This guide illustrates the high-level changes for the transition to the new assurance platform, ChainPoint, from the previous Agricultural Production Standard (APS) Excel audit template. The audit scheduling and scoping process, Terms of Reference (ToR), audit tool, audit reports, and non-compliance (NC) review and closure are now managed through ChainPoint’s web-based platform and offline application, increasing efficiency, accuracy, and collaboration by consolidating all audit related documentation in one platform and reducing email-based processes.
Audience
This guide is intended to be a resource for Certification Assurance Bodies (CABs) auditing under the APS.
Application/Scoping
Starting January 2025 scoping process for Y1+ APS CHs will take place in ChainPoint and application forms will no longer be used to collect updated scoping information. For initial ChainPoint rollout, Y0 APS application forms will continue to be managed using existing processes. There is work scheduled to happen later in 2025 to digitize the application for Y0 audits and automatically ingest application information into ChainPoint.
Terms of Reference (ToR)
The content of the ToR continues to include information for auditors on areas of risk and specific audit instructions. For initial ChainPoint rollout the ToR will continue to be created using the existing excel template. Certification PMs will upload the ToR to the coversheet section of the scheduled audit.
Audit Tool
The audit checklist will be automatically generated using the information the CAB and Certificate Holders provide in the scheduling and scoping process. CABs do not need to request the audit tool from Fair Trade USA as it is available for auditors as soon as the audit is scheduled. For the CAB Administrator to share the audit tool with the auditor, a Lead Auditor must be assigned in the audit coversheet and the audit workflow status must be advanced to 'Scheduled.' For more information on this process review the “How to Conduct and Audit” training materials or review the most recent PAM.
The ChainPoint audit tool has additional functionality in the document collection feature; allowing auditors to upload evidence for each non-compliance directly in the audit checklist and general audit related files in the audit documents and pictures tab. The documents and information collected during the audit will be available to Fair Trade USA. For more information on the how audit workflows work in ChainPoint, view "How to Conduct an Audit."
Technical review will be conducted in ChainPoint. In ChainPoint, Technical Reviewer can be assigned at the audit form status Ready for Technical Review. The Technical Reviewer is automatically notified when form advances to Technical Review in Progress, with a link to the assigned audit form. The Technical Reviewer and Auditor, can review and comment on the audit form throughout the technical review process. Only technical reviewer will be able to advance the audit checklist to the final status when the NC Closure form is shared with the CH.
Audit Report
The preliminary and final audit reports are generated by incorporating the findings recorded in the audit tool. The reports are automatically created by the advancing the audit workflow through different statuses, and are available on the audit coversheet to download as PDF files. The audit reports are available to Fair Trade USA within ChainPoint coversheet and do not need to be uploaded into Box. For more information on audit reports in ChainPoint, view "How to Finalize Audit Reports" and the PAM.
NC Review and Closure (CAP Form)
The NC Review and Closure form, previously called the "CAP form," are automatically generated and show NCs found during the audit. The NC Review and Closure form now allows CHs to share their corrective action plans (CAP) and NC closure evidence directly in ChainPoint. All communication for CAP and NC Review will occur within ChainPoint and no longer requires the CHs and CABs to email CAP forms or evidence. The NC Review and Closure form has two statuses: Review CH, Review CAB. Each status indicate which entity is responsible for reviewing each CAP (Review CAB) or submitting evidence (Review CH).
Notes:
- While in the status 'Review CH,' the CH will upload CAP and evidence of NC closure.
- After 15 days, or if the CH completes their documentation prior to the 15-day deadline, the NC Review and Closure form will automatically pass back to the CAB for review.
- Once NC Review and Closure form is in Review CAB status, CHs will not be able to edit the form or submit any evidence.
- Up to five rounds of review can occur.
- When all NCs have been addressed, the form can be marked as complete.
- The new NC Review and Closure form tracks changes made during each round of review.
- Once the NC Review and Closure process is complete, there is no need to upload the form in Box.
- For more information on audit reports in ChainPoint, view "How to Review and Address CAPs on the NC Closure Form."
- Review PAM for the latest information related to CAP management.