Protocol for Certification Bodies Offering. Certification Against Red Tractor Assurance (RTA) Standards

Transcription

1 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Version 8 April 2012 Version 8 A

2 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Contents 6! 2.0 AIM... 6! 3.0 SCOPE... 6! 4.0 PROCESS FOR CBS WISHING TO UNDERTAKE ASSESSMENTS & CERTIFICATION ON BEHALF OF RTA... 6! 4.1. New CBs 6! 4.2. Existing CBs wishing to extend their use of RT Standards 7! 4.3. General Principles 7! 5.0 CB MANAGEMENT ACCOUNTABILITIES & COMMUNICATIONS... 7! 5.1 CB Senior Manager / Director 7! 5.2 Operational Management 7! 5.3 IT System and Data Integrity 8! 5.4 Communication with Scheme Members 8! 5.5 Reproducing the RTA Scheme Standards 8! 5.6. Public Communications 8! 5.7 Invoicing 8! 6.0 RTA TEST ACCOUNTABILITIES & COMMUNICATIONS... 9! 6.1 RTA Documentation & Assessment Material 9! 6.2. Sector CB Liaison Meetings 9! 6.3. CB Communication Days 9! 6.4 Management Information / Six Monthly KPI Reports 9! 6.5 Annual Service Review Meeting 9! 6.6 CB Team Training Days 10! 6.7 Assessment Feedback 10! 7.0 CB ASSESSORS... 10! Recruitment, Induction, Training and Competence of Directly Employed and Subcontracted Assessors 10! Page 2 of 48

3 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Subcontracting Assessments out to another Third Party Company 11! 7.2 Performance & Consistency Monitoring of Assessors 11! 8.0 ASSESSMENT & CERTIFICATION PROCESS NEW SCHEME MEMBERS... 11! 8.1 Application Process for New Members 11! 8.2 Initial Assessment 12! 8.3 Assessment Reports Writing & Recording 12! 8.4 Closing off Non-Conformances 13! 8.5 Certification 13! 9.0 ASSESSMENT & CERTIFICATION PROCESS EXISTING SCHEME MEMBERS... 14! 9.1 Membership Renewal 14! 9.2 Certification 14! 9.3 Routine Assessments 14! 9.4 The Assessment: Categorisation of Non-Conformances 14! 9.5 Assessment Report Writing & Recording 15! 9.6 Closing off Non- Conformances 15! 9.7 Withdrawing Certification 15! 10.0 MEMBERS REQUESTING A TRANSFER BETWEEN CBs Pre-Transfer Review And General Procedures Dairy Specific Procedures ACCURACY OF INFORMATION (KEEPING THE RTA DATABASE UP TO DATE)... 18! 11.1 Provision of Scheme Data by RTA to CBs 18! 11.2 Frequency of Data Uploads 18! 11.3 Provision of Critical Information 18! 11.4 Timescales for reporting Critical Data Information 18! 11.5 Data Errors 18! 11.6 Changes to RTA Database Specification 17! 11.7 Changes to CB Data Upload Formats 17! 12. APPEALS PROCESS... 19! 13. COMPLAINTS PROCEDURE... 19! Page 3 of 48

4 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards 13.1 Background 19! 13.2 Procedure 19! The Initial Complaint 19! Evaluation 20! Collect evidence 20! Liaison with RT 20! Evaluate Evidence and Agree Action 21! Breach of Certification Standards Breach of Scheme Rules Records and Reporting 21! 13.3 SANCTIONS Changes to Business Structure to Avoid Withdrawal from the Scheme 22! 14. INTEGRATION OF AUDITS... 24! 15. BUSINESS CONTINUITY... 24! 15.1 Outbreaks of disease, inclement weather, etc 24! Public & Staff Holidays 24! 16. BIOSECURITY... 24! 17. CRISIS / INDICENT MANAGEMENT 25! 18. IMPLEMENTATION OF THIS PROTOCOL AND ITS REVIEW 25! APPENDIX 1 KPI REPORT... 25! APPENDIX ! APPENDIX 3 REPRODUCING THE STANDARDS SPECIFICATION... 34! APPENDIX 4 ASSESSOR COMPETENCE REQUIREMENTS... 36! APPENDIX 5 RTA CODE OF CONDUCT... 39! APPENDIX 6 - SUMMARY OF KEY ACTIVITIES & TIMESCALES (OUTLINED IN SECTIONS 8 AND 9)... 40! APPENDIX 7 - DATA ERRORS... 44! Page 4 of 48

5 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards APPENDIX 8 COMPLAINTS PROCEDURE DECISION TREE DIAGRAMMATIC... 45! APPENDIX 9 BIOSECURITY MEASURES... 46! Page 5 of 48

6 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards 1.0 BACKGROUND Red Tractor Assurance (RTA) operates the Red Tractor Farm Assurance Scheme covering most production sectors as well as schemes for other parts of some supply chains. Each Scheme has a set of documented Standards to be used as product certification standards. Regular assessments establish the compliance and maintain certification for the various scheme members. These assessments are delivered by third party Certification Bodies (CBs) who, by contract ( the certification contract ), are licensed by RTA to use the standards and provide certification to food businesses. 2.0 AIM This Protocol supports the certification contract between RTA and the CB and is intended to set out the working arrangements agreed between the two parties. The aims of the Protocol are: To set out the core requirements for CBs carrying out assessments and certification against RTA Standards Provide clear procedures to be followed by CBs Outline key performance level criteria, monitoring and management information requirements 3.0 SCOPE The list of current RTA schemes covering Farms, Safe Haven, Cold Crush Oil Seeds Meat Processing is included at Schedule 4, Part 1 of the certification contract. 4.0 PROCESS FOR CBs WISHING TO UNDERTAKE ASSESSMENTS & CERTIFICATION ON BEHALF OF RTA 4.1. New CBs CBs wishing to undertake assessments and certification using RTA standards are required to apply in writing to The Head of Assurance (HoA) of RTA. The application should include a business case indicating which RTA standards the CB wishes to have access, proposed timescales and activities together with any other relevant information that will help to determine the CB s ability to meet the requirements of the certification contract. The RTA personnel will then provide the CB with start up costs and will consider whether to visit the CB in order to better understand its capabilities in relation to RTA requirements as well as to understand the structures / business / ways of working and to establish relationships. The CB will also be required to provide RTA with a copy of a valid certificate of insurance consistent with clause 8.2 of the certification contract. Should the application be successful RTA will provide the CB with a copy for signature of the certification contract and all necessary attachments. Progressing is conditional on the certification contract being signed by both parties. RTA recognises that in order to extend the scope of their accreditation to undertake the RTA Scheme assessments, the CB must have been carrying out assessments against the RTA Schemes. RTA will allow the CB to commence this work provided that they have satisfied RTA through the RTA visit / visits that they have the required working practises. The CB must apply to UKAS for extension of their scope of accreditation to include all the RTA Schemes identified in the certification contract with 10 working days of the signing of the contract. The criteria for achieving UKAS accreditation are indicated in clause 8.6 of the certification contract. The CB must notify the RTA HoA as soon as UKAS accreditation has been achieved and supply supporting evidence. NB: Safe Haven and Cold Crush Seeds Schemes do not require UKAS accreditation Page 6 of 48

7 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards 4.2. Existing CBs wishing to extend their use of RT Standards CBs wishing to use additional RT standards beyond those for which they are currently licensed should also apply in the same manner as outlined in the first paragraph of section 4.1. RT will progress the application consistent with the second paragraph of section 4.1. If successful, RTA will provide the CB with an amended copy for signature of Schedule 4 of the certification contract. The final three paragraphs of 4.1 regarding UKAS accreditation will also apply. NB: Safe Haven and Cold Crush Seeds Schemes do not require UKAS accreditation 4.3. General Principles RTA requires CBs to achieve UKAS accreditation and reserves the rights under Clause 9 of the certification contract to act as an observer at UKAS assessments of the CB. RTA also reserves the right under Clause 15 of the certification contract to makes its own inspections of the CB. Any such inspection will be agreed between the RTA HoA and appropriate Senior Manager / Director of the CB as identified in section 5.1 below. CBs must notify immediately the RTA HoA of any information that could impact on the CB s ability to undertake the work within the terms of the certification contract e.g. suspension of accreditation. NB: Safe Haven and Cold Crush Seeds Schemes do not require UKAS accreditation 5.0 CB MANAGEMENT ACCOUNTABILITIES & COMMUNICATIONS 5.1 CB Senior Manager / Director CBs must have a nominated Senior Manager / Director with the overall accountability within the CB for the RTA work. This person must be made known to the RTA HoA who will then communicate the accountabilities internally within RTA. Key accountabilities include: Communication of key / strategic issues to RTA e.g. key personnel changes Ensuring all RTA requirements are in place within the CB, which includes suitably qualified and trained staff to operate the Schemes Having suitable IT solutions in place to enable the capture and transfer of the data required by RTA on certified businesses Attending regular communication meetings with RTA personnel, but in particular the Annual Service Review To provide the CB s input of other data required by this protocol including the Key Performance Indicator (KPI) report agreed between the two parties To provide CB input into all RTA consultations, in particular Scheme Standard reviews To receive and act upon RTA management information / Key Performance Indicator (KPI) reports as outlined in Appendix 1 of this protocol 5.2 Operational Management CBs must also have in place persons accountable for the day to day running / delivery of the Schemes requirements. These people must also be identified to the RTA HoA and Sector Managers. Key accountabilities will include: Liaison with RTA HoA, Sector Managers and their teams Ensuring assessments are carried out consistently in terms of quality That assessments are delivered on time and in a professional manner Robust and efficient certification management process Page 7 of 48

