When and Where are Special Audits used?

dsanabria

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#1
As I talk to different customers, there seems to be a curiosity for when and where "Special Audits" are used.

I have heard of 2 from Boeing (one was on FOD - Foreign Object Debris, and the other on a potential escapes) but my experiences are limited.

Any one has a scenario of a "Special Audits" that they would like to share?

Thanks
 
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Sidney Vianna

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#2
ISO 17021 9.5 Special audits

9.5.1 Extensions to scope
The certification body shall, in response to an application for extension to the scope of a certification already granted, undertake a review of the application and determine any audit activities necessary to decide whether or not the extension may be granted. This may be conducted in conjunction with a surveillance audit.

9.5.2 Short-notice audits
It may be necessary for the certification body to conduct audits of certified clients at short notice to investigate complaints (see 9.8), or in response to changes (see 8.6.3), or as follow up on suspended clients (see 9.6). In such cases a) the certification body shall describe and make known in advance to the certified clients (e.g. in documents as described in 8.6.1) the conditions under which these short notice visits are to be conducted, and
b) the certification body shall exercise additional care in the assignment of the audit team because of the lack of opportunity for the client to object to audit team members.

9.6 Suspending, withdrawing or reducing the scope of certification

9.6.1 The certification body shall have a policy and documented procedure(s) for suspension, withdrawal or reduction of the scope of certification, and shall specify the subsequent actions by the certification body.

9.6.2 The certification body shall suspend certification in cases when, for example, the client's certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system, the certified client does not allow surveillance or recertification audits to be conducted at the required frequencies, or the certified client has voluntarily requested a suspension.

9.6.3 Under suspension, the client's management system certification is temporarily invalid. The certification body shall have enforceable arrangements with its clients to ensure that in case of suspension the client refrains from further promotion of its certification. The certification body shall make the suspended status of the certification publicly accessible (see 8.1.3) and shall take any other measures it deems appropriate.

9.6.4 Failure to resolve the issues that have resulted in the suspension in a time established by the certification body shall result in withdrawal or reduction of the scope of certification.
NOTE In most cases the suspension would not exceed 6 months.

9.6.5 The certification body shall reduce the client's scope of certification to exclude the parts not meeting the requirements, when the client has persistently or seriously failed to meet the certification requirements for those parts of the scope of certification. Any such reduction shall be in line with the requirements of the standard used for certification.

9.6.6 The certification body shall have enforceable arrangements with the certified client concerning conditions of withdrawal [see 8.4.3.d)] ensuring upon notice of withdrawal of certification that the client discontinues its use of all advertising matter that contains any reference to a certified status.

9.6.7 Upon request by any party, the certification body shall correctly state the status of certification of a client's management system as being suspended, withdrawn or reduced.
 
#3
I don't have my copy of ISO 19011 handy, but will try to partially answer your question.

I think a lot of the answer depends on what you classify as special audits. I promote using supplemental audits when conditions indicate additional auditing needs. For example, Your audit of material handling process is scheduled for November. During an unrelated audit (say... calibration), you discover a container of unidentifed product in an area you know product should not be stored. It is the end of March. Would you want to wait until November to audit the material handling process? Probably not, so you would use a supplemental or special audit. Or if you substantially change a process, or suddenly have a rash of nonconforming product (or anything else that would relate to process status discussed in 8.2.2).

Hope that helps... somewhat.
 

dsanabria

Quite Involved in Discussions
#4
ISO 17021 9.5 Special audits

9.5.1 Extensions to scope
The certification body shall, in response to an application for extension to the scope of a certification already granted, undertake a review of the application and determine any audit activities necessary to decide whether or not the extension may be granted. This may be conducted in conjunction with a surveillance audit.

9.5.2 Short-notice audits
It may be necessary for the certification body to conduct audits of certified clients at short notice to investigate complaints (see 9.8), or in response to changes (see 8.6.3), or as follow up on suspended clients (see 9.6). In such cases a) the certification body shall describe and make known in advance to the certified clients (e.g. in documents as described in 8.6.1) the conditions under which these short notice visits are to be conducted, and
b) the certification body shall exercise additional care in the assignment of the audit team because of the lack of opportunity for the client to object to audit team members.

