Audit Scheduling for CABs – Fair Trade USA

Purpose

This guide assists Conformity Assessment Bodies (CABs) in scheduling an audit with a Certificate Holder (CH) using the Scoping and Scheduling form in ChainPoint.

As a CAB, the Scoping and Scheduling form is used to collect scoping information from applicants and CHs, enter information about the audit, and finalize any details prior to scheduling the audit.

Scoping and Scheduling Form

The Scoping and Scheduling form in ChainPoint has two tabs:

The ‘Profile information’ tab displays basic information about the CH including the standard audit year and status of the scoping process.
The ‘Scheduling’ tab displays information related to the audit, quote and service agreements, and the final audit plan. Advancing the form to the ‘Scheduled’ status will generate the audit checklist. For more information on the audit checklist, view How to Conduct an Audit in the Partner Portal Help Center.

Scoping and Scheduling Form Workflow Statuses

Status	Description of the Status
Created	Scheduling & Scoping forms that are saved in draft and not advanced to Issued to CH status are saved in status Created.
Issued To Certificate Holder	The CAB is notified to review the scoping information. The form remains in this status until the CH advances the form to CAB Review. If there is no action from the CH, CAB Program Admins can advance the status to CAB Review.
CAB Review	The CAB receives a notification to review scoping information provided by the CH. Once the information has been reviewed by the CAB, they can advance the form to Scheduling in Progress or return it to the CH for updates.
Scheduling In Progress	The CABs can finalize any details of the audit including finalizing audit start and end dates. Once CABs have the necessary information to schedule the audit, they advance the Scoping and Scheduling form to Scheduled status.
Scheduled	The audit checklist will generate in the Scheduled status form the information entered in the Scoping and Scheduling form.
Final Audit Plan Submitted	CABs can add information to the ‘Quote and Service Agreement’ and ‘Audit Plan’ sections of the Scoping and Scheduling form and advance the form to the Final Audit Plan Submitted status to notify Fair Trade USA that the Final Audit Plan has been uploaded to ChainPoint.

Step 1: Log in and Start Scheduling

1. Open ChainPoint and log into your account. Navigate to the ‘Audits’ section and select ‘Schedule an Audit.’
2. Click in the Certificate Holder (CH) field and type the CH name. Start typing the CH's name and select it from the dropdown list. *Note:* Ensure the name matches the official records to avoid errors.
3. Choose the Audit Standard. From the ‘Standard’* dropdown, select the standard that the certificate holder is being audited against.* *Note:* Cross-check the standard with the CH’s scope of certification.
4. Enter the Audit Year. Fill in all relevant information required for scheduling. *Note*: Verify that dates align with CH agreements.

Step 2: Configure Audit Details

1. Click the ‘Scheduling’ Tab. Begin filling in the audit’s detailed information.
2. Choose the Audit Type. Selection is based on the type of audit you are scheduling. *Note:* (i.e. Initial, Surveillance, Re-Certification, Follow-up, Investigation)
3. Choose the Audit Language. Select the primary language spoken at the audit location.
4. Set start and end dates Enter estimated start and end dates Note: These dates can be updated later in the audit forms.
5. Define Audit Communication. Select the Audit Communication* (e.g., Semi-Announced, Fully Announced) and Audit Method (e.g., Remote, Onsite, Hybrid).* *Note:* For Semi-Announced audits, CHs will only see the audit window, not specific dates.
6. Submit the Details. Click ‘Submit.’ Add any remarks or notes for the CH to review prior to scheduling the audit and click ‘OK.’

Step 3: Review CH Updates

1. Access CH Updates on the companies tab.

View the ‘Scoping Overview’ subsection.

Note: Review scoping information from the CH in the following sections:

CH Profile
Site Details
Certificate Scope.

2. Advance the Status.

Click ‘Review’ to proceed.

3. Determine next steps.

To begin finalizing the audit schedule, click ‘Start Audit Scheduling.’

Note: If the CH doesn’t complete the scoping review or attestation, the CAB Program Administrator can advance the process.

If additional updates are needed, select ‘Assign to Certificate Holder’ to send it back to the CH.

Note: The CH will receive a notification to review and update the scoping details.

Select an answer and click ‘OK’.

Step 4: Generate the Audit Checklist

1. Generate Audit Checklist. Click ‘Review’ to generate the audit checklist. Note: Once the checklist is generated, scoping information can no longer be updated.
2. Finalize scheduling. Select ‘Schedule Audit’* and confirm by clicking ‘OK’.* Note: If additional updates are needed, select ‘Assign to Certificate Holder’ to send it back.
3. Complete Quote and Service Agreement Click ‘Edit’ to complete the Quote and Service Agreement section. Upload the Audit Plan documents and finalize details.
4. Finalize Audit Plan. Open the ‘Scheduling’ tab to finalize details. On the Final Audit Plan section, upload final audit plan document.