2 Overview ICS Evaluation Procedures 1 Overview ICS

2. Overview: ICS Evaluation Procedures 1 Overview: ICS Evaluation Procedures • Application for certification • Inspection planning with preliminary risk assessment, determination of reinspection rate, & inspection schedule • Preparation of inspection • Inspection schedule: selection of farmers, details of inspection schedule • Risk assessment • Inspection of ICS office • Sample farm inspections • Product flow inspections buying, processing, export • Reporting & evaluation of noncompliances (during inspection and afterwards) • Receiving the report back • Evaluation & certification • Follow up on non-compliances Training Manual on the Evaluation of Internal Control Systems

2. Overview: ICS Evaluation Procedures 2 On-site ICS Inspection Inspector ICS Office and Staff Farm Re. Inspections Internal Farm Inspection Risk Assessment & Inspection Schedule Training Manual on the Evaluation of Internal Control Systems

2. Overview: ICS Evaluation Procedures 3 Inspection Schedule & Risk Assessment • Requirements for group certification are fulfilled and basic ICS in place. • Preliminary risk assessment • Preliminary decision on external control rate and scope/focus of inspection. • Screening of project description, ICS Manual and all ICS forms preliminary analysis of potential weak points and critical control points Usually during inspection • Risk Assessment to confirm re- inspection rate and to finalize list of critical control points • Definition of detailed inspection schedule with selection of farmers for re-inspection Training Manual on the Evaluation of Internal Control Systems

2. Overview: ICS Evaluation Procedures 4 Inspection of ICS Office General overview of activities, changes since last year. Clarify questions on ICS Manual and procedures Inspection ICS office Approval & sanction procedures, any sanctions? Staff files and qualifications, conflicts of interests Follow up last year’s conditions Screen sample farm files Farmers list, list updating system Training Manual on the Evaluation of Internal Control Systems

2. Overview: ICS Evaluation Procedures 5 Farm Re-Inspections Farmers’ knowledge and awareness Risk assessment & information from other sources Cross-check with buying lists Compliance check of farming & processing activities Cross-check ICS documentation Farm Re. Inspection How is advice and internal inspection actually done? Quality of internal inspection (effective? ) Farm re-inspection report forms are used for these external farm inspections Training Manual on the Evaluation of Internal Control Systems

2. Overview: ICS Evaluation Procedures 6 Inspection of Buying/Selling and Handling Farm production, on-farm processing Farm 1 Buying Selling/ Buying General Handling and storage Warehousing Processing Farm 2 Export Must be under supervision of the ICS Training Manual on the Evaluation of Internal Control Systems

2. Overview: ICS Evaluation Procedures 7 Reporting • ICS inspection report is completed. • Report serves as checklist during inspection (usually completed by hand). • Findings of the inspection discussed with ICS Manager has to countersign the report. • If needed, the same format is used after the inspection to prepare the complete report electronically with more details/descriptions. Training Manual on the Evaluation of Internal Control Systems

2. Overview: ICS Evaluation Procedures 8 Evaluation of Non-conformities Compliance criteria have different levels of importance: A: Major MUST B. Minor MUST to be implemented short term C: Minor MUST to be implemented medium term D: Recommendation What should be done if. . . . ICS has not completed 100% internal inspection? . . . ICS has failed to detect minor or major non-compliances? . . . ICS is formally incomplete/not well documented? Training Manual on the Evaluation of Internal Control Systems

2. Overview: ICS Evaluation Procedures 9 Certification Organic Certificate + Certificate for the group Certified farmers list Group XXX Address - Soil erosion must be controlled better - check of previous farming practices to be improved - better training for inspectors - receipts have to be given to farmers - farm maps to be improved Certification decision with necessary corrective measures Training Manual on the Evaluation of Internal Control Systems

2. Overview: ICS Evaluation Procedures 10 Introduction of the new harmonized evaluation system • Each certifier will probably adapt this standard system to its particular inspection & certification system and may additional requirements or chose lower standards for some aspects. This applies in particular to all aspects checked on farm level for which each certifier will have its own interpretation of the requirements. • It is suggested that, in the first year of the introduction of this new inspection system and the harmonized certification requirements, all ICS operators should be handled as “new operators” or “first inspections”. This implies that they are expected to fulfill fewer requirements and that slightly higher re-inspection rates are recommended. • European import authorities may need time to internally familiarize themselves with the new ICS system and the new minimum control rates. Certifiers need to feel on the safe side that lower control rates will still ensure easy market access for their clients. Training Manual on the Evaluation of Internal Control Systems