8 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Integrity / accuracy of data provided to RTA in a timely manner Provide regular feedback to RTA HoA and Sector Managers on any issues being experienced with applying the Standards or opportunities for improvement Attending regular liaison meetings with RTA HoA and Sector Managers 5.3 IT System and Data Integrity The RTA data requirement is referred to in clause 8.7 and Schedule 5 of the certification contract. CBs are required to ensure that they have a person / company either employed or contracted with the ability to design, build and maintain IT systems suitable to meet the specification. This person / company must be made known to the RTA HoA, Sector Managers and RTA database service provider (TLR). Detailed ways of working between RTA/TLR and CB s are included in Appendix Communication with Scheme Members CBs must have systems in place to be able to communicate effectively with Scheme Members especially in order to ensure renewals and to plan assessments in a timely manner and to achieve the KPIs in this protocol. CBs must ensure that any of their staff managing and dealing with the RTA Schemes use the authorised terminology at all times. Generically the Scheme must be referred to as Red Tractor Assurance and the more specific farm sector schemes or those covering other links in the supply chain must be called by the names listed in Schedule 4 of the certification contract. This should apply to all communications both written and verbal. 5.5 Reproducing the RTA Scheme Standards With the exception of Dairy and Meat Processing, it is the responsibility of the CBs to reproduce and provide copies of the scheme standards, rules and procedures and other necessary documentation in a suitable format that has been agreed with RTA. RTA would prefer that all new members are provided with a printed hard copy. The documentation must be reproduced in accordance with the specification issued in 2009 which is included in Appendix 3 of this protocol. 5.6 Public Communications Where written communications or printed material produced by the CB makes reference to Red Tractor or Red Tractor Assurance or uses any of the Red Tractor logos, it must be done in accordance with the Red Tractor logo rules. Where requested by RTA, CB s must provide copies of promotional material in use that refers to Red Tractor in order that RTA can ascertain compliance with the Red Tractor logo rules. Where any material is found to be non compliant with the Red Tractor logo rules, the CB s must remove all material and make the necessary amendments. 5.7 Invoicing RTA welcomes the opportunity for transparency of our royalty fees, however, where CB s are communicating this information the figure itemised on the invoice must be that which is paid to RTA and not include any other costs that the CB may consider are incurred. Where royalty fees are quoted they must be accompanied with the following statement adjacent to the royalty fee figure : - The royalty fee paid to Red Tractor Assurance covers the costs of running the scheme and promoting farm assured products. Red Tractor Assurance operates on a not for profit basis. Page 8 of 48

9 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards 6.0 RTA TEST ACCOUNTABILITIES & COMMUNICATIONS 6.1 RTA Documentation & Assessment Material In order that CBs can effectively carry out RTA assessments, RTA will provide CBs with: The Intellectual Property that is the Scheme Standards (which will be reviewed on a regular basis) An opportunity for CBs to input into Standard updates (Consultations) Assessor Guidance Notes that support the Standards Updates to RTA requirements through general communications and the subsequent updating of this Protocol Other normative documents identified in Schedule 2 of the certification contract required to support the delivery of the scheme requirements RTA will normally endeavour to provide the CB with at least three months notice of changes to any general operational rules and requirements, including Scheme Standards and Database requirements. Notices of changes will also be accompanied by proposed timescales / project plans for discussion and agreement. Shorter notice might occasionally be necessary usually for reasons outside of RTA s control including changes to legislation or response to emergencies. RTA will provide CB s with three months notice of changes to Royalty Fees and will endeavour to coordinate changes across all Sectors. 6.2 Sector CB Liaison Meetings RTA Sector Managers and their teams will host regular liaison meetings / conference calls with the operational management teams in CBs These will be driven by the Sector Managers at a frequency determined by them as necessary. These meetings / conference calls are intended to cover off the day to day operational issues. 6.3 CB Communication Days RTA recognises the importance of the CBs in the development and improvement of the RTA Scheme. RTA will endeavour to hold a minimum of one event every year to which CBs are invited. The objective will be to share information and experiences and to promote input from CBs into the strategic plans for the development of the Schemes. 6.4 Management Information / Six Monthly KPI Reports The integrity and reputation of RTA Schemes are dependent on the relationships with CBs and how the Scheme requirements are delivered. The key performance indicators (KPI s) outlined in Appendix 1 will apply and will be monitored on a 6-monthly basis. Prior to the formal introduction of KPI reporting, a trial will be completed on the format and data and CB s will be given an opportunity to comment / feedback. The first KPI report will be introduced six months after the trial completion. KPI reports will be produced by the RTA HoA and submitted to the nominated Senior Manager / Director in the CB who is accountable for the RTA work. RTA will require written responses on actions being taken by the CB against any Red or Amber performance. Where continual poor performance issues are experienced with the CB this is likely to be deemed a breach of the terms of the certification contract and may result in termination of the agreement. 6.5 Annual Service Review Meeting RTA commit to holding an annual service review meeting with the nominated CB Senior Manager / Director with the accountability for the RTA Schemes and the RTA HoA. The review is intended to look at the performance and working relationships between the two parties and to consider what could be improved. The format will include: Page 9 of 48

10 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Performance against the KPIs IT and data integrity CB Feedback on the RTA Schemes General communication between the two parties NB: Where deemed appropriate or requested, RTA will include the database service provider (TLR) in the annual service level review meetings. 6.6 CB Team Training Days RTA HoA and Sector Managers will endeavour to make themselves available to support any RTA Scheme related communication and training days run by the CB. 6.7 Assessment Feedback RTA Sector Managers will develop systems to capture feedback from Scheme Members on their first hand experience of the scheme and the assessment visits. RTA will ensure transparency of this process to the CBs in order to avoid any duplication. Any relevant management information gained from this feedback will be shared with the relevant CBs. (See section 7.2 also) 7.0 CB ASSESSORS Recruitment, Induction, Training and Competence of Directly Employed and Subcontracted Assessors To comply with the requirements both of RTA and the accreditation standard CBs must recruit sufficient competent personnel to carry out the work required. CB s may either directly employ assessors or use individual subcontractors. CBs must ensure that written contracts are in place with both employees and subcontractors so that it can exercise the necessary management control to meet the terms of the certification contract. The work of sub contractors must be covered by indemnity insurance to the levels set out in clause 8.2. of the certification contract. The assessor experience and qualifications required for each Scheme are as set out in Appendix 4 of this Protocol. The CB must retain documented records of assessor qualifications and experience when employed. The records should be extended to document all training provided to the assessor, including any shadow and witness assessments and any refresher training on RTA Scheme Standards. CBs must ensure that all assessors to be used for RTA Schemes are: Supplied with a copy of RTA Scheme Standards for the Schemes against which they assess Supplied with a copy of the RTA Scheme Assessor Guidance Notes for the Schemes against which they assess Supplied with an Assessment Checklist Have undergone a series of shadow / witnessed assessments with the person accountable for the day to day running of the Scheme or assessors nominated for that responsibility, prior to being formally signed off to assess against the RTA Scheme Be shadowed / witnessed at least once every two years. If the assessor is deployed to assess against more than one RTA standard, he or she must be shadowed / witnessed in every relevant sector within any period of four years. All shadowing / witnessing must be carried out by the person accountable for the day to day running of the Scheme or assessors nominated for that responsibility Page 10 of 48

11 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards As RTA standards are updated the CB must have systems in place to train all assessors with the updated requirements before the date at which certified business must begin to implement them. Aware that they represent RTA and the CB and therefore maintain a professional code of conduct at all times consistent with the requirements set out in Appendix 5, and not behave in a manner which may bring RTA, the CB or Standards into disrepute. An annual formal review must be completed by the person accountable for the day to day running of the Scheme or nominated individuals to ascertain any refresher training needs of every assessor. The review should include the individuals performance in the performance indicators agreed to measure the CB (Appendix 1) e.g. quality of assessment reports, reports written up on time Subcontracting Assessments out to another Third Party Company If a CB wishes to subcontract out to any other third party company, the terms of clause 4.4 of the certification contract and Clause 4.4 of EN45011 applies. The essence of 4.4 is that prior approval by RTA is necessary before work is subcontracted. The RTA HoA will be the principal contact. Where other third party companies are used the CB must ensure that they manage the CB to deliver the requirements of the certification contract and this Protocol, including sub contactors endemnity. 7.2 Performance & Consistency Monitoring of Assessors CBs must have systems in place to check the quality and consistency of assessments completed by each of their assessors to ensure that the standards are being correctly applied and each assessment completed is fair and accurate. The outputs of individual assessors must be compared against others to ensure a consistent approach is being maintained across all assessors Where issues are found with how assessors are applying the standards, corrective action must be taken which may include refresher / further training, more frequent witnessed assessments or ceasing to use the assessor. CBs may consider putting systems in place to capture feedback from Scheme Members on their assessor performance e.g. performance and conduct. Feedback that demonstrates performance issues with assessors must be acted upon. Information gained from feedback that may be helpful to RTA to improve the RTA Schemes or Standards must be fed back to RTA Scheme Managers. The Dairy Sector currently has its own systems for monitoring assessor performance e.g. superauditor assessments. CB s are required to follow any specified processes and follow up measures prescribed in association with such systems. In the Fresh Produce Sector if a CB has extension of scope for Globalgap the following must be in place: An in-house trainer who has successfully completed the Globalgap Train the Trainer examination; A procedure to ensure that each assessor conducts at least 5 assessments or 10 assessment days at a number of different producers against the scheme stadnards to maintain scheme knowledge and registration as a Globalgap assessor For the Meat Processing scheme, RTA may contract an expert to conduct witnessed audits. Feedback will be shared with the CB And performance issues must be acted upon. 8.0 ASSESSMENT & CERTIFICATION PROCESS NEW SCHEME MEMBERS 8.1 Application Process for New Members With the exception of Dairy, new applicants making contact with a Certification Body for the first time (new to Assurance) must be provided with the Scheme Registration pack which must include Page 11 of 48

