WEBVTT 00:00:06.010 --> 00:00:08.430 Welcome to the Introduction to Certification Bodies. 00:00:09.300 --> 00:00:11.560 This module is part of the assurance system 00:00:11.600 --> 00:00:13.520 E-courses from Rainforest Alliance. 00:00:14.660 --> 00:00:16.900 This module provides an introductory explanation 00:00:16.920 --> 00:00:20.010 of the role of a Certification Body in our Certification program. 00:00:20.460 --> 00:00:22.480 This includes the roles, structures 00:00:22.530 --> 00:00:24.080 and the responsibilities of its personnel. 00:00:25.090 --> 00:00:27.960 We hope that this allows you to have an integrated approach to the 00:00:27.960 --> 00:00:30.050 Rainforest Alliance Certification Process 00:00:30.500 --> 00:00:33.590 and understand the dependencies between its different stakeholders. 00:00:34.440 --> 00:00:37.230 This video is meant for CB personnel from Rainforest Alliance 00:00:37.260 --> 00:00:40.690 approved Certification Bodies but may also be interesting 00:00:40.690 --> 00:00:43.160 for Certificate Holders who wish to understand more about 00:00:43.160 --> 00:00:45.540 the role and structure of Certification Bodies. 00:00:46.130 --> 00:00:49.520 This module is applicable for both Farm and Supply Chain Scopes. 00:00:51.530 --> 00:00:55.430 You may have noticed that at Rainforest, we use a lot of terminology. 00:00:55.830 --> 00:00:57.280 Some, you might already know, 00:00:57.400 --> 00:01:00.410 like Certificate Holders or even Certification Bodies, 00:01:00.830 --> 00:01:03.900 but often in our documents we refer to these with abbreviations 00:01:03.910 --> 00:01:06.640 such as CB, CH, etc. 00:01:07.360 --> 00:01:09.430 Besides standard Rainforest terminology, 00:01:09.500 --> 00:01:11.380 during your training on the assurance system, 00:01:11.660 --> 00:01:13.780 you may have heard new terminologies such as 00:01:13.780 --> 00:01:17.590 Certification Body Personnel, Audit and Program Management team. 00:01:18.230 --> 00:01:19.700 We thought it might come handy for you 00:01:19.700 --> 00:01:22.400 to fully understand what a Certification Body is, 00:01:22.680 --> 00:01:24.660 what it does, how it is structured, 00:01:24.740 --> 00:01:26.550 and the different team members on board. 00:01:27.450 --> 00:01:28.670 Lets begin with the basics: 00:01:29.280 --> 00:01:31.790 A Certification Body is a legal entity that 00:01:31.790 --> 00:01:34.810 conducts audits and concludes certification processes. 00:01:35.430 --> 00:01:38.040 They are organizations that carry out auditing, 00:01:38.060 --> 00:01:41.400 and certification activities on behalf of the Rainforest Alliance. 00:01:41.840 --> 00:01:44.830 Its staff members, called Certification Body personnel, 00:01:45.460 --> 00:01:48.370 are all those hired workers, independent contractors, 00:01:48.410 --> 00:01:51.170 and consultants who hold a legal relationship 00:01:51.170 --> 00:01:51.880 with the Certification Body. 00:01:52.860 --> 00:01:54.920 For a Certification Body to become part 00:01:54.940 --> 00:01:57.350 of the Rainforest Alliance Certification program 00:01:57.680 --> 00:02:00.860 they need to get approved through an authorization process from 00:02:00.970 --> 00:02:04.410 Rainforest Alliance that ensures a standard of audit quality. 00:02:05.060 --> 00:02:08.020 After being authorized, the Certification Body, or CB, 00:02:08.400 --> 00:02:11.350 will need to follow the requirements established by our standard. 00:02:11.920 --> 00:02:14.300 These requirements are listed in the document called 00:02:14.400 --> 00:02:16.250 “Rules for Certification Bodies”. 