Audit package reviews are an essential quality control process that goes beyond the typical scope of other certification programs. As part of SERI’s Assurance program, audit package reviews are instrumental to continually improve the R2 Certification program.
WHAT ARE AUDIT PACKAGE REVIEWS?
An audit package comprises a report, checklists, notes, and other audit documentation put together by the independent Certification Body (CB) auditor at the conclusion of an R2 audit. The CB management makes a final certification decision about each facility based on the audit package provided by the CB auditor.
SERI is not a part of the decision about whether each facility meets the R2 Standard requirements. Instead, SERI works at the program level by sampling and reviewing audit packages across all the CBs, auditors, facilities, and countries after certification is achieved. This allows SERI to learn about the quality of the audits being performed, inform the topics for continuing education required of auditors, and implement changes to drive consistency in how auditing is done across the program. Reviewers meticulously examine audit packages to verify that the certification decisions by the CB are consistent and supported by the evidence in the audit package.
When performing multiple audit package reviews across different facilities, SERI can also examine the performance of auditors and discover improprieties like copying between audit reports as a shortcut. Another use for the audit package review process includes investigating complaints about facilities or auditors. The first course of action with complaints is to examine whether a good audit was performed and that the evidence supports their decision. This helps SERI to determine what next steps or actions need to be taken.
WHO PERFORMS AUDIT PACKAGE REVIEWS?
SERI utilizes a small team of employees and contractors around the world to perform audit package reviews. Reviewers work independently of CBs and are bound by confidentiality agreements, ensuring an unbiased and trustworthy review process. They do not act as consultants or auditors in the industry. Maintaining confidentiality and independence is crucial to avoiding conflicts of interest and ensuring integrity in the process.
WHAT ACTIONS COME FROM AUDIT PACKAGE REVIEWS?
If concerns about the R2 facilities themselves arise from the audit package reviews, they are communicated directly with the CB that has issued the R2 certificate for further action. These could take the form of informal concerns or formal complaints which require follow-up actions to verify conformity by the CB. Since SERI does not audit the facilities, SERI cannot issue non-conformances.
Learnings from audit package reviews about the CB’s work results in many different improvement actions by SERI. This could include one-on-one coaching for auditors, training for the CB’s personnel, or conducting spot or witness inspections. If the concerns are raised across one or more CBs, SERI will convey the learnings through its auditor calls, our auditor newsletter, and continuing education training.
CONTINUALLY IMPROVING THE R2 CERTIFICATION PROGRAM
Audit package reviews are an important element of the SERI Assurance program. In combination with other activities like spot inspections and witness inspections, the assurance program creates a feedback system to continually improve the R2 Certification program. Just as R2 is meant to produce continuous improvement for facilities, improvement of auditing is also critical to drive confidence in R2 Certified reuse and recycling facilities. It protects the investment of each R2 Certified facility by rooting out bad actors and driving quality improvements.
If you have any questions or need further information about SERI package reviews, please don’t hesitate to reach out.
To learn more, visit the R2 Guidance & Knowledge Base.