12 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards a copy of the Scheme Standard and an application form. The application form must ask the applicant for information on any relevant previous or pending legal prosecutions (last five years) and any previous or current RTA memberships related to the site or company. All new applicants must be checked on the RTA Cross Scheme Member checker to establish if they have ever been assured in the past regardless of whether they declared a previous membership or not. Once the applicant has completed and returned the application from, the CB must acknowledge receipt of the application within fourteen days. The CB must also register the name of the business and a named nominated person who has functional responsibility for the management decisions and operating systems to be assessed under the Scheme. CB s are required to hold separate registrations for every farm holding / site / business holdings or sites are (in the farm scheme), places where animals can be housed, feed stored, or in cropping sectors where fertilisers or pesticides are kept or harvested products stored (See Scheme Rules 10, 11 and 12). All holdings / sites entered into a single application must be under the same management control. Where additional holdings/ sites are allowed, the named nominated person with the functional responsibility for the management decisions and operating systems for the additional holding/ site must be named on the application form. In the Meat Processing Scheme a separate registration is required for each separate site, where sites have separate Approval Numbers. Where companies outsource slaughter/cutting, those sites must be registered and certified in their own right. For Guidance: Chicken Production Pig Units Fresh Produce, Crops, Beef & Lamb Dairy Meat Processing The Membership unit will be the farm which is self-contained live poultry facility functioning with defined poultry stock management, operational control and bio security standards Where small separate nursery or finishing units are located close to the main unit, a single registration may be permitted for up to a maximum of three units Where separate holdings / sites are located close to the main holding, a single registration may suffice A separate membership is required for each milking premises A separate registration where sites have separate Approval Numbers. The Dairy Sector operates a First Purchaser structure, i.e. the First Purchaser makes the application to the CB to deliver the assessment and certification of its supplying farms. Scheme rules require all RTA certified dairy farms to also be assured for beef. (NB - Although in apparent contravention of this, where a producer puts up particular objections and resistance to having the beef assurance element, the assessor / CB are allowed to proceed with a dairy only assessment so the milk certificate is not withdrawn however the CB/ Assessor should explain to the producer that none of their cattle can be sold as assured, ideally seeking a signed declaration from them that they understand and accept that point. This fallback option should not be promoted and only utilised in the more difficult cases). 8.2 Initial Assessment Following registration, the CB must make arrangements to undertake the first assessment. Unless the farmer/processor postpones, assessments for all schemes except Dairy must be carried out within twenty eight days of registration. For Dairy the assessment must be carried out within the first fourteen days of commencing supply. For Fresh Produce: the assessment must be carried out at harvest and applicants must have a minimum of three months records prior to the assessment. products that are harvested before registration cannot be certified Page 12 of 48

13 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards if the producer requires a Globalgap certificate the assessment should not normally not be shorter than 3 hours per legal entity The assessor must make the assessment against all elements of the Standard, in line with the Assessor Guidance Notes. NB1: In cases where all elements cannot be assessed, the CB must make a judgement on whether a further visit is required. NB2: Where an assessor finds a non-conformance that means the applicant is not complying with legislation, and presents a serious risk to food safety, animal welfare or environmental protection with serious consequential reputational risks to RTA the CB must notify the RTA Scheme Manager within 48 hours. 8.3 Assessment Reports Writing & Recording Assessment reports must be written up, be sufficiently detailed and record any objective evidence established against each point assessed e.g. Training records reviewed, medicines checked, cattle whose passports were checked. (This may be on the paper copy retained by the CB or the report recorded on the CB s IT database system). On completion of the assessment, the assessor must leave the Scheme Member with a record of the non-conformances and inform them of the next steps that the member must take before certification can take place. The assessor may note the corrective action that the member proposes to take, but must not advise or suggest what the corrective action must be. Nonconformance reports must ask whether the Scheme Member has had any relevant previous or pending legal prosecutions (last five years). Where no non-conformances are found, the assessor must ensure that the assessment report is forwarded to the CB office within fourteen days of the assessment. Where minor non-conformances are found, the assessor must ensure that the non conformances are fed into the RTA database within five working days of the assessment and that the assessment report is forwarded to the CB office within fourteen days of the assessment. Where major non- conformances against key standards are found, the assessor must report to the CB immediately on leaving the site and the status of membership set to suspended. The non-conformances must be fed into the RTA database within two working days of the assessment and that the assessment report forwarded to the CB office within two working days of the assessment. NB: There are no Key standards identified in the Meat Processing Scheme. Critical nonconformances must be treated in the same was as major against key standards in the farm scheme. See appendix 6b for a summary. Assessment reports for the Meat Processing scheme must forwarded to the CB office within fourteen working days of the assessment. The CB must provide RTA with a copy of the assessment report within fourteen days of the assessment. All assessment reports must be written up, recorded and key data fed into the RTA database regardless of the outcome - for example if an applicant member decides that there are too many non-conformances and they wish to withdraw their application for Assurance the report must still be written up, recorded and the data submitted to the RTA database. All assessment reports must be written up, recorded and key data fed into the RTA database regardless of the outcome - for example if an applicant member decides that there are too many non-conformances and they wish to withdraw their application for Assurance the report must still be written up, recorded and the data submitted to the RTA database. The CB must retain records of assessment reports for a minimum of six years. Where CB s are working on paper based rather than electronic data capture systems the paper assessment report must be retained. The CB must be able to obtain assessment reports and supply them to RTA within forty eight hours notice when required. Page 13 of 48

14 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Where assessors have written notes from the assessment that are not transferred into a written or electronic data capture system they must also be retained for a minimum of six years. 8.4 Closing off Non-Conformances With the exception of Dairy, New Scheme Members have 3 months to provide CB s with evidence that non-conformances have been rectified and can be closed off. Where no evidence is supplied by the applicant by the end of the three months, unless there are exceptional circumstances that require the timescales to be extended e.g. repairs to a full feed silo that requires being empty before the repairs can be made, the application must lapse / be terminated. For Dairy unless a specific extension is granted, initial non-conformances must be rectified within twenty eight days. Between twenty eight days and three months when the process lapses, milk cannot be consigned as assured until the non-conformances are rectified and a certificate is issued. For Fresh Produce if compliance with a Key standard cannot be achieved due to circumstances beyond that producers control, it is not acceptable for the CB to issue a letter of non-compliance confirming that this non-conformance is acceptable.the suitability of the evidence must depend on the type of standards and the degree to which the Scheme Member did not conform. Where the non-conformance relates to a record / policy / document, evidence must be supplied in the form of the record / policy / document. Where the non conformance is physical or operational, evidence must be in the form of a written description of the action taken, and further substantiated by photos, copies of invoices confirming work has been completed or a letter from a vet / qualified advisor if applicable. Non-conformances must be reviewed and closed off by someone other than the assessor (certification decision point) and must be based on evidence supplied to the CB by the Scheme Member. CB s must have sufficient personnel and processes in place to ensure that documentary evidence of corrective actions received is reviewed within seven days of receipt. 8.5 Certification Assessment reports, non-conformance and non-conformance closure documentation must be reviewed prior to granting certification and the decision for granting certification must be made by a person other than the assessor. Certification must be granted to the Scheme Member within seven days of closure of the non-conformances and the certificate plus any Scheme stickers must be despatched to the Scheme member. 9.0 ASSESSMENT & CERTIFICATION PROCESS EXISTING SCHEME MEMBERS 9.1 Membership Renewal CB s must have systems in place to annually invite Scheme members to renew - Renewal forms and letters must be despatched to the member 6 weeks before expiry. If no response to the renewal request is received, at least two reminders must be communicated. Systems must also be in place to terminate the membership of scheme members who have not renewed within one month of certification expiry date. Renewal forms must ask the member for confirmation that they have not been prosecuted since their initial assessment / previous renewal or have any pending (with the exception of Dairy for Dairy this must be covered off at the assessment) 9.2 Certification The renewal of certification must be within 14 days of the receipt of renewal payment. Page 14 of 48