00:02:16.450 --> 00:02:18.760 This document is divided into two chapters: 00:02:19.490 --> 00:02:22.810 Rules for Authorizing Certification Bodies 00:02:22.850 --> 00:02:26.010 explains the general rules that CBs must fulfill 00:02:26.010 --> 00:02:27.980 to be authorized by the Rainforest Alliance 00:02:29.670 --> 00:02:31.470 Rules for Certification Bodies Personnel 00:02:31.940 --> 00:02:33.670 describes the requirements that govern 00:02:33.670 --> 00:02:36.030 the competency and performance of CB personnel 00:02:37.190 --> 00:02:39.560 This module is meant to be an introduction to 00:02:39.560 --> 00:02:42.760 the role and structure of a Certification Body and its personnel. 00:02:43.420 --> 00:02:45.860 This means we will mostly focus on Chapter 2. 00:02:46.470 --> 00:02:49.330 If you want a more in-depth understanding of requirements that 00:02:49.330 --> 00:02:51.160 Certification Bodies and their staff 00:02:51.160 --> 00:02:53.640 need to follow to conduct certification services 00:02:54.060 --> 00:02:56.010 we recommend reading the whole document. 00:02:57.830 --> 00:02:59.630 When applying for authorization from 00:02:59.630 --> 00:03:01.760 the Rainforest Alliance Certification program 00:03:02.130 --> 00:03:03.570 Certification Bodies need to 00:03:03.570 --> 00:03:05.890 indicate the scope of their organisation. 00:03:06.720 --> 00:03:08.010 What do we mean with scope? 00:03:08.770 --> 00:03:11.400 Scope in this context refers to two things: 00:03:11.670 --> 00:03:14.290 First, to the countries or regions in which 00:03:14.290 --> 00:03:15.880 CBs are authorized to audit 00:03:16.390 --> 00:03:19.710 and second, the type of requirements they can audit against: 00:03:19.800 --> 00:03:21.910 Supply Chain, Farm, or both. 00:03:22.830 --> 00:03:24.110 So, in our standard, 00:03:24.210 --> 00:03:26.630 there are two levels in a Certification Body scope: 00:03:27.530 --> 00:03:28.710 A geographic scope 00:03:28.770 --> 00:03:30.230 that determines the countries or 00:03:30.230 --> 00:03:32.070 regions where audits can take place. 00:03:32.970 --> 00:03:33.920 A standard scope 00:03:34.000 --> 00:03:36.600 that defines if a certification body is allowed 00:03:36.680 --> 00:03:39.460 to audit against farm or supply chain requirements. 00:03:40.170 --> 00:03:42.960 It is important to know that once a Certification Body 00:03:42.960 --> 00:03:45.040 has been authorized by Rainforest Alliance, 00:03:45.170 --> 00:03:46.940 it can only conduct certification 00:03:46.950 --> 00:03:48.970 activities determined by their scope. 00:03:49.480 --> 00:03:51.280 Similar to the organizational level, 00:03:51.660 --> 00:03:54.450 personnel from the CB also have a defined scope. 00:03:54.940 --> 00:03:57.630 This scope depends on that of their CB, 00:03:58.350 --> 00:04:00.050 Personnel scope is categorized 00:04:00.070 --> 00:04:02.060 in a similar way than that of their CB: 00:04:02.410 --> 00:04:04.790 by region and type of auditing they conduct. 00:04:05.180 --> 00:04:08.860 However, the scope of personnel is limited by that of their Cb. 00:04:08.890 --> 00:04:11.950 For example, if a CB is authorized to audit in 00:04:11.970 --> 00:04:15.130 three African countries, their staff members can only audit there. 00:04:18.740 --> 00:04:22.220 Certification Bodies authorized by Rainforest Alliance must 00:04:22.220 --> 00:04:25.570 set an organizational structure that consists of two teams: 00:04:26.130 --> 00:04:27.440 The Program Management team 00:04:27.860 --> 00:04:28.520 The Audit team. 00:04:29.310 --> 00:04:31.570 The Program Management Team includes personnel 00:04:31.590 --> 00:04:33.880 involved in the management of an audit program. 00:04:34.420 --> 00:04:37.190 Some activities done by the program management team are: 00:04:37.740 --> 00:04:39.300 Set the audit objectives 00:04:39.830 --> 00:04:41.340 Determine audit duration 00:04:41.640 --> 00:04:42.870 Select the audit team 00:04:43.670 --> 00:04:46.130 The audit team consists of personnel involved in 00:04:46.130 --> 00:04:48.550 activities related to conducting an audit. 00:04:48.920 --> 00:04:50.470 Their responsibilities include: 00:04:50.970 --> 00:04:52.660 Conducting an opening meeting 00:04:52.930 --> 00:04:54.870 Reviewing documented information 00:04:55.190 --> 00:04:56.900 Collecting evidence in the field 00:04:57.200 --> 00:04:58.760 Producing audit findings 00:04:59.500 --> 00:05:03.150 In total, within the two teams there are 9 different roles: 00:05:03.530 --> 00:05:05.460 3 in the program management team 00:05:05.750 --> 00:05:07.330 6 in the audit team 00:05:07.760 --> 00:05:10.330 It can be the case that a CB structure can vary. 00:05:10.640 --> 00:05:13.800 However, a Certification Body must always have: 00:05:13.880 --> 00:05:18.010 a scheme manager, certifier, database administrator, 00:05:18.160 --> 00:05:20.730 lead auditor, and CB instructor. 00:05:21.190 --> 00:05:23.630 One CB personnel may have more than one role. 00:05:23.690 --> 00:05:25.360 For instance, a Certifier 00:05:25.380 --> 00:05:27.570 can also be registered as a scheme manager. 00:05:28.170 --> 00:05:30.100 Let’s go over each role to understand their 00:05:30.100 --> 00:05:33.220 function and responsibilities within the certification process. 00:05:34.660 --> 00:05:36.860 As we mentioned, the Program Management Team 00:05:36.860 --> 00:05:39.220 consists of 3 main roles, these are: 00:05:39.680 --> 00:05:40.550 Scheme Manager 00:05:41.040 --> 00:05:41.720 Certifier 00:05:42.460 --> 00:05:43.440 Database Administrator 00:05:44.080 --> 00:05:46.100 The scheme Manager is our go-to person, 00:05:46.370 --> 00:05:47.770 our first point of contact 00:05:47.800 --> 00:05:49.910 between the CB and Rainforest Alliance. 00:05:50.170 --> 00:05:52.230 They are responsible for the administration 00:05:52.240 --> 00:05:54.090 and compliance of the Certification Bodies’s account. 00:05:54.720 --> 00:05:57.320 Some tasks carried out by the Scheme Manager are: 00:05:58.040 --> 00:06:00.430 Make sure that all their personnel complies with 00:06:00.430 --> 00:06:02.030 the requirements for staff members 00:06:02.040 --> 00:06:04.620 so that only qualified personnel conduct audits. 00:06:05.160 --> 00:06:07.500 Update colleagues and certificate holders about 00:06:07.520 --> 00:06:09.410 changes in the certification program 00:06:09.990 --> 00:06:11.970 Update and provide documentation to 00:06:12.090 --> 00:06:13.790 Rainforest Alliance when needed 00:06:14.860 --> 00:06:16.540 The Certifier, on the other hand, 00:06:17.070 --> 00:06:20.090 takes the certification decision and reviews audit reports 00:06:20.090 --> 00:06:22.820 to ensure proper interpretation and documentation. 00:06:23.440 --> 00:06:25.850 They determine, after reviewing the audit report, 00:06:26.180 --> 00:06:28.950 if an auditee should or should not be certified 00:06:28.970 --> 00:06:31.300 based on the evidence collected by the audit team. 00:06:31.940 --> 00:06:34.380 Some tasks performed by the certifier are: 00:06:35.050 --> 00:06:37.380 Modify the recommendation of the audit team, 00:06:37.730 --> 00:06:40.730 due to inconsistencies identified in the audit report 00:06:41.380 --> 00:06:43.870 Request the lead auditor to clarify or expand 00:06:43.890 --> 00:06:46.520 any section from the audit report, when necessary 00:06:47.110 --> 00:06:49.730 Review an appeal based on a certification decision 00:06:51.560 --> 00:06:53.870 The last member of the program management team 00:06:53.910 --> 00:06:55.570 is the Database Administrator. 