Shadow Audits are defined as inspections conducted by TAPA Asia on sites certified by External Audit Companies under the TAPA Memorandum Of Understanding (M.O.U.).
2.1 Shadow Audits are conducted for the purpose of ensuring correct and consistent application of TAPA Freight Security Requirements (FSR) conducted by External Auditors in Asia Pacific.
2.2 Shadow Audits are also designed to evaluate the quality of audits conducted by external auditors representing TAPA-Appointed External Audit Companies.
3.1 Shadow Audits shall be performed by:
a. Members of the TAPA Asia Management Committee.
b. Any persons or entity appointed by the TAPA Asia Management Committee.
3.2 Shadow Audits shall be performed under the following circumstances:
a. on a random basis across Asia as described in the Scope for Shadow Audits.
b. when a Certification Audit Report is challenged or questioned.
c. when on-site conformance to the FSR is challenged or questioned.
3.3 Prior to performing Shadow Audits, the following actions are required:
a. Request and review a copy of the Certification Audit Report and Self-Assessment Report (where applicable) from the External Auditor / Site Representative.
b. Inform the representative of the nominated Certified Site regarding the intention and purpose of conducting a Shadow Audit.
3.4 The cost of Shadow Audits will be at TAPA APAC expenses
3.5 TAPA APAC reserves the right to allow or deny the presence of the external auditor during the Shadow Audit.
4.1 Non-conformances and/or any irregularities relating to the FSR Audit Program found during a Shadow Audit shall be documented in a report and submitted to the TAPA APAC Audit Committee for appropriate follow-up action and decision.
4.2 TAPA APAC shall inform the relevant External Audit Companies of any non-conformances or irregularities found during a Shadow Audit, and shall require them to initiate action to resolve those non-conformances or irregularities. Such resolution shall be strictly between the external audit companies and the Facility concerned.
4.3 Failure by the external audit companies to resolve non-conformances or irregularities within a prescribed period determined by TAPA APAC, may result in the cancellation of the certification status of the affected site. TAPA APAC, at its sole discretion, may also take appropriate action against the external audit company concerned.
4.4 The decision of TAPA APAC is final.
5.1 The Representative of each of the external Audit Companies shall be responsible for compiling an up-to-date list of sites certified by their respective external auditors and shall ensure that the said list is submitted to TAPA APAC on a monthly basis.
5.2 The list shall indicate the following information:
5.2.1 Name of Certified Facility
5.2.2 Complete Address
5.2.3 Name of Facility Representative
5.2.4 Contact Telephone & e-mail address of Facility Representative
5.2.5 Name of External Auditor & Audit Company
5.2.6 Contact Telephone & e-mail address of External Auditor
5.2.7 Date of Audit
5.2.8 Type of Audit (Certification Audit or Self-Assessment)
5.2.9 TAPA Classification Level (A, B or C)
5.3 A template for the list is attached in Annex A.
5.4 TAPA Asia shall use the list as a form of statistical record and also for planning Shadow Audits.