Convener – Wendy da Cruz SAATCA 13 th International Auditor Convention Global Methodologies and Tools

 What’s in a name?  3 Terms and definitions  NOTE 3 When two or more management systems of different disciplines (e.g. quality, environmental, occupational health and safety) are audited together, this is termed a combined audit.  DIS also uses the term integrated, but does not have a separate definition.

 3.4 third-party certification audit  NOTE 5 When a client is being audited against the requirements of two or more management systems standards together then this is termed a combined audit.  NOTE 6 When a client has integrated requirements of two or more management systems standards into a single management system and is being audited against more than one standard, then this is termed an integrated audit.  Audit team selection and assignments  whether the audit is a combined, integrated or joint audit;

 5 Managing an audit programme  5.1 General  …..  The audit programme(s) can include audits of single, multiple or integrated management system(s) conducted either separately or in combination.

 Defining individual audit objectives, scope and criteria  Where a combined audit is to be conducted, it should be ensured that the:  audit objectives arising from different audit programmes are aligned, including those objectives arising from the combination;  audit scope is consistent with requirements arising from the specific management system standards;  audit criteria are selected so that efficiency can be gained by combining similar requirements/subjects from different references.

 Determining the audit method(s)  Where two or more auditing organizations conduct a joint audit in the same auditee, the persons responsible for the management of the different audit programmes should cooperate and exchange information during the establishment of the audit programmes. They should pay special attention to the division of responsibilities, the scheduling of the joint audits, the provision of any additional resources, the competence of the audit team and the appropriate procedures. Agreement on these matters should be reached before the audit activities start.

 Determining the audit method(s)  …………  If an organization to be audited operates two or more management systems of different disciplines, combined audits may be included in the audit programme. In such a case, special attention should be paid to the competence of the audit team.

 Selecting the audit team  In deciding the size and composition of the audit team for the specific audit, consideration should be given to the following: ◦ ………………………. ◦ whether the audit is a combined or joint audit;

 Preparing the audit plan  …………  For combined and joint audits, particular attention should be given to the interfaces between processes of the management system(s).  Audit findings  For combined and joint audits, arrangements on dealing with findings related to criteria coming from the different requirements audited (multiple criteria) should be in place.

 Auditors who audit combined or integrated management systems  Auditors who intend to become an audit team member in the audit of combined or integrated management systems should have:  the competence necessary to audit at least one management system discipline forming part of the combined or integrated management systems, as long as the audit team includes auditors with competence for all disciplines;  an understanding of the interaction and synergy between the different management systems;  An audit team leader conducting audits of combined or integrated management systems should meet the above recommendations and have discipline specific competence to coordinate the auditing of multiple disciplines.

 C.4 Preparing Work Documents  When preparing work documents, the audit-team should consider the following questions for each document:  Which audit record will be created by using this work document?  Which audit activity is affected by this particular work document?  Who will be the user of this work document?  What information is needed to prepare this work document?

 C.4 Preparing Work Documents (Continued)  For combined audits it is essential that thorough preparation of work documents avoids duplication of audit activities by:  clustering of similar requirements from different criteria;  synchronization of related checklists and questionnaires.

 C.8.3 Dealing with findings related to multiple criteria  On an audit, it is possible to identify findings related to multiple criteria. Where an auditor identifies a finding linked to one criterion on a combined audit, the auditor should consider the possible impact on the corresponding/similar criteria of the other management systems.

 C.8.3 Dealing with findings related to multiple criteria (Continued)  Depending on the arrangements with the audit client, the auditor may raise either:  separate findings for each criterion; or  a single finding, combining the references to multiple criteria.  Depending on the arrangements with the person responsible for managing the audit programme, the auditor may guide the auditee on how to respond to those findings.