15 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Decisions for granting, suspending, withdrawing or continuing certification must be made by a person other than the assessor. 9.3 Routine Assessments The certified member must be continually assessed against the frequencies below: Fresh Produce, Crops, Safehaven and Cold Crush Oil Seeds Intensive Livestock - Pigs & Poultry Other Livestock Dairy, Beef & Lamb Meat Processing Annual Annual 18 Months Annual (except for pork where a second assessment on traceability and pork quality is required in addition to the annual assessment). Annual Schemes mean that the assessment must be within the Membership Year but not more than 18 months must elapse since the previous assessment For 18 month Schemes the assessment must be at least every 18 months Where due to exceptional circumstances a Scheme Member requests to change or extend the assessment period the CB must liaise with the RT Sector Manager. NB: Where an assessor finds a non-conformance that means the applicant is not complying with legislation, and presents a serious risk to food safety, animal welfare or environmental protection with serious consequential reputational risks to RTA the CB must notify the RTA Scheme Manager within 48 hours. 9.4 The Assessment: Categorisation of Non-Conformances The Scheme Standards classification highlight the severity of the non-conformance. Key Standards not being met may result in a Major non-conformance with a suspension of certification until it is put right. Other Standards are those which must be met or raised as a minor non-conformance which must be put corrected. In Summary: Assessment Conforms Major N/C * Minor N/C Outcome Key Standards Certified Certificate suspended Certificate not until rectified suspended but must be rectified ** Assessment Outcome Conforms Non-Conformance Other Standards Certified Certificate not suspended but must be rectified ** Recommendations Some numbered points amongst the Standards are marked as recommendations. These are not Standards that affect certification. But recommendations are often included to introduce points that will become a Standard in the near future *Major non-conformance means there is little or no evidence that the requirement of a Standard is met. Minor non-conformance is recorded when there is evidence the producer has taken steps to comply but with some gaps ** Excessive numbers of these or repeats of the same non-conformance may result in suspension There are no Key standards identified in the Meat Processing Scheme. Non conformances for the Meat Processing Scheme are classified as: Critical Where there is a major risk to food safety, traceability or animal welfare, or failure to comply with the relevant legislation. Critical Non conformances result in a suspension of certification until it is put right. Page 15 of 48

16 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Major Where there is a substantial failure (little or no evidence) to comply with any clause of the Standard or on the basis of objective evidence (from external sources), there is evidence of complete failure to comply with a clause of the Standard. Minor Evidence that a clause of the standard has not been fully met but steps have been taken to comply. Non conformance raised Critiical Major Minor Outcome Certificate suspended until rectified Certificate not suspended but must be rectified Certificate not suspended but must be rectified 9.5 Assessment Report Writing & Recording As Section Closing off Non- Conformances Scheme Members have 28 days to provide CB s with evidence that non- conformances have been rectified and can be closed off in line with Section 8.4. Where Members fail to provide evidence of closure within the required 28 days, the certificate must be suspended unless there are specific circumstances that qualify for an extension. In granting an extension for specific non conformances, the interim conditions must not present any risks to food safety, animal welfare of environment protection. Assessment reports, non- conformances and non-conformances closure documentation must be reviewed and closed off by someone other than the assessor and must be based on evidence supplied to the CB by the Scheme Member. CB s must have sufficient personnel and processes in place to ensure that documentary evidence of corrective actions received is reviewed within seven days of receipt. 9.7 Withdrawing Certification CB s must have systems in place to withdraw certification from suspended members who have not rectified their non- conformances within 3 months of their suspension date. Membership must then lapse and can be regained by following the procedure for a new applicant. The RTA database must also be updated with this information. NB: FOR A SUMMARY OF THE KEY ACTIVITIES AND TIMESCALES SET OUT IN SECTIONS 8 AND 9, SEE APPENDIX Spot checks CB s must have systems in place to undertake spot checks; For Fresh Produce members requiring a Globalgap certificate: 10% of randomly selected producers must receive a spot check each year; Spot checks to be undertaken using the Globalgap shortened checklist Notification of a spot check visit must not normally exceed 48hrs (2 working days) Full details of requirements for other sectors will be supplied in due course MEMBERS REQUESTING A TRANSFER BETWEEN CBs Members are permitted to transfer from one CB to another for their assessment and certification providing they have no outstanding non- conformances with their existing CB. In Dairy the need to transfer may arise when a producer switches First Purchaser or when a First Purchaser changes CB. In Dairy the timings of the transfer will often not coincide with the existing certificate expiry Page 16 of 48

17 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards date or the next assessment due date and therefore specific procedures are required to accommodate this and they are detailed under Section In Fresh Produce if the producer has or requires a Globalgap certificate transfers should normally only take place at the end of the certification cycle and any mid-certification transfer requests need further investigation. All new applicants must be checked on the RTA Cross Scheme Member checker to establish if they have ever been assured in the past regardless of whether they declared a previous membership or not Pre Transfer Review & General Procedures Where the applicant has previously been certified for the same Scheme, the new CB must carry out a pre-transfer review of the certification of the prospective member. The review must look at the following elements and the review must be documented: Confirmation that the activity falls within the accredited scope of the CB The reasons for seeking the transfer Confirmation that the site (or sites) hold a current valid certificate for the appropriate scope Review of the last certification and non-conformance reports including confirmation that there are no outstanding non-conformance (some information can be accessed via the RTA Cross Scheme member checker database or a copy of the non-conformances obtained from the existing CB) Any complaints received and action taken ( information to be obtained from the applicant) Stage in the certification cycle (NB : If the middle, further investigate) Details of any current engagement with regulatory bodies, including previous and pending prosecutions (information to be obtained from the applicant) Where the previous CB is contacted by the prospective CB for information, the previous CB must disclose to the new CB, all previous assessment and certification information in order to allow the new CB to complete the pre-transfer review and decide on whether to accept and progress the application. The pre-transfer review should include a visit to the applicant, unless the pre-transfer review indicated that all the above elements have been satisfied and there are no outstanding nonconformances. Justification must be given if any of the criteria cannot be verified. If no outstanding or potential problems are identified by the pre-transfer review, if the applicant has a full valid certificate (i.e. has no outstanding non-conformances), the new CB can accept the applicant and issue a new certificate with an expiry date of twelve months on from the previous certificate. The programme for on-going assessments must then be based on the previous assessment cycle, and the next assessment scheduled for an appropriate date. Where no full valid certificate can be supplied, the applicant must be notified that they can only be accepted as a new applicant and a certificate not issued until an assessment has taken place and all the non-conformances closed off. The transfer must be registered on the RTA database via the CB Transfer Wizard available to all licensed CBs on the RTA Certifier Services Portal. The wizard automatically allows for a maximum of 20 transfers per month, however, if additional transfer operations are required the certifier should contact RTA s Sector Manager Dairy Specific Procedures Arrangements that CB s have in place with First Purchasers must require the First Purchaser to notify the CB of any likely transfer requirements and expected dates as soon as it is known in order to facilitate assessment arrangements. If an assessment is due by the existing CB in the month preceeding the planned transfer date it is acceptable to hold the assessment in order that the assessment can be conducted by the new CB, but the assessment must be carried out by the new CB within 14 days.if there is more than one month before the next assessment is due the existing CB can carry out the next assessment but must close out any non- conformances prior to the transfer being completed. Page 17 of 48

18 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards At point of transfer, once a satisfactory pre transfer review has been completed as outlined in Section10.1, and there are no outstanding non-conformances, a new certificate must be issued by the new CB covering the period up to the next renewal date. ((NB : An assessment by the new CB must only be carried out under the conditions set out in Section 10.1.) The process of pre transfer review and new certificate issue must be completed within 14 days of the producer commencing supply to their new First Purchaser and the existing CB must check the new certificate has been issued before withdrawing their certificate anytime after the new CB has issued their certificate but no later than 21 days after the producer has commenced supply to the new First Purchaser. If the next renewal date comes before the next assessment is due, assuming no other change of circumstances the new CB must re-issue an annual dairy certificate with fees charged by the new CB to the new First Purchaser. If the next assessment date comes before the next renewal date the new CB must undertake the assessment in order to maintain the producers dairy certificate with fees charged by the new CB to the new First Purchaser. Where a producer also has a Red Tractor Beef & Lamb Certificate with an existing CB, delivered via an integrated assessment the new CB must also transfer their Beef & Lamb certificate and follow the same procedures as detailed above.. Where a producer has a Beef & Lamb certificate for one of the Beef & Lamb Schemes in the devolved regions, where contractual arrangements allow,,the new CB must endeavour to offer integrated assessments ACCURACY OF INFORMATION (Keeping the RTA Database up to date) The RTA database must be kept up to date and accurate at all times. It is the CBs responsibility to provide data according to clause 8.7 of the certification contract and the specification in Schedule 5 of the certification contract Provision of Scheme Data by RTA to CBs For the RTA farm Schemes and Meat Processing SchemeRTA, through their contracted database service provider, TLR, will provide access to an export of the key Scheme information (Scheme Standard Codes, Standards, Assessor Guidance Notes and questions prompts) to allow CBs to populate their own databases with the correct information Frequency of Data Uploads To ensure the RTA database is kept up to date the CB must provide a data upload on a regular basis at the minimum frequency agreed between RTA and the individual CB. This frequency will depend on the level of certification activity for that Scheme. RTA will inform the CB nominated administrators if the number of data uploads falls below the agreed level (notified through an alert (weekly / monthly depending in agreed frequency). Minimum data upload frequencies may be reviewed from time to time in consultation with CB s and 30 days advance notice of any requested changes will be given Provision of Critical Information Critical information is defined as those data items with Level 3 or 4 validation (see Appendix 7). It relates to data which directly affects the credibility of the Scheme and the accuracy of certification information that would be presented to buyers of RTA assured product Timescales for reporting Critical Data Information Level 3 and 4 errors should be correct within 1 working day of the issue being notified to the CB Data Errors The RTA system will provide a filter report to CB administrators every time a data feed is provided. The filter report will include confirmation of receipt, statistics relating to the data feed and details of Page 18 of 48