00:06:55.900 --> 00:06:58.810 This is the person that manages the Certification Body account 00:06:59.070 --> 00:07:01.330 in the Rainforest Alliance Certification Platform. 00:07:02.000 --> 00:07:02.880 This might involve: 00:07:03.470 --> 00:07:06.000 Ensure data quality and update certificate holder 00:07:06.000 --> 00:07:09.240 information in the corresponding Certification Body’s databases. 00:07:09.630 --> 00:07:11.350 Update auditor records in the 00:07:11.350 --> 00:07:14.380 Rainforest Alliance Certification Bodies Management platform 00:07:16.890 --> 00:07:18.980 The audit team, in contrast to the program 00:07:18.990 --> 00:07:20.800 management team, is a bit bigger. 00:07:21.280 --> 00:07:23.120 The six roles of the audit team are: 00:07:23.630 --> 00:07:24.240 Trainee 00:07:24.770 --> 00:07:25.330 Auditor 00:07:25.790 --> 00:07:26.700 Lead Auditor 00:07:27.060 --> 00:07:28.960 Lead Auditor for Social Topics 00:07:29.110 --> 00:07:29.860 Instructor 00:07:30.180 --> 00:07:30.990 Technical Expert 00:07:31.890 --> 00:07:33.500 Unlike the program management team, 00:07:33.570 --> 00:07:35.980 here roles have a sequential logic, 00:07:36.290 --> 00:07:37.810 each builds upon the other. 00:07:38.270 --> 00:07:39.140 Think of it as school. 00:07:39.600 --> 00:07:41.950 You must start in the first grade and once you have 00:07:41.950 --> 00:07:44.860 attained all the credits, you may pass to the second grade. 00:07:45.600 --> 00:07:48.060 A Trainee cannot become an Instructor overnight, 00:07:48.120 --> 00:07:50.060 there are several requirements involving 00:07:50.060 --> 00:07:52.660 experience and knowledge that they need to comply with 00:07:52.950 --> 00:07:54.330 before becoming an instructor. 00:07:55.150 --> 00:07:57.480 Talking about the trainee, let's go over this role. 00:07:58.240 --> 00:07:59.800 As you might have already figured out, 00:08:00.050 --> 00:08:02.550 this person is an auditor candidate that has 00:08:02.590 --> 00:08:05.170 yet to attain a higher auditor classification. 00:08:06.100 --> 00:08:08.840 That is, someone who is just starting their career 00:08:08.850 --> 00:08:10.820 in assurance and still has a lot to learn! 00:08:11.400 --> 00:08:13.940 They must be supervised by a lead auditor and 00:08:13.940 --> 00:08:16.660 cannot take any decision or write non-compliances. 00:08:17.410 --> 00:08:20.130 The second role in the audit team is that of an auditor. 00:08:20.800 --> 00:08:22.990 The auditor conducts audits and can be a 00:08:23.000 --> 00:08:25.190 contributing author of audit reports. 00:08:25.740 --> 00:08:27.640 Similar to the trainee they are under the 00:08:27.640 --> 00:08:29.070 direction of the Lead Auditor. 00:08:30.330 --> 00:08:32.620 The Lead Auditor is the most experienced 00:08:32.620 --> 00:08:34.240 CB personnel in the audit team. 00:08:34.720 --> 00:08:37.430 They can oversee any of the audits described in the 00:08:37.430 --> 00:08:40.180 Rainforest Alliance Certification and Auditing Rules. 00:08:40.820 --> 00:08:43.570 The lead auditor is also the main point of contact between 00:08:43.570 --> 00:08:45.070 the audit team and the auditee. 