The purpose of this guide is to identify how to address any closed with contingency non-compliances (NCs) that were identified during a previous Fair Trade USA™ audit and remain open at the time of the next audit.
Training Audience
This guide is intended to be a resource for Conformity Assessment Body (CABs) and Auditors.
How to Address Closed with Contingency NCs from Previous Audits
- As the lead auditor, after an audit is assigned to you and prior to beginning the audit, review the Summary of Previous Non-Compliances on the Terms of Reference (ToR).
- If there are any NCs identified as closed with contingency in the ToR, review the impacted NCs by opening the most recent NC Review and Closure form for the CH. From the left hand menu, navigate to the NC Review and Closure overview section and search for the Certificate Holder’s name or Fair Trade ID.
- After applying a filter to view only NC Review and Closure records from the Certificate Holder (CH), apply a descending sort to the final due date column to see their most recent NC Review and Closure form.
- Open the most recent NC Review and Closure form for the CH you are reviewing the NCs for.
- If any NCs have status of ‘Closed with contingencies’, review the information available in the NC. When conducting the audit, confirm that these NCs have been adequately addressed.
- If the NCs have been addressed, after the audit has been conducted, add a comment in the explanation field of the current audit for the NC that had status closed with contingencies. For more information on closing NCs, please refer to the Program Assurance Manual for the standard you are auditing (see below for link to PAMs).
- Repeat for any other NC criteria with status ‘Closed with contingencies’.
- If the NC(s) have not been addressed, begin the process for suspension in accordance with Program Assurance Manual NC closure. For more information on closing NCs, please refer to the Agriculture & Seafood Program Assurance Manual, or the Factory Program Assurance Manual.