19 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards any data errors identified. CBs will ensure that data errors are corrected and give priority to those classified as Levels 3 and 4 relating to critical certification information Changes to RTA Database Specification RTA will endeavour to provide a minimum of three months notice of any database specification changes Changes to CB Data Upload Formats RTA must be given three months notice of changes to the input data feeds. Where changes relate to internal certifier system development and do not make a material difference to the data items provided. RTA reserve the right to pass to the CB any costs incurred by RTA or database provider TLR as a result of changes made by CBs to their own systems. 12. APPEALS PROCESS CB s must have a documented procedure for managing appeals against certification decisions. The investigation and decisions must be carried out and made by persons independent of the assessor and certifier and all information (including decisions) documented. CB s should aim to manage and close appeals within thirty calendar days of the appeal date. 13. COMPLAINTS PROCEDURE 13.1 Background RTA as the scheme owner allows standards to be used by several CB s who then have the right and responsibility to make the certification decisions. This procedure is for dealing with any information supplied by third parties, outside of normal assessment situations that suggest significant breaches of scheme rules. Third party complaints may include, but are not limited to, information from a trade customer, a competitor or a whistleblower within the certified business. The complaint may be in the form of information about a pending or completed prosecution of the business in regard to regulations relevant to the scope of the scheme. Serious or wilful disregard for the law and / or scheme standards can potentially bring the scheme and the RTA brand into disrepute. The aim of this section is to ensure that appropriate action is taken and sanctions applied that are proportionate to the case. The primary responsibility for action in the case of breaches of the Red Tractor certification standards lies with the CB that issued the certificate. The principle underlying this procedure is that whilst the CB should respond to any information that suggests non-conformance by a certified producer, the CB cannot act on hearsay or unsubstantiated information. The first step must be to gather evidence on which reliable certification decisions can be made. In the most serious cases the CB must liaise closely with the scheme owner. Where action might be considered to terminate membership for a breach of the scheme rules then the primary decision making will shift from the CB to the scheme owner, (Notwithstanding that in the dairy section the CBs and the first purchasers stand between the scheme owner and the member, the Scheme rules create a contractual relationship between the scheme and member which allows the scheme to make decisions about membership)13.2 Procedure The Initial Complaint A Complaint may be made to the CB or to the RTA team. Information about pending or completed prosecutions may come from contacts in enforcement agencies including Trading Standards or may be found by scanning of reports by RTA team or the CB. These must be treated as complaints following this procedure. Complaints made to the RTA team will be recorded and passed on to the relevant CB. If the complaint arrives at RTA London the relevant Sector Manager will be informed. Page 19 of 48

20 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards It is possible that complaints may even be made in the first place to a CB other than the one that has issued the current certificate. CBs must pass all relevant complaints alleging non-conformance of certified businesses to the RTA Sector Manager for forwarding to the relevant CB Evaluation The CB must evaluate the initial information and decide on a course of action. Options are: No further action. For example: Information is unreliable, trivial, not relevant to the scope of the scheme or the nature of the allegation might leave no reasonable expectation of confirming the complaint; or the supplier might have been visited very recently, or etc.. The decision will be recorded. END To be followed up. Most complaints should be followed up with collection of further information. Any complaint of pending or completed prosecutions for offences relevant to scheme standards must be followed up Collect evidence The CB must gather evidence that is sufficiently robust to support a decision on certification. Normally this will mean a visit to the site. Information about (relevant) pending prosecutions will normally trigger a visit. The visit must be made within 14 days of receiving the complaint. In very serious cases the visit should ideally be made within 48 hours of receiving the complaint. The visit must be done as an un-announced or very short notice (maximum 48 hours) spot check. The assessment must in the first place focus on topics relevant to the complaint (and any substantive N/C from the previous routine assessment). If major N/C is found in these areas a full assessment must be completed. If major non conformances are found the assessor must report to the CB operational management team immediately after leaving the site failing this, the report must be submitted within 48 hours. In some cases a visit might not be necessary. Completed prosecutions for relevant breaches are unlikely to require a follow-up visit if the prosecution comes from information gathered many months previously; and / or the businesses has had one or more CB assessment since; and / or sufficient information can be found from the regulatory agency, TSOs or indeed from the certified business itself to allow us to resolve the complaint. Even when a business is not prosecuted a visit might not be needed if information of evidential quality is available from third parties for example documentary evidence from trade customers Liaison with RT The CB must liaise with the RTA Sector Manager whenever necessary during this procedure and certainly to discuss points of judgement. The CB will inform the RTA team of any significant complaints at the initial complaint stage (section ) (unless the complaint has come via RTA) and the course of action to be followed at evaluation stage (section ). The CB must consult with RTA before making any final decision at subsequent Stages in the procedure. CBs should contact the HoA (or as a final resort CEO) when the Sector Manager is unavailable. The RTA Sector Manager will be the normal point of contact for CBs. Sector Managers will liaise with colleagues in other sectors where necessary and notify the sector chairman, HoA &/or CEO in the event of serious incidents. In the event of a serious complaint that might have PR implications for the reputation of RTA, RTA technical staff will inform the designated member of the RTA communications team who will activate the Issues Management procedure. If the site is also certified under other schemes than RTA or through other CBs for other modules RTA staff will be the point of liaison to ensure consistent reaction. The sector staff and HoA will decide between them who will deal with this. Page 20 of 48

21 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Evaluate Evidence and Agree Action The CB must evaluate evidence gathered and, in consultation with RTA agree a course of action. A number of scheme rules allow termination of membership or privileges under the scheme notably: Rule 15 (False and misleading statements) Rule 49 (Bringing the scheme into disrepute) Rule 65 (Use of the Red Tractor trademarks or logo s) Should the circumstances indicate that action is not simply a breach of certification standards but may deserve action under scheme rules the investigation will be taken over by the scheme owner RTA Breach of Certification Standards A final decision should be made by the CB (and where necessary communicated to the producer) ideally within 14 days of collecting evidence (section ). Options are: No evidence of N/C. Complaint not proven. No further action. N/C found sanctions to be applied proportionate to the case. These should be consistent with action taken in the case of N/C found during routine surveillance and will include the following: Rectification within a defined time period (certificate not suspended) Certification suspended pending rectification Certification withdrawn for a defined period irrespective of rectification. If the business wishes to rejoin the scheme at the end of this period they must be subject to an initial inspection as a new applicant and will normally be subject to surveillance at a higher than normal frequency for a defined period and/or until a pattern of good conformance is established. The supplier will pay the costs of extraordinary assessments. The table in Section 13.3 provides guidance on proportionality Breach of Scheme Rules By definition any complaints reaching this stage in the procedure will be serious. A decision will be made by a high level team to include at least one of CEO and HoA, plus at least one of Chair of the relevant RTA Sector Board and Sector Manager. Legal advice will be taken as necessary. Decisions will be made expediently and the outcomes communicated to the CB and where necessary the scheme member. The options available are : The circumstances warrant no further action under the scheme rules Termination of membership is warranted but will not be enforced subject to special conditions, e.g. the member can demonstrate that positive action has been taken and agrees to special inspection measures for a period going forward. Membership should be terminated. (In very serious cases membership may be terminated even if the initial fault has been put right as a punishment, a deterrent to others and to protect the reputation of the scheme.) The Table in Section 13.3 gives guidance. Breaches of Scheme Rules will fall into the bottom row of this table only. Any decision to terminate will be communicated in the form of a minded to notice that invites the member to indicate (within 14 days) why membership should not be terminated. Any response will be considered by those identified at the start of this paragraph who made the initial decision and communicated within 7 days. Page 21 of 48

22 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards A final appeal against this decision will be entertained if received within a further 7 days. It will be decided by the Chairman of the Company, who might consult other Directors, and whose decision will be final and binding Records and Reporting Following the final decision by the CB or the scheme, any amendments to the RTA database must be uploaded immediately. RTA Sector Managers in liaison with HoA will assess whether pro-active information to (selected) trade customers is necessary and actioned. Where certificate withdrawn or suspended RTA will inform other CBs / schemes to avoid the supplier rejoining through another route. The RTA technical team will inform the RTA Comms and Issues Management. CB must keep a complete record of the complaint log. complaints in which they are involved and the action taken. RTA Sector Managers will also log NB: FOR A DIAGRAMMATIC SUMMARY OF THE COMPLAINTS PROCEDURE DECISION TREE, SEE APPENDIX SANCTIONS The following table of sanctions will apply to all cases of non-conformance whether identified through normal assessments or complaints. It is an extension of the Table in Rule 36 of the Scheme Rules with the assumption that the examples in the final row and final column are more likely to be identified through complaints rather than routine assessments. MATRIX OF SANCTIONS FOR NON-CONFORMANCE Impact Nature of N/C Technical breach Potential risk of pollution, contamination or detriment to animal welfare by breach of key standards System for conformance in place but not always followed through No system or inadequate system (Normal definition of Major N/C) Wilful or fraudulent disregard for the standard, the scheme rulesor the law* Must be rectified within specified time. Cert not suspended Must be rectified within specified time. Cert not suspended Suspend until rectified or withdrawn for a period** Must be rectified within specified time. Cert not suspended Suspend until rectified** Suspend until rectified or withdrawn for a period** Actual and significant risk through breach of key standards &/or legislation* Must be rectified against usual guidelines Suspend until rectified or withdrawn for a period** Period of withdrawal** *In addition the scheme reserves the right, to inform the competent authority where there is a significant & immediate risk of pollution, contamination or detriment to animal welfare.! Page 22 of 48

23 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards **Where a certificate is suspended or withdrawn the scheme or its Certification Body may impose particular conditions if and when the certificate is re-instated, for example enhanced frequency of assessments. The producer will be responsible for any additional costs. (Farm Rule 48, Meat Processing Rule??) PERIOD OF WITHDRAWAL The period of withdrawal will not normally exceed 24 months which will be the default withdrawal period where the producer has shown wilful disregard for the standard AND this has created a serious and immediate risk of contamination, pollution or animal welfare problems. The period of withdrawal may be shorter according to the facts of the case. Mitigating factors will include:! Less serious safety, environment or welfare risks! N/C results more from carelessness rather than wilful disregard! Previous compliance history! The level of co-operation by the business in the scheme s investigation of the complaint, including whether pending prosecutions were reported to the scheme as required! Length of time elapsed before the complaint came to the attention of the Scheme.! Confidence in the attitude of the business to future conformance with standards! The speed and extent to which problems have been rectified! The nature of the business and the impact of withdrawal of the certificate! Legal penalties that might also have been imposed on the business The scheme reserves the right to exercise other sanctions that might be more appropriate to the case. For example isolation and disposal of a discrete batch of product Changes to Business Structure to Avoid Withdrawal From the Scheme The guiding principle must be that to allow a token restructuring of the business to sidestep scheme sanctions will bring the scheme into further disrepute. Normally this should be treated as a separate event to the original complaint. That is, the original complaint is investigated, considered and decided upon. All considerations will hinge on the merits of the evidence regarding the complaint and should be decided and finalised accordingly. The sanction that has been determined will apply. Should a new or restructured business at the same holding apply for immediate re-entry to the scheme this is a new event. The application will be considered on its merits, having regard for the existing transfer procedures. If the holding is currently subject to termination of membership under the procedure at the application will be referred to RTA and will follow the same decision making process outlined in that clause. The principles below should apply. If RTA decides that the new application is not acceptable, or is only acceptable under certain specified conditions, any complaints or appeals will be appeals against the decision not to allow the new application and will NOT be appeals against the original case which will be deemed to be already closed. The scheme membership unit is either the holding or the business and termination of membership can apply to the holding not only a named business. The scheme rules allow this interpretation.. It is self-evident that if a totally independent business were to take over the holding then the application would be acceptable as a new applicant. Page 23 of 48

24 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Where the New applicant has connections to the previous business: Changes to the business structure to exclude an individual who will take (legal) responsibility for a misdemeanour is not in itself sufficient to allow a new partnership Where a person (or persons) has been excluded from the business partnership we must have credible assurances that he/she/they will also be removed from day to day operation of the unit or at the very least properly supervised. Where a restructured business includes partners who were also partners of the business at the time of the infraction they must be able to explain why it was able to happen without their knowledge 14. INTEGRATION OF AUDITS CBs carrying out assessments of the same site / Scheme Member for a number of different Schemes must ensure that they liaise with the member in order to deliver in a cost efficient way for the Member - where possible assessments must be conducted in one visit not multiple visits and all the necessary data collected. 15. BUSINESS CONTINUITY CBs must have the necessary systems, infrastructure and procedures in place to maintain the operation of the Schemes at all times Outbreaks of disease, inclement weather, etc It is recognised that from time to time assessments may have to be postponed beyond their due date due to factors beyond the control of the CB, e.g. inclement weather, outbreaks of disease. In the event that assessments cannot be completed due to these factors RTA will agree alternative / contingency plans will be agreed between CB s and RTA. However, during these situations the administrative elements of the Scheme management must be maintained at all times (e.g. communication with Scheme Members, data capture and certification) Public & Staff Holidays CB s must endeavour to have all offices manned during all normal working hours, however, where this is not possible due to staff breaks, holidays and team days a message must be left on the office phone directing callers to leave a message or call an alternative number for any urgent issues. During non office hours, e.g. weekends and public holidays a message must be left on the office phone asking callers with urgent issues to leave a message and the CB must have arrangements in place to check the messages daily, or the message must direct the caller to another number. RTA offices will have similar such arrangements in place. 16. BIOSECURITY CBs must ensure their assessors adhere to at least the minimum biosecurity measures specified by RTA when conducting farm assessments. These measures vary by sector and are specified in Appendix 9. Wherever possible, assessors should also follow any additional measures required by individual producers. In the event of a disease outbreak or other higher risk situations, RTA may notify CB s of additional requirements or even impose a temporary suspension of visits/assessments. Such measures will typically be agreed with other industry bodies and relevant statutory authorities. In the event of a prolonged suspension of visits, it may be necessary for RTA and CB s to make and implement interim contingency arrangements (e.g. mandatory self-assessments) to help ensure standards are maintained. Page 24 of 48

25 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards 17. CRISIS / INDICENT MANAGEMENT CB s must have effective and documented crisis / incident management systems in place. Systems must ensure that CB s can provide timely provision of services to RTA in the event of a major issue with potential to impact on the reputation of RTA. In the event of a crisis / incident, RTA reserves the right to request copies of information appertaining to any element of the CBs delivery of the Protocol at any time and to receive the information within forty eight hours of the request. 18. IMPLEMENTATION OF THIS PROTOCOL AND ITS REVIEW The protocol and its operational detail will be reviewed and updated as and when required. The details of changes will be discussed and agreed in advance with the appropriate notice for implementation given. APPENDIX 1 KPI Report RAG SCORE OVERALL KPI SCORE GREEN 3 Green 95 % AMBER 2 Amber 90 % but less than 95 % Red RED 1 89 % KPI TARGET RAG SCORE Comments ASSESSMENT & RECORDING OF NON-CONFORMANCES TIMESCALES Green 98 % Routine Assessment - assessments Produce within scheme Amber 95 % but less year than 98 % assessments (This will be measured as Red 94 % assessments all members must have at least one inspection within 12 months of the date of the last renewal) Routine Assessment - Crops within scheme year (This will be measured as all members must have at least one inspection within 12 months of the date of the last renewal) Routine Assessment - Pigs within scheme year (This will be measured as all members must have at least one inspection within 12 months of the date of the last renewal) Routine Assessment - Poultry within scheme Green 98 % assessments Amber 95 % but less than 98 % assessments Red 94 % assessments Green 98 % assessments Amber 95 % but less than 98 % assessments Red 94 % assessments Green 98 % assessments Amber 95 % but less than 98 % assessments Page 25 of 48

26 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards year (This will be measured as all members must have at least one inspection within 12 months of the date of the last renewal) Routine Assessment - Dairy Every 18 months (This will be measured as all members having had an inspection within a window of 18 months) Red 94 % assessments Green 98 % assessments Amber 95 % but less than 98 % assessments Red 94 % assessments Routine Assessment - Beef & Lamb Every 18 months (This will be measured as all members having had an inspection within a window of 18 months) Recording non conformances from assessment s into the RTA database within the required timescales Produce Recording non conformances from assessment s into the RTA database within the required timescales Crops Recording non conformances from assessment s into the RTA database within the required timescales Pigs Recording non conformances from assessment s into the RTA database within the required timescales Poultry Recording non conformances from assessment s into the RTA database within the required timescales Dairy Recording non conformances from assessment s into the RTA database within the required timescales Beef Green 98 % assessments Amber 95 % but less than 98 % assessments Red 94 % assessments Green 98 % members Amber 95 % but less than 98 % members Red 94 % members Green 98 % members Amber 95 % but less than 98 % members Red 94 % members Green 98 % members Amber 95 % but less than 98 % members Red 94 % members Green 98 % members Amber 95 % but less than 98 % members Red 94 % members Green 98 % members Amber 95 % but less than 98 % members Red 94 % members Green 98 % members Amber 95 % but less than 98 % members Red 94 % members Page 26 of 48

27 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards & Lamb QUALITY OF DATA SUPPLIED ( Missing CPH and Postcode information will be measured but not included in the calculation of the CB s overall KPI) Data must be supplied in Green 95 % of data accordance with agreed upload data provision frequency Amber 90 % but less Produce than 95 % of data upload Data must be supplied in accordance with agreed data provision frequency Crops Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Data must be supplied in accordance with agreed data provision frequency Pigs Data must be supplied in accordance with agreed data provision frequency Poultry Data must be supplied in accordance with agreed data provision frequency Dairy Data must be supplied in accordance with agreed data provision frequency Beef & Lamb Missing CPH Numbers Pigs Missing CPH Numbers - Poultry Missing CPH Numbers Dairy Missing CPH Numbers Beef &Lamb Missing postcodes Produce Missing postcodes Crops Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Page 27 of 48

28 Protocol For Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Missing postcodes Pigs Missing postcodes - Poultry Missing postcodes Dairy Missing postcodes Beef & Lamb OVERALL CB PERFORMANCE KPI Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Green 95 % of data upload Amber 90 % but less than 95 % of data upload Red 89 % of data upload Page 28 of 48

29 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards APPENDIX 2 WAYS OF WORKING: TLR/RTA/CB S Page 29 of 48