00:08:45.920 --> 00:08:47.960 Amongst their responsibilities are: 00:08:48.170 --> 00:08:51.540 Select competent audit team members to carry out the audit 00:08:52.120 --> 00:08:55.190 Direct and manage the audit team during and after the audit 00:08:56.080 --> 00:08:58.770 Provide guidance and on-the-job training to trainees 00:08:59.420 --> 00:09:02.650 Provide evidence to the certifier for the certification decision 00:09:03.370 --> 00:09:05.750 Write the audit report as main authors 00:09:07.950 --> 00:09:10.180 When an audit is considered very high risk 00:09:10.180 --> 00:09:11.530 in terms of social issues, 00:09:11.770 --> 00:09:14.270 then annex AR4 applies 00:09:14.290 --> 00:09:16.270 and the audit must be guided by the 00:09:16.270 --> 00:09:18.090 Lead Auditor for social topics. 00:09:18.630 --> 00:09:20.630 This will be decided by a risk analysis 00:09:20.860 --> 00:09:22.950 which will consider factors such as location, 00:09:23.210 --> 00:09:25.470 labour law regulations, and the sample of 00:09:25.470 --> 00:09:27.970 their workforce (age groups, gender, etc) 00:09:28.300 --> 00:09:31.380 In such cases, the Lead Auditor for Social Topics 00:09:31.500 --> 00:09:33.190 will head the auditing process. 00:09:33.720 --> 00:09:35.820 This role will have the same responsibilities as 00:09:35.820 --> 00:09:38.040 the Lead Auditor but with the advantage of 00:09:38.070 --> 00:09:39.530 added knowledge and experience to 00:09:39.540 --> 00:09:42.690 handle complex social issues such as child labor, 00:09:42.700 --> 00:09:44.840 fored labor, wages, etc. 00:09:46.120 --> 00:09:47.470 Another important element of the 00:09:47.490 --> 00:09:49.030 audit team is the instructor. 00:09:49.530 --> 00:09:52.070 Usually they are experienced auditors who 00:09:52.070 --> 00:09:53.870 train fellow audit team members and 00:09:53.870 --> 00:09:55.750 certifiers to conduct audits. 00:09:56.070 --> 00:09:57.540 It is important to mention that 00:09:57.540 --> 00:09:59.100 instructors can only perform 00:09:59.100 --> 00:10:00.830 training on their approved scope. 00:10:01.650 --> 00:10:04.080 Last but not least, the Technical Expert. 00:10:05.010 --> 00:10:06.910 These are auditors or consultants with a 00:10:06.910 --> 00:10:09.720 very specific academic and professional background. 00:10:10.320 --> 00:10:12.040 They provide knowledge and technical 00:10:12.040 --> 00:10:14.080 support to the audit team when needed. 00:10:14.640 --> 00:10:16.940 An example of such specialized knowledge may 00:10:16.940 --> 00:10:21.080 be pesticides, yield estimation, water management, etc. 00:10:21.650 --> 00:10:23.590 They can provide advice to the certifier 00:10:23.610 --> 00:10:26.290 but may not take the certification decision. 00:10:26.290 --> 00:10:27.880 . 00:10:27.880 --> 00:10:30.520 As you may have noticed CB Personnel roles 00:10:30.550 --> 00:10:33.470 may be carried out by hired workers, 00:10:33.520 --> 00:10:35.630 independent contractors, and consultants 00:10:36.110 --> 00:10:37.740 provided they meet the requirements 00:10:37.740 --> 00:10:39.930 set for the corresponding role and scope. 00:10:40.770 --> 00:10:43.350 Wow! This was a lot of information! 00:10:43.810 --> 00:10:46.040 But no worries you can always consult Chapter 2 00:10:46.390 --> 00:10:50.260 for further information or go over this video at your own pace. 00:10:51.000 --> 00:10:53.740 The main takeaways your should have from this course are: 00:10:54.250 --> 00:10:55.920 What is a Certification Body? 00:10:56.360 --> 00:10:57.610 How is it organized? 00:10:57.610 --> 00:11:01.070 The roles and responsibilities their staff have 00:11:01.130 --> 00:11:04.260 In case you have further questions do not hestitate to contact 00:11:04.260 --> 00:11:08.800 cbraining@ra.org of a more experienced fellow staff! 00:11:09.240 --> 00:11:10.070 Thank you for watching!