Test Procedures

Test procedures overview

To check the CAC and thus the standards, the CAB uses the test procedures defined in the framework. Each CAC is assigned a test procedure in the catalog, as shown and explained below.

If a CAC or a standard is not applicable, the CAC can be outsourced by the CAB with not applicable (n/a) and a justification.

The eight test procedures in sequence: Inspection · Observation · Self-assessment · Inquiry · Confirmation · Recalculation · Reperformance · Analytical Procedures

Test procedures – inspection and observation

During the inspection, records and documents are checked by the CAB. In observation, a process or procedure is observed by the CAB and thus the implementation is checked.

Inspection

The audit includes the examination of records or documents in paper, electronic form or other media, or the physical documentation of an implementation.

E.g., screenshots of APIAPI An API is a way for two or more computer programs to communicate with each other. code with timestamp.

Observation

During observation, the requirement or control procedure to comply with the CAC is observed and controlled by the assessor. Observation may provide audit evidence of the conduct of a process or procedure, but evidence is limited to the time of observation and is also limited by the fact that observation may affect the conduct of the process or procedure.

E.g., support for the implementation of an onboarding process.

Assessment methods – self-assessment and inquiry

In the self-assessment, the certification applicant submits a self-disclosure about the implementation. The Inquiry includes the questioning of the certification applicant about the CAC.

Self-assessment

Within the self-assessment, the certification applicant gives written information provided by the authorized persons on the individual requirements or questions specified in the self-assessment. This information is then evaluated by the CAB.

E.g., confirmation of the use of the correct semantic models.

Inquiry

The inquiry consists of obtaining the information or verbal consent of ratified persons of the company. Inquiry may be performed throughout the audit in addition to other audit procedures. Inquiries may range from formal written inquiries to informal oral inquiries.

E.g., the certification applicant verbally assures to an assessor the compliance with the endpoints of an APIAPI An API is a way for two or more computer programs to communicate with each other..

Confirmation

A confirmation response represents a particular form of audit evidence. A confirmation proves compliance with one or more requirements, which has been determined by an expert third party and must be made available to the CAB.

E.g., ISO certificates.

Recalculation

Recalculation consists of checking the mathematical accuracy of documents or records. Recalculation may be performed manually or electronically.

E.g., calculation of CO2 values.

Test procedures – reperformance and analytical procedures

In reperformance, the CAB repeats a company's procedures through its own test. Analytical methods are the plausibility check of facts in relation to each other.

Reperformance

Reperformance involves the independent execution of procedures or controls that were originally performed by company personnel.

E.g., running test cases.

Analytical Procedures

Analytical procedure is a plausibility check of the facts in relation to each other. Analytical procedures also encompass the investigation of significant deviations from expected results.

E.g., comparison with results from previous certifications.