OCIA Witness Audit Checklist

O C I A I n t e r n a t i o n a l , I n c . O r g a n i c C r o p I m p r o v e m e n t A s s o c i a t i o n

General Information Staff person who witnessed inspection: Inspector’s Name Inspection Date: Name of Operation and operator number: Scope of certification requested (category/programs): Time Inspection started and ended: Was there enough time allocated for the inspection? Was a knowledgeable representative of the operation present? Was the inspector on-time, prepared, courteous and polite? At any time did the inspector consult with the operation (i.e. advise them how to overcome obstacles to certification)? Were all fields, equipment, storage areas, housing, and buildings inspected? If not, explain.

Compliance Verification Did the inspector verify the corrective actions for previous non-compliances (as applies) and items in the Pre-inspection letter? Was an opening interview conducted, including verification the scope/programs for the inspection, the inspector’s role in the certification process, etc? For farm operations, was seed documentation (including tags, invoice, searches, non-GMO, bin registered, seed exemptions where required) reviewed for all seed (including cover crops)? Were any inputs used that were not on the OSP? Was the appropriate information gathered as a result? For processing, were labels verified during inspection?

EN-NQ-F-063 Rev. A OCIA Witness Inspection Checklist Page 1 of 3 Effective Date: 8 October 2015 © 2015 by OCIA International, Inc. Compliance Verification For processing, were all supplier certificates verified to be current, for all programs requested, and checked for ingredients noted on the OPIs? For livestock operations requesting COR, were space requirements verified for pasture, indoor, and outdoor spaces? Were program specific questions on the OSP addressed? If any equivalency programs (e.g. U.S.-Canada Equivalency Arrangement) were requested, were the critical variances reviewed? Where traceability audits completed, as required by the inspection report? Where the inventory balances completed as required? For livestock, were feed audits performed to determine the accuracy of the ration tables and DMI forms? How did the inspector verify records are maintained for at least 5 years? Was the complaint log viewed? Where there any complaints? Were all questions on the inspection report somehow covered during inspection? Was an exit interview conducted? Was it conducted with a knowledgeable representative, covering major inspection findings, potential non- compliances, and any additional information needed? Was the OSP appropriately verified by the inspector (including any supporting documentation such as facility maps, field histories, health records, etc)? Please provide comments on anything that was not addressed.

Inspection Report Does the inspection report accurate reflect the inspection and the findings on the exit interview? Please note any concerns or problems or areas where the inspection report was deficient.

EN-NQ-F-063 Rev. A OCIA Witness Inspection Checklist Page 2 of 3 Effective Date: 8 October 2015 © 2015 by OCIA International, Inc. Sample taking Were any samples taken during the inspection? If so, was OCIA’s sampling procedure followed?

Grower groups only Were the requirements of the standard and CGG Policy evaluated during the inspection? Explain. Was the inspector knowledgeable about OCIA’s CGG Policy requirements and NOSB recommendations for CGGs? Explain. Were specific control points evaluated and visited during the inspection? Explain. Wow did the inspector evaluate the Internal Control System maintained by the CGG? Did the inspector take a random sample of producers, according to the OCIA CGG Policy? Explain. Did the inspector performance an evaluation on-site of the internal inspectors of the CGG? Explain.

Conclusions and Comments Please provide a final assessment of the inspector’s performance, manner, and preparedness. Please provide any additional comments or thoughts, including any that do not fit elsewhere.