SMIIC AC IN-03INSTRUCTION FOR WITNESS AUDIT
This Procedure can be updated and changed as necessary.
It cannot be copied or distributed without permission. In order to copy or distribute, permission must be obtained from the SMIIC AC Quality Manager.
FR-01-04/Rev.00Page 1 of 1
/ SMIIC AC IN-03Instruction For Witness AuditsRevision No: 00 / Date: 07.10.2015
TABLE OF CONTENTS
1 INTRODUCTION
2IMPLEMENTATION...... 3
2.1 General...... 3
2.2 Number of witness audit...... 3
2.3 Preparation for witness audit...... 8
2.4 Performing witness audit...... 9
2.5Reporting on the performed audit...... 10
3 REVISION HISTORY...... 10
1 INTRODUCTION
This procedure specifies the method of carrying out the witness audit in the processes of halal accreditation and maintenance of halal accreditation of halal conformity assessment bodies.
This procedure shall be implemented by SMIIC AC employees and delegated associates.
Witnessing: Evaluation of the assessment/inspection staff work in halal conformity assessment activities during the on-site assessment and carried out by delegated assessors.
Delegated assessor: SMIIC AC employees and delegated assessor, Islamic Fiqh expert.
2IMPLEMENTATION
2.1General
One of the major component of assessment in halal accreditation processes (or maintenance thereof) of halal conformity assessment bodies is on-site assessment of the halal conformity assessment activities including halal inspection or halal certification in related scope that HCAB applied for.
2.2 Number of witness audits
Minimal number of witness audits is defined in the below table.
Main Technical Categories / Technical Categories / Subcategories / Examples of included activities / Site Assessment RateFarming / A / Farming of animals / AI / Farming of Animals
for Meat/ Milk/ Eggs/
Honey / Raising animals (other than fish and seafood) used for meat production, egg production, milk production or honey production
Growing, keeping, trapping and hunting (slaughtering at point of hunting)
Associated farm packing b and storage / 10% of certified clients
Stock farming, sheep and goat breeding, meat/milk/honey production, etc.
AII / Farming of Fish and
Seafood / Raising fish and seafood used for meat production
Growing, trapping and fishing (slaughtering at point of capture)
Associated farm packing b and storage / 10% of certified clients
Fishing, etc.
B / Farming of plants / BI / Farming of Plants (other
than grains and pulses) / Growing or harvesting of plants (other than grains
and pulses): horticultural products and hydrophytes for food
Associated farm packing b and storage / 2% of certified clients
fruits, vegetables,
spices, mushrooms, aquatic plants, etc.
BII / 2. Farming of Grains and
Pulses / Growing or harvesting of grains and pulses for food
Associated farm packing b and storage / 2% of certified clients
Grain & pulse farming, etc.
Food and feed processing / C / Food manufacturing / CI / Processing of perishable animal products / Production of animal products including fish and seafood, slaughtering meat, poultry, eggs, dairy and fish products / 15% of certified clients
Eggs, yoghurt, canned fish & seafood, canned eggs, slaughtering, etc.
CII / Processing of perishable
plant products / Production of plant products including fruits and fresh juices, vegetables, grains, nuts, and pulses / 15% of certified clients
Canned fruits, canned vegetables, etc.
CIII / Processing of perishable
animal and plant products(mixed products) / Production of mixed animal and plant products. / 15% of certified clients
pizza, lasagne, sandwich, dumpling, ready-to-eat meals, etc.
CIV / Processing of ambient
stable products / Production of food products from any source that are
stored and sold at ambient temperature. / 15% of certified clients
Canned foods, biscuits, snacks, oil, drinking water,
beverages, pasta, flour, sugar, food-grade salt
D / Animal feed production / Production of feed from a single or mixed food
source, intended for food-producing animals / 4% of certified clients
Sheep, goat, cow feed, etc.
Catering / E / Catering / Preparation, storage and, where appropriate, delivery of food for consumption, at the place of preparation or at a satellite unit, places where halal food and beverages prepared, stored and served. / 5% of certified clients
i.e. restaurants, canteens, food courts, etc.
Retail, transport and
storage / F / Distribution / FI / Retail / Wholesale / Provision of finished food products to a customer / 5% of certified clients
Retail outlets, shops, wholesalers
FII / Food Broking /
Trading / Buying and selling food products on its own account
or as an agent for others
associated packaging
G / Provision of Transport and Storage Services / GI / Provision of Transport
and Storage Services
for Perishable Food and
Feed / Storage facilities and distribution vehicles for the storage and transport of perishable food and feed
associated packaging / 15% of certified clients
GII / Provision of Transport
and Storage Services
for Ambient Stable Food
and Feed / Storage facilities and distribution vehicles for the storage and transport of ambient stable food and feed associated packaging
Auxiliary Services / H / Services / Provision of services related to the Halal production of food, / 5% of certified clients
including water supply, cleaning services, waste disposal, veterinary services, Islamic financial services, hotels (excluding food or catering services),
Tourism, substructure, publishing, education, alternative treatment methods, health care services, etc.
I / Production of Food Packaging and Packaging Material / Production of food packaging material / 10% of certified clients
Glass, carton & paper, boxes, plastic bottle & container & film, etc.
J / Equipment Manufacturing / Production and development of food processing
equipment and vending machines development of product, process and equipment / 5% of certified clients
(Bio)chemical Manufacturing / K / Production of (Bio) Chemicals / Production of food and feed additives, vitamins, minerals, bio-cultures, flavourings, enzymes and processing aids, microorganisms.