30 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Ways of Working: TLR / Scheme / Certification Body - DRAFT This document outlines the ways in which TLR and the scheme support certification bodies to provide accurate and timely scheme information into the Certifications, Assessments, and Standards Interface (CASI) database. A. Getting started As the first step in setting up any certification body to supply data into the scheme, the CASI Data Submission Requirement for Certification Bodies specification will be made available to the technical point of contact. This document provides a technical introduction to the information systems used by the scheme and the data and submission procedures required from certification bodies. These are the data submission requirements and procedures that are common to CASI hosted certification schemes. For any particular scheme, this document must be read in conjunction with its relevant appendix, which gives any scheme specific requirements, amendments and exclusions. Alongside the CASI specification, TLR will also provide the following resources and advice to assist the certification body with preparing their data feed for submission: CASI Template Database A copy of the example template database which is in the format recommended for data submissions will be made available. This database format ensures a robust and flexible solution for providing data that minimises the need for ongoing filter developments. CASI Links Export Database The links database details all the scopes, non conformance points, additional data standards, and enterprises required by the schemes. By using the look-up data provided in the database, the certification body can ensure that the data we import from the feed remains robust and accurate. Importance of the Membership Number as Primary Key The membership number is required as a unique value (primary key) in the data feed as it is used to identify the records to be updated in the CASI database. It is vitally important that scheme data is accurately keyed to prevent issues with the data feed. TLR will work with the certification body to ensure this keying is achieved as the first principle of setting up a robust data exchange. Access will also be provided to create new membership numbers for use with adding new members to any scheme. Throughout this initial contact period, TLR will ensure certification bodies are provided with answers to any queries about elements of the specification or supporting materials as listed above. B. Data processing When a sample of the data feed format has been provided by the certification body, work can begin to build the data exchange route which will transform the certification body data to fit the CASI model, and validate it against a scheme's rules. Liaison will be provided to the certification body during this process to ensure all data is being transformed as required. Page 30 of 48

31 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards When certification bodies are ready to begin providing certification data into the system, there are a range of methods they can use to do so. These include the scheduled FTP of data files, submission of attached data files to scripted gateway, and HTTP upload of data files. Monitoring will be set up of the data submission route to allow the certification body to easily ensure they are meeting scheme data provision requirements. C. Certification Body Resources Once the data submission route is up and running, a number of resources are made available via the certification body portal to assist with maintaining the data feed. Certification body contacts will be issued with a username and password for the portal and once logged in will have access to the following: Scheme Normative Documents Standards & Appendices, Addendums and Assessor Guidance Status Checking Certification body member checker Member Transfers Certification body member transfer tool Scheme Reports Access to certification body reports including filter summaries, validation errors, and membership downloads. Online Tools Online certification tools provide certification bodies with real time access to update their members should it be needed. Issue unique new membership numbers for use with new scheme members. Downloads Certification body downloads. CASI Specification, CASI Links database, standards spreadsheets, additional data spreadsheets, other downloads. D. Standards Rollover As mentioned above, all current standard documents, links data and spreadsheets are available from the certification body portal. When the scheme issues a new version of the standard it will be made available in all stated formats from the portal and certification bodies informed that the new versions have been published. The CASI Links Database can then be used to update both the certification body s internal systems and the data feed. Once the links database has been used to make these updates, the certification body can begin to certify on the new standard version. Advice will be given during standards rollover to any certification bodies with queries about implementing the new references. Page 31 of 48

32 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards E. Scheme Data Change Requests Where the scheme wishes to request new data or make other changes, the request will follow the change request procedure through requirement and feasibility to development and testing. At all stages, TLR will liaise with the scheme and certification bodies to ensure that key milestones are met. An overview of the change request procedure is given below: F. Change Requests by Certification Body In addition to a procedure for scheme change requests, certification bodies are asked to ensure that no changes are made at their end that could compromise the data feed without prior notification and approval. This is vital to ensure erroneous data does not make it into the live database that can be time consuming and costly to repair. Page 32 of 48

33 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards To implement the certification body change procedure, certification bodies must first take steps to assess internal changes for impact on the data feed. If a change is identified that is expected to affect the data feed, the certification body should ensure TLR are made aware of this before any changes are made. If the certification body is in any doubt at all as to whether the change in question could cause an issue, they should follow the procedure. An overview of the certification body change process is given below PROPOSED CHANGE NOTIFICATION CB Issue proposed change notification to TLR including: Specification of the Change A summary outline of what is being changed. Data Sample An example of the new data format for review. Timescale for Change Certification Bodies should inform us of their desired timescale, so that we can assess the feasibility. CHANGE NOTIFICATION FEEDBACK TLR Provide feedback to the Certification body regarding the proposed change including: Recommendations Where appropriate, recommendations will be made to minimise the impact of the change. TLR Development Details of any associated work required by TLR to implement the change Costs and Timescales Details of any expected costs incurred by implementing the change and expected timescales Next Steps The appropriate steps for the specific change CERTIFICATION BODY CHANGE PROCESS G. Communications Certification bodies can contact TLR with any queries via or telephone during office hours using the following details: clientsupport@everysite.co.uk Phone: N.B. If ing someone directly in the company, please copy clientsupport@everysite.co.uk as this will ensure your is always read by relevant parties at the earliest opportunity. Page 33 of 48

34 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards APPENDIX 3 Reproducing the Standards Specification There is a standard manual for each of the six sector Red Tractor Farm Assurance Schemes. CB s are responsible for printing the manuals they require. This Appendix provides clarification on the use of scheme names and detailed specifications for the standards manuals. Schemes: This specification relates to the following sector schemes. The following names must be used in all communication and publicity material. Red Tractor Assurance for Farms - Fresh Produce Red Tractor Assurance for Farms - Pigs Red Tractor Assurance for Farms - Poultry Red Tractor Assurance for Farms - Dairy Red Tractor Assurance for Farms - Crops and Sugar Beet Red Tractor Assurance for Farms - Beef and Lamb Scheme Logo s CB s requiring scheme logos can obtain them from RTA these will be supplied by jpeg s together with the rules for using the logo. The correct logos must be used in any communication. Printing and distribution CB s are responsible for arranging the printing of the 5 sector standard manuals required for circulation to each of their farmer customers as appropriate. (The exception is Red Tractor Farm Assurance Dairy). RTA prefers that all new scheme members receive a printed copy of the standards manual by post. Content - ownership and colours Each sector has been allocated a core colour which forms the basis of any communication materials for that sector. (The pantone colour codes are detailed in the following page). The list below splits the document into sections and identifies whose responsibility it is to produce that section and the colour content of the section. i) Front cover (RTA Full colour. To include the CB logo as outlined) ii) Inside front cover (CB colour optional) iii) Scheme details: a. Contents (RTA full colour) b. Preface/Introduction (RTA full colour) c. Rule and Procedures (RTA black + 1 spot colour) d. Standards (RTA black + 1 spot colour) e. Appendices (RTA black + 1 spot colour) iv) Inside back cover (CB colour optional) v) Back cover (CB colour optional NB if colour block is to be used on the back a white border is required to ensure it does not impact on the white front cover) *As a minimum, CBs must include their contact details. At no time can any of the sections which are RTA responsibility be changed / altered by any other party. Those pages identified above as CB pages are the responsibility of each CB to use as it wishes, however, RTA requests that if content is to be applied to these pages that a copy is made available prior to printing so RTA can ensure it is consistent with RTA approved terminology, the branding of the schemes and the content of the manuals. Size & Paper The standards manuals will be A4. RTA print it s manuals with matt finish using 200gsm for the outer cover and 115gsm for the inside pages. It is recommended CBs do the same but this is optional. Page 34 of 48

35 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards SECTOR COLOURS The colours below indicate the specific colour allocated to each sector and the % shading which will be used in the standards manuals. Page 35 of 48

36 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards APPENDIX 4 Assessor Competence Requirements NB: THE FOLLOWING REPRESENTS THE CURRENT POSITION BUT WILL BE REVIEWED IN THE NEXT 12 MONTHS Assessor Competence Beef & lamb Poultry Dairy Pigs Qualifications Minimum Formal Qualifications equivalent to NVQ Level 3 in Agricultural related subject And / Or Preferable Degree / HND / HNC or equivalent in Agriculture or Veterinary related subject No specific qualifications set by Scheme however without qualification and / or experience it would be very difficult to successfully complete the Qualifications equivalent to NVQ Level 3 in Agricultural related subject Including a livestock component plus 2 years relevant Experience Training Continuous Professional Development Delivery Body Proven Background in livestock ( cattle/ sheep) production minimum 5 years practical experience Completed NPTC Farm Inspection Award for Beef & Lamb within 3 months of starting assessments and have successfully passed within 6 months Ongoing as supplied by Red Tractor Assurance Beef & Lamb team CB / Red Tractor Beef & Lamb team Minimum 5 years experience (or 3years if appropriately qualified) related to the poultry industry. Can include work in allied industries such as monogastric feed manufacture, consultancy or training. Experience of working as an assessor in similar schemes and /or evidence of auditor training preferable Ongoing training in requirements of Scheme Standards and assessment techniques, to include regular assessor meetings, practical on farm sessions or formal training courses As above to include ongoing as supplied by the RTFA Poultry Sector training requirements No period formally set by Scheme however without experience it would be very difficult to successfully complete the training requirements Red Tractor Assurance Dairy Assessor Training (comprising 3 day course, written assessment and 2 shadowed assessments) conducted by SAC on behalf of Scheme Must attend compulsory CPD events CB Red Tractor Assurance Dairy delivered by SAC / CB experience Proven background in pig production with 5 years practical experience or qualification plus experience as above Completed NPTC Farm Inspection Award for Pigs within 3 months of starting assessments Ongoing training in requirements of Scheme Standards and assessment techniques, to include regular assessor meetings, etc to include RTFA Pigs Sector CB Page 36 of 48

