRC
● Ensure that the CB certification decision procedure is followed
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Grading and scoring
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Grading
● A site receives a grade when they are certificated and meet the requirementsof the Standard
● The Grade can be A,B,C (all pass) or D (fail)● The grade depends on the performance
during the audit visit and is not changed by close out of non-conformities
● Grading criteria are detailed in Appendix 4 of the Standard (p85)
● Grade obtained affects frequency of subsequent audit (also in Appendix 4)
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Scoring
● A new approach for BRC audits● Suggested by several stakeholders● Maintains consistency with certification
and grading● Allows sites and specifiers to identify how
near they are to certification and to highlight areas that need improvement
● Once certificated a site has closed out non-conformities and so has reached a100% score. The grade replaces the score for certificated sites
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How the Scoring works
● Site receives “penalty” points for everynon-conformity raised
● Level of penalty varies depending on whether the non-conformity is critical, major or minor
● Non-conformities to fundamental clauses are more heavily weighted
● The penalty points for each of the 8 sections of the Standard are deducted from a maximum value allotted to the section● This goes to a minimum of zero – negative
scores are not used● The score for each section is totalled to give an
overall percentage score
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The Score - Card
No of critical, major, minornon-conformities Overall score
Section score =Available score –penalty points
“fundamentals”Critical -60Major -60Minor -10
“normal” clauses Critical – 60Major -20Minor -2
All 8 sections scored.Based on penalty points for non- conformities
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Module summary
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When writing an audit report it must be concise, bu t include enough detail to explain what you have seen
Auditors can use the comments section on the audit report to include information about the site which is not cov ered in the Standard
Once the audit is completed an auditor should alway s ensure thata final decision is given regarding the score befor e they leave
The grade given to a site depends upon the performa nce during the audit visit and cannot be changed by the close out of non-conformities
The scoring system weights non conformities to fund amental clauses more heavily than others.
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Post audit requirements
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Post Audit requirements
● The certification decision● Role and scope of the directory● Information for sites - supplier login and
directory● Frequency of re-audit● Calculating the next audit date ● Product recall or legal proceeding● BRC logos and plaques● Appeals.
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User friendly interfaceFull audit reports in PDF.XL statistical exports
BRC Directory – content and display
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Certificate validity
● An audit takes place on 4 th January 2011● Site provides information to close out
non-conformities on 24 th January 2011● CB makes audit decision on 6 th February
2011. Site is grade B and product Group 1
What is the certificate expiry date?
What is the re-audit due date?
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Certificate validity
● An audit takes place on 4 th January 2011● Site provides information to close out
non-conformities on 24 th January 2011● CB makes audit decision on 6 th February
2011. Site is grade B and product Group 1
What is the certificate expiry date?
What is the re-audit due date?
18th Feb 2012 (1 yr + 42 days)
4th Jan 2012 (can be up to 28 days earlier)
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Other audit visits
● The certification body is within its rights to make audit visits (announced or unannounced) if it has reason to question the certification validity
● Product recall information● Complaints● As a result of an accreditation issue● After legal proceedings● After an appeal.
What reasons might there be for this?
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Requirements for BRC auditors
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Becoming a BRC auditor
● The requirements are laid out in Appendix 2 of the Standard supplemented by the document referred to in the Appendix
● In summary● Must work for an approved CB● Educated to degree level in appropriate subject● At least 3 years work experience in relevant indust ry ● Auditor qualification● BRC Global Standard training● Risk assessment training● Auditing experience of BRC Global Standard● Met CB training requirements
● Have undergone witnessed audits● Have carried out at least 3 audits against the Stan dard per year● Shown continuing competence by ongoing witnessed au dits● Have a witnessed audit is scope is expanded
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BRC auditor registration
● CBs are obliged to fill in auditor registration onto directory on behalf of CB
● Auditor registration will only take place if sufficient and appropriate information is supplied
● Example of auditor registration available on the Directory for information
● Auditor has unique registration number for a CB● If working with more than one CB will have
more than one number● Note as CB is responsible for auditor sign off
and registration information, must post all information. It cannot be transferred between CBs.
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Why is registration important?
● Allows system to cross check audits against auditor competence in product category
● Helps confirm auditor suitability● Adds confidence in the system● Protects good auditors.
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Some key issues
● Cannot carry out audit outside category● Must extend scope and register before audit
or it will be invalid and have to be repeated● Can use an auditor outside of category with a
technical expert● Report will divert to “holding area”● BRC will seek justification● Can speed up process by informing BRC
about the use of expert when report is posted● Common fault – claiming for too many
categories● Commercially attractive but must stick within
competence● Observing or witnessing audits.
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Compliance
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Compliance
● BRC takes compliance with its requirements very seriously
● Full time compliance manager● Sampling of audit reports from all CBs● CB office audits as required● 6 monthly KPIs for CBs results in grading
● Audit report quality is a KPI● Audits carried out not in compliance may
need to be re-done at CBs expense● Continuing non compliance can lead to
suspension or removal of CB.
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Module summary
True (����) or False ( ����)
If an audit takes place on the 17 th June 2012 it will need to be re audited by the 17 th June 2013
If an audit takes place on the 25 th September 2011 the certificate expiry date will be 6 th November 2012
The Certification body is within its rights to make an audit visit if it has reason to question the certification as a resul t of product recall information
To be a BRC auditor for Consumer Products it is nec essary to have at least 5years work experience in a relevant indu stry
Auditor registration is important as it helps to co nfirm auditorsuitability and protects good auditors
Audits which have been carried out, but which do no t comply may need to be redone at the manufacturing sites expens e
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Review and revision
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The BRC Global Standards Audit
As auditors you should now know● How to use the requirements of the Standard
and the knowledge gained through the “Implementing the Standard” course and audit skills experience or training to
● How to verify legislative and product safety requirements
● How to assess factories that only make to customer specifications
● Understand when it suitable (or not) to judge claus es “not applicable”
● To use the concept of “Statements of Intent”appropriately
● How to handle the “fundamental” clauses● How to complete an audit report and score-card● Your limitations with regard to product categories● Understand the standards expected of BRC auditors
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Support
● From publications● Interpretation Guidelines● Best Practice Guidelines● Sector Guidelines
● From the BRC Global Standards website● By contacting us
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Revision Question
The main purpose of a written BRC audit report is:
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a) Provide proof that an audit has taken place
b) To clearly explain the controls in place at the audited site
c) To communicate the results of the audit to customers
d) To upload details of the audit on the BRC website
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Revision Question
Which of the following best describes the appropriate conduct of an auditor?
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a) Respectful, confrontational, objective
b) Punctual, easily distracted, objective
c) Punctual, objective, respectful
d) Competent, argumentative, punctual
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Revision Question
Following a subsequent audit, (not an initial audit) how many days does the company have to correct any non-conformities
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a) 28
b) 60
c) 90
d) 42
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b) Products that have the potential to cause serious injury or death if they failure during normal or foreseeable use are classified in Group 1
c) Products that have the potential for contaminatio n from chemical or other physical hazards are classif ied in Group 2 only
d) Products in Group 1 have hygiene requirements to prevent microbiological contamination.
a) Products in Group 1 are covered by specific legislation, whilst Group 2, there is no specific requirement.
Revision Question
What is the main the difference between Product Group 1 & 2?
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The important things to do now are…
To put into practice whatyou have learnt1111
To develop competencyas BRC auditors2222
To keep your knowledgeup to date3333
4444 To pass the examination.
Thank you for attending this course