This guide illustrates the high-level changes for the transition to the new assurance platform, ChainPoint, from the previous Factory Production Standard (FPS) assurance tool, Rizepoint. The audit scheduling and scoping process, Terms of Reference (ToR), audit tool, audit report, and non-compliance (NC) review and closure are 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 Assessment Bodies (CABs) staff and auditors auditing against the Factory Production Standard (FPS).
Scoping & Scheduling
Scoping and scheduling activities will take place in ChainPoint starting January 2025. No scoping forms should be sent from Rizepoint unless it is a special circumstance and it has been approved by certification and digital technology teams.
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 continue to be automatically generated using the information the CAB and Certificate Holders provide in the scheduling and scoping process. However, the audit checklist will no longer be completed on the RizePoint Mobile Auditor tool, instead the audit checklist will be completed on ChainPoint web or mobile.
For the CAB Administrator to share the audit checklist with the auditor, a Lead Auditor must be assigned in the audit coversheet and the audit checklist. For more information on the audit checklists in Chainpoint, view "How to Conduct an Audit" training materials.
Audit Report
The preliminary and final audit reports are generated by incorporating the findings recorded in the audit tool. The reports are automatically triggered by 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 from the coversheet section of the audit checklist. For more information on audit reports in ChainPoint, view "How to Finalize Audit Reports". The Technical Review process will be conducted by CABs in ChainPoint. For more information on this process consult the PAM.
NC Review and Closure (Action Plans/CAP Form)
In Rizepoint, NCs were managed via the Parter Portal and Salesforce. In ChainPoint, the NC Review and Closure form (formerly CAP form or Action Plan) contain all NCs raised during the audit and are accessible to both CABs and CHs. All communication for CAP and NC Review will occur within ChainPoint. 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). In ChainPoint, Factory CABs will manage the CAP process.
Notes:
- While in 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.
- 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.