9.6 Suspending, withdrawing or reducing the scope of certification

9.6.1 The certification body shall have a policy and documented procedure(s) for suspension, withdrawal or reduction of the scope of certification, and shall specify the subsequent actions by the certification body.

9.6.2 The certification body shall suspend certification in cases when, for example, the client's certified management system has persistently or seriously failed to meet certification requirements, including requirements for the effectiveness of the management system, the certified client does not allow surveillance or recertification audits to be conducted at the required frequencies, or the certified client has voluntarily requested a suspension.

9.6.3 Under suspension, the client's management system certification is temporarily invalid. The certification body shall have enforceable arrangements with its clients to ensure that in case of suspension the client refrains from further promotion of its certification. The certification body shall make the suspended status of the certification publicly accessible (see 8.1.3) and shall take any other measures it deems appropriate.

9.6.4 Failure to resolve the issues that have resulted in the suspension in a time established by the certification body shall result in withdrawal or reduction of the scope of certification.
NOTE In most cases the suspension would not exceed 6 months.

9.6.5 The certification body shall reduce the client's scope of certification to exclude the parts not meeting the requirements, when the client has persistently or seriously failed to meet the certification requirements for those parts of the scope of certification. Any such reduction shall be in line with the requirements of the standard used for certification.

9.6.6 The certification body shall have enforceable arrangements with the certified client concerning conditions of withdrawal [see 8.4.3.d)] ensuring upon notice of withdrawal of certification that the client discontinues its use of all advertising matter that contains any reference to a certified status.

9.6.7 Upon request by any party, the certification body shall correctly state the status of certification of a client's management system as being suspended, withdrawn or reduced.
Sidney:

Are these from the new - just released AS 17021? - I don't have a copy but many thanks.
 

Sidney Vianna

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#5
Are these from the new - just released AS 17021?
There is no AS 17021. This is from ISO 17021:2011

AS9101D states
4.3.6 Special Audits
[ISO/IEC 17021 clause 9.5]
Special audits can be performed anytime during the certification cycle in response to one of the following situations:
a) in response to a customer or other interested party request, when a serious issue (supported by objective evidence) has been identified;
NOTE: In this case, the requester shall be notified in advance of the audit dates and made aware of the audit results.
b) in response to an organization’s request to change their scope of certification (commonly known as extensions to scope) or revise the listing of certified sites; or
c) when transferring certification from one CB to another.
NOTE: In this case, the pre-transfer review of the existing certification (see IAF MD 2) shall include an audit of the prospective organization site(s) by an AEA. Items listed in clause 4.2.1 shall be evaluated, including a review of previous certification audits performed by their prior CB (see requirements for transfer of certifications defined in 9104).
These audits shall be coordinated with the organization prior to the visit. The organization shall be given information about the specific reason and subject of the visit.
An audit plan shall be completed and submitted to the organization prior to arrival. The results for special audits shall be documented on the applicable appendices (e.g., Appendices A, B, C, and E).
 
#7
9.5.1 Extensions to scope
The certification body shall, in response to an application for extension to the scope of a certification already granted, undertake a review of the application and determine any audit activities necessary to decide whether or not the extension may be granted. This may be conducted in conjunction with a surveillance audit.
Sydney, questions.

In case the scope extension audit is done during surv audit,is it a requirement to add audit hours,even if the employee count remains same?

Is it a requirement to prepare seperate audit plans-one for scope extension and one for surv audit and also to prepare two audit reports?
 

Sidney Vianna

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#8
In case the scope extension audit is done during surv audit,is it a requirement to add audit hours,even if the employee count remains same?
It obviously depends on the nature of the scope extension. For the most part, yes, a scope extension would require additional time since you have to EXPAND the sampling of the system being assessed to ensure that all applicable requirements are deemed conforming.
Is it a requirement to prepare seperate audit plans-one for scope extension and one for surv audit and also to prepare two audit reports?
A requirement? From whom? Certainly not the 17021 standard. It is up to the Conformity Assessment certification body to decide the requirements on the documents associated with the scope extension audit. One CB might differ from the next.
 
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