Chapter 5 Audit Planning, Audit Process, Evidence Collection, Sampling and Interview Methodology

5.1 Purpose

This chapter provides the operational procedures for planning, conducting, documenting, and reporting NVTS™ audits. It establishes a standardized approach to ensure audits are objective, evidence-based, repeatable, and consistent regardless of the product, location, or audit team.

The audit process is designed to:

Verify conformity with NVTS™ requirements.
Assess the effectiveness of management systems.
Identify strengths and opportunities for improvement.
Provide confidence to producers, buyers, and consumers.
Support continual improvement.

5.2 Types of NVTS™ Audits

NVTS™ recognizes the following audit types:

Audit Type	Purpose
Initial Certification Audit	First-time certification assessment
Surveillance Audit	Periodic verification of continued compliance
Re-certification Audit	Renewal of certification at the end of the certification cycle
Follow-up Audit	Verification of corrective actions
Special Audit	Triggered by complaints, fraud, or major changes
Unannounced Audit	Conducted without prior notice when justified by risk

5.3 Audit Principles

Every NVTS™ audit shall be conducted according to these principles:

Integrity
Objectivity
Independence
Confidentiality
Evidence-based decision making
Risk-based thinking
Professional judgment
Respect for local communities and cultures

5.4 Audit Cycle

The standard audit sequence is:

Application received.
Application review.
Audit planning.
Document review.
Opening meeting.
Field inspection.
Interviews.
Evidence collection.
Closing meeting.
Audit report.
Technical review.
Certification decision.
Certificate issuance.
Surveillance activities.
Re-certification.

5.5 Audit Planning

Before conducting an audit, the Lead Auditor shall prepare an Audit Plan.

The Audit Plan shall include:

Applicant details
Audit objectives
Scope of certification
Audit criteria
Audit dates
Audit locations
Audit team members
Required technical experts
Schedule of activities
Safety considerations
Communication arrangements

Sample Audit Schedule

Time	Activity
08:30–09:00	Opening Meeting
09:00–10:30	Document Review
10:30–13:00	Farm Inspection
13:00–14:00	Lunch
14:00–15:30	Processing Facility Inspection
15:30–16:30	Worker Interviews
16:30–17:00	Audit Team Review
17:00–17:30	Closing Meeting

5.6 Audit Team Responsibilities

Lead Auditor

The Lead Auditor shall:

Coordinate the audit.
Assign responsibilities.
Ensure impartiality.
Review findings.
Prepare the audit report.
Conduct opening and closing meetings.
Recommend certification decisions.

Auditor

Auditors shall:

Collect objective evidence.
Conduct interviews.
Observe activities.
Review records.
Document findings.
Report nonconformities.

Technical Expert

Technical experts provide specialist advice in areas such as:

Agronomy
Soil science
Water management
Biodiversity
Food safety
GIS
Carbon accounting
Digital traceability

Technical experts do not make certification decisions unless authorized.

5.7 Opening Meeting

The opening meeting shall confirm:

☐ Audit objectives

☐ Scope

☐ Audit schedule

☐ Safety arrangements

☐ Communication channels

☐ Availability of personnel

☐ Confidentiality

☐ Questions from the applicant

The meeting shall be documented with attendance records.

5.8 Document Review

The auditor shall review relevant records before field inspections.

Examples include:

Farm maps
Land ownership or use records
Soil analyses
Water analyses
Production records
Harvest logs
Processing records
Training records
Employee records
Risk assessments
Environmental plans
Digital traceability records
Previous audit reports

5.9 Field Inspection

Field inspections shall verify whether documented practices are implemented in reality.

Inspectors should observe:

Soil management
Crop condition
Shade trees
Water sources
Biodiversity
Waste management
Chemical storage
Harvesting practices
Processing activities
Worker safety
Equipment maintenance

5.10 Interview Methodology

Interviews provide valuable evidence regarding implementation and awareness.

Possible interviewees include:

Farm owners
Farm managers
Workers
Cooperative leaders
Processors
Transporters
Warehouse staff
Community representatives

Interview Principles

Be respectful.
Avoid leading questions.
Listen carefully.
Verify responses with evidence.
Record observations accurately.

Sample Interview Questions

Nature

How do you improve soil fertility?
How is irrigation managed?
What measures protect biodiversity?

People

Have you received safety training?
Are personal protective equipment provided?
How are grievances handled?

Culture

Are traditional farming practices maintained?
How is local knowledge passed to younger generations?

Quality

How are quality defects identified?
What quality checks are conducted before storage?

Trade

How are lots identified?
How do you trace a product back to the farm?

5.11 Evidence Collection

Evidence must be:

Relevant
Reliable
Sufficient
Verifiable
Objective

Acceptable evidence includes:

Direct observation
Interviews
Official documents
Digital records
Laboratory reports
GPS coordinates
Photographs
Video records
Satellite imagery (where applicable)

5.12 Sampling Methodology

When auditing large operations, representative sampling may be used.

Sampling should consider:

Farm size
Geographic distribution
Product volume
Risk level
Previous audit history
Complexity of operations

The Lead Auditor shall justify the sampling approach in the audit report.

5.13 Classification of Findings

Conformity

Requirement is fully met.

Opportunity for Improvement (OFI)

Requirement is met, but enhancement is recommended.

Minor Nonconformity

A limited deviation that does not seriously affect the integrity of the system.

Examples:

Incomplete training records.
Missing signatures.
Minor documentation gaps.

Major Nonconformity

A significant failure affecting compliance or confidence.

Examples:

Lack of traceability records.
Repeated safety failures.
Systematic quality control deficiencies.

Critical Nonconformity

A severe breach requiring immediate action.

Examples:

Fraud or falsification of records.
Illegal labor practices.
Deliberate environmental destruction.
Intentional misrepresentation of certified products.

Critical nonconformities may result in immediate suspension or refusal of certification.

5.14 Closing Meeting

The Lead Auditor shall:

Present audit findings.
Explain nonconformities.
Clarify evidence.
Discuss corrective action timelines.
Explain the certification review process.
Answer questions from the applicant.

The closing meeting shall not include a final certification decision, as this is made after independent technical review.

5.15 Audit Report

Every audit report shall include:

Applicant details
Scope of certification
Audit dates
Audit team
Summary of findings
Scores for each NVTS™ pillar
Nonconformities
Opportunities for Improvement
Photographic evidence references
Recommendation for certification
Signatures of the Lead Auditor and applicant representative

5.16 Record Retention

Audit records should be securely retained for the period specified by the certification body’s document control policy and any applicable legal or contractual requirements.

Records include:

Audit plans
Working papers
Interview notes
Photographs
GPS data
Reports
Corrective action records
Certification decisions
Digital verification records

Chapter 5 Summary

By following these standardized procedures, NVTS™ audits can produce consistent, transparent, and evidence-based assessments across farms, cooperatives, processors, exporters, and other organizations in agricultural value chains.

End of Chapter 5

Next Chapter: Chapter 6 – Scoring Methodology, Certification Decision Rules, Corrective Actions, Appeals, Complaints, and Certificate Issuance, where the handbook will define how scores are calculated, how certification decisions are made, how corrective actions are managed, and how organizations can appeal certification outcomes.