37 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Assessor Competence Combinable Crops & Sugar Beet Fresh Produce Qualifications? Relevant horticulture degree Plus 2 years experience Auditing, Food Hygiene and HACCP qualifications* also desirable *HACCP training via formal qualifications or successful completion of a course based on the principles of Codex Alimentarius is required for any assessor carrying out an RT/Globalgap assessment Experience 5 years experience in If no horticulture degree agriculture relevant to then 5 years experience in combinable crops horticulture relevant to fresh Training Continuous Professional Development Completed NPTC Farm Inspection Award for Combinable Crops within 3 months of starting assessments and have successfully passed within 6 months Basic EN45011 training Attendance of opening & closing meetings Attendance at internal auditing course Training in conducting EN45011 audits, to include shadowing experienced auditors for a number of audits Annual witnessed assessment against scope Attendance at ongoing biannual or other relevant training courses plus training supplied by RTFA produce BASIS certificate in Crop Production Hold FACTS Certificate As required by EN45011 plus training supplied by RTFA Fresh Produce Sector Livestock Market 5 years assessment experience Experience within a Livestock Environment Ongoing as supplied by Red Tractor Assurance Beef & Lamb team Livestock Transport 5 years assessment experience Attended a Red Tractor Farm Assurance training course run by Eddie Harper Ongoing as supplied by Red Tractor Assurance Beef & Lamb team Abattoir, Cutting & Packing Plant HNC /HND /Degree Level 2 years experience in food industry Passed Lead Assessor training course HACCP course RTA Meat Processing course (being run in 2012) Ongoing as supplied by Red Tractor Assurance. Page 37 of 48

38 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Delivery Body Crops & Sugar Beet Sector CB NB: ALL ASSESSORS MUST HAVE NO CONFLICT OF INTEREST THAT COULD AFFECT THEIR JUDGEMENT DURING AN ASSESSMENT Page 38 of 48

39 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards APPENDIX 5 RTA Code of Conduct The Code of Conduct outlines principles which RTA would expect CB s to follow: The RTA Code of Conduct requires CB s to take steps to ensure that all employees and persons involved in assessments and certification against RTA Standards adhere to the Code. CODE: RTA requires CB s to: Use of proper means to ensure that action or activities do not bring RTA name of any RTA standards into disrepute. Operate in a professional way to ensure public confidence in the whole assurance chain and RTA s involvement in the whole assurance food chain is upheld.! Publically embrace and promote the concept of the whole assurance food chain and of RTA s involvement in it.! To ensure that activities and public statements do not bring the name of any other RTA s licensees (and their contracted CB s if applicable ) into disrepute For the avoidance of doubt this code does not restrict CB s from promoting their activities to any third party or from seeking clarification from the proper authorities on issue of concern. However, they are required to ensure that any issues of concern are raised privately and without publicity so as not to harm the public market perceptions in the meantime. This does not of course restrict the obligation that might fall on the individual employed by the CB to provide information to the competent authority in the course of legal proceedings. Breach of the Code of Conduct would be grounds for termination of an RTA licence. Page 39 of 48

40 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards APPENDIX 6 - Summary of Key Activities & Timescales (Outlined in Sections 8 and 9) Farm. ACTIVITY Acknowledge Receipt of Application Form Complete Initial Assessment NB : First assessment is on Day of first Membership year Assessment Report, Writing & Recording Review evidence of nonconformance rectification from applicant Terminate application if nonconformances not resolved Issue certificate etc Appeals against Certification Decisions TIMESCALE 14 days from receipt Dairy Within 14 days of commencing supply The Rest 28 Days from registration NB : Registration is the day that the application is accepted by the CB No non- conformances - Assessment report forwarded to the CB office within fourteen days of the assessment Minor non-conformances - non- conformances fed into the RTA database within five working days of the assessment and assessment report forwarded to the CB office within fourteen days of the assessment Major non-conformances against key standards - reported to the CB immediately on leaving the site and the status of membership set to suspended. Nonconformances fed into the RTA database within two working days of the assessment and assessment report forwarded to the CB office within two working days of the assessment 7 days from receipt Dairy 28 days from assessment The rest - 3 months from assessment 7 days from non-conformance closure Within 30 days of the appeal being received by the CB Renewal date NB : Anniversary of first assessment Despatch of Renewal Forms and Letters Terminate Membership of Non- Renewing Members Issue Certification 6 weeks before Expiry One month after renewal date 14 days from receipt of renewal payment Page 40 of 48

41 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Routine Assessment NB : For Dairy, Beef & Lamb Routine Assessments are 18 months For Fresh Produce, Crops, Pigs & Poultry Routine Assessments must be completed during the membership year with no two assessments being more than 18 months apart Assessment Report, Writing & Recording Suspend certificate if nonconformances not closed off within time specified (normally 28 days) Review evidence of rectification of non conformances Withdraw Certification Appeals against Certification Decisions All Invoice Queries Fresh Produce & Crops Annual Pigs & Poultry Annual Dairy, Beef & Lamb -18 Months No non- conformances - Assessment report forwarded to the CB office within fourteen days of the assessment Minor non-conformances - non- conformances fed into the RTA database within five working days of the assessment and assessment report forwarded to the CB office within fourteen days of the assessment Major non-conformances against key standards - reported to the CB immediately on leaving the site and the status of membership set to suspended. Nonconformances fed into the RTA database within two working days of the assessment and assessment report forwarded to the CB office within two working days of the assessment 28 days from assessment or whatever time has been specified. 7 days from receipt 3 months after suspension Within 30 days of the appeal being received by the CB Within 3 weeks of the invoice. NB: WHERE WORKING DAYS ARE THIS IS TO REFLECT THE URGENCY OF THE ACTION MEAT PROCESSING SCHEME ACTIVITY Acknowledge Receipt of Application Form Complete Initial Assessment TIMESCALE 14 days from receipt 28 Days from registration NB : Registration is the day that the application is Page 41 of 48

42 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards NB : First assessment is on Day of first Membership year Assessment Report, Writing & Recording Review evidence of nonconformance rectification from applicant Terminate application if nonconformances not resolved Issue certificate etc Appeals against Certification Decisions accepted by the CB No non- conformances - Assessment report forwarded to the CB office within fourteen days of the assessment Minor non-conformances - non- conformances fed into the RTA database within five working days of the assessment. Assessment report forwarded to the CB office (and RTA) within 14 days of the assessment. Major non-conformances - Non-conformances fed into the RTA database within two working days of the assessment. Assessment report forwarded to the CB office (and RTA) within 14 days of the assessment. Critical non-conformances - reported to the CB immediately on leaving the site and the status of membership set to suspended. Non-conformances fed into the RTA database within two working days of the assessment. Assessment report forwarded to the CB office (and RTA) within 7 days of the assessment. 7 days from receipt The rest - 3 months from assessment 7 days from non-conformance closure Within 30 days of the appeal being received by the CB Renewal date NB : Anniversary of first assessment or Annual on the last day of the month of the first assessment Despatch of Renewal Forms and Letters Terminate Membership of Non- Renewing Members Issue Certification 6 weeks before Expiry One month after renewal date 14 days from receipt of renewal payment NB: WHERE WORKING DAYS ARE THIS IS TO REFLECT THE URGENCY OF THE ACTION Page 42 of 48

43 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards Page 43 of 48

44 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards APPENDIX 7 - Data Errors Data errors occur where information provided to RTA does not meet the required data specification. Each item of information has been assigned an error severity rating. This rating has been assigned at a field level on a per scheme basis but broadly the levels for the RT schemes follow a common structure. All specified data items have been given a validation error level: Level 0 Minor data discrepancy used for reporting purposes. For example the scheme may want to know how many address or fax numbers they have and would like CB s to collect them but the information is not required or closely monitored. o No proposed timescale for rectification Level 1 Request non-critical information is missing or does not meet the validation schema and the scheme would like the certification body to correct the problem. This could include contact telephone numbers or postcodes for additional sites. Generally this will cover information that may be required for scheme administration but is not critical to the certification process. o Timescale for rectification 30 days Level 2 Requested scheme information is missing or does not meet the validation schema and should be corrected. This will include all information which the scheme requires for its day to day administration and reporting but may not affect the direct reporting of certification information to industry users. This may include missing postal information or contacts. o Timescale for rectification 7 days Level 3 Critical data error which can still be saved in the scheme database. This will include missing or incorrect data which means that the certification information cannot be correctly presented to the scheme and industry users. The error will be logged and immediate attention by the CB should be required. o Rectification 24 hours Level 4 Critical data error that cannot be saved in the scheme database. This will include missing or incorrect data that fails to meet the data submission schema and cannot be saved in the scheme database. The error will be logged and immediate attention by the CB should be required. o Rectification 24 hours Page 44 of 48

45 Protocol for Certification Bodies Offering Certification Against Red Tractor Assurance (RTA) Standards APPENDIX 8 Complaints Procedure Decision Tree Diagrammatic!!! Issuing CB!! Assurance / Secretariat RTA RTA Comms! Complaint!received!!!! Evaluate!Complaint! By!RTA!or! another!cb!! Unreliable! Trivial!! Record!but!! no!further! action!! Need$to$define$ but$any$pending$ /$actual$ prosecution$=$ reliable/serious$ Reliable Serious Is another RTA scheme implicated? RTA to liaise!!!! VISIT! Need to define visit! Collect!evidence!(Evaluate!whether! by!visit!or!by!other!means?)! Evaluate!evidence!! OTHER EVIDENCE Inform!/!discuss! with!rta!as! necessary! Need to define when scheme must be told Inform!/!discuss! with!comms!as! necessary!&! activate! Issues! procedure! No!evidence!of!N/C! Record!action!taken! END! Evidence!of!N/C! Assess!seriousness!&! decide!action!against! guidelines! Must!inform!/! discuss!with!rta!! Inform!/!discuss! with!comms!as! necessary!&! activate! Issues! procedure! Update!checkers!&! proactively!tell!trade!as! necessary!! Page 45 of 48