Pesticides, drugs, fertilizers, cleaning agents / 5% of certified clients
Detergents, acidity regulators, emulsifiers, D, B12 vitamins, etc.
Other Materials Manufacturing / L / Production of other materials / Cosmetics, textile, leather products, etc.
Food supplements. / 5% of certified clients
Lipsticks, cosmetic creams, leather jackets, bags, oil burners, protein powders, etc.
a Main technical categories are intended to be used for accreditation scope of accredited certification bodies, and for accreditation bodies witnessing certification bodies.
b “Farm packing” means packaging without product modification and processing.
c “Associated packaging” means packaging without product modification and processing and without altering the primary packaging.
In the initial halal accreditation or reassessment, the witness audit for QMS is performed during the certification or recertification assessment. In a case when the halal certification body cannot organize such witness assessment within a reasonable period of time, then the SMIIC AC apply the rules stated in the relavant documents.
Performing witness audit in the initial accreditation is the precondition for granting the accreditation certificate.
The regular annual number of Surveillance site visit is determined by using the table above. In determining the scope of the witness audit the risk-affected areas need to be taken into consideration.
During the regular annual surveillance visits, witness audit should be performed prior to on site assessment.
The number of witness audits and parts of total scope of accreditation that are to be assessed by the witness audit are, as a rule, agreed with the accredited HCAB at the beginning of the preparations of the regular annual surveillance.
In case of the extension of the scope of accreditation, the lead assessor will, in cooperation with assessor and expert and, if needed, with the Head of the Department responsible for that accreditation scheme, decide on the need to perform the witness audit, taking into consideration the applied scope, client number and locations, and the related risk as well as the HCAB's assessors/inspection/verification personnel.
The lead assessor, in cooperation with the caseofficer, during the validity of the accreditation certificate, organizes witness audits in such a way that during the respective period the widest possible scope of accreditation is assessed and that during the surveillance period the work of the maximum number of HCAB assessment / inspection personnel members are assessed.
The requested number of witness audits may be reduced in particular, justified cases. It shall be explained in a written form. It applies only in surveillance visits or reaccreditation if there is a confidence that the management system provides credibility of issued certificates, further to the previous assessments results.
The decision shall be made by the SMIIC AC upon the recommendation of the Assessment team and the proposal of the Accreditation Committee.
In such cases, the missing number of witness audits must be compensated as soon as possible, but certainly before the next surveillance visit.
2.3Preparation for witness audit
Before the witness audit HCAB shall provide the lead assessor with the following:
-full name of the organization
-address of the organization and numbers of telephone, fax, e-mail, contact person
-names and surnames, occupations, qualifications, scope of competence of the HCAB certification personnel,
-date of audit/assessment
-plan of audit/assessment
-evidence on consent of the organization about accepting the SMIIC AC assessors.
In case the organization where the audit / assessment is carried out possesses a valid certificate, before the witness audit, or during the witness audit, at request of SMIIC AC assessors, CAB shall submit the following:
-photocopy of the granted certificate
-report from the previous audit / assessment
-reports on nonconformities from the previous audit / assessment.
Before the start of the introductory meeting, the SMIIC AC lead assessor shall inform the HCAB lead assessor about the following:
-all data and information available to SMIIC AC assessors team during assessment shall be treated as confidential in relation to the organization where the assessment is being performed, in compliance with the SMIIC AC Rules
-all notes and remarks of the SMIIC AC assessors refer to assessment performed by HCAB and shall be treated as confidential regarding the respective body, and shall not be made available to organization in which the assessment is performed
-HCAB assessor shall call upon SMIIC AC lead assessor to speak during the introductory meeting.
SMIIC AC assessor team have right to choose HCAB's client for witness assessment without prior notification.
SMIIC AC have right taking HCAB's client's certified product sample from market to verify halal situation.
2.4Performing witness audit
During the witness audit, the SMIIC AC assessors monitor the work of HCAB assessors, keeping records on the reviewed documents, nonconformities, if applicable, list of participants in assessments and notes that will help them in writing the report on the performed witness audit.
During the audit/assessment, the HCAB auditor/assessor is not provided by any feedback, except in exceptional cases and for special reasons.
The SMIIC AC lead assessor shall require from the HCAB auditor/assessor to be called upon to speak during the final meeting, to thank the organization in which the audit has been performed for cooperation and hospitality and to repeat a part of the SMIIC AC rules that refer to confidentiality.
After the final meeting, chaired by the HCAB lead auditor/assessor, the SMIIC AC lead assessor shall verbally inform the HCAB lead auditor/assessor about the findings and about the possibly determined nonconformities.
After that, the lead auditor/assessor shall be requested to sign the previously written reports on nonconformities, if any, as a sign of understanding and acceptance.
2.5 Reporting on the performed audit
The report on results of the performed witness audit, if performed within the on-site assessment, shall be reported.
As conclusion, the assessment is given regarding the competence of HCAB assessors for carrying out the assessment activities in the report on witness audit.
The corrective actions for the elimination of nonconformities identified during the witness audit are part of the total SMIIC AC assessment activities.
After performed witness audit, a lead assessor provides a procedure officer with all the relevant documents and records, collected during the organisation and of witness audit.
3REVISION HISTORY
Revision HistoryRevision number / Date / Detail / Author
00 / 07.10.2015 / Initialversion / SMIIC AC
Page 1 of 10
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