Fairtrade International Requirements for Assurance Providers Version 2.0 Contact for comments and information: [email protected] Table of Contents Introduction ......................................................................................................................... 5 Normative documents ........................................................................................................ 5 Terms and definitions ......................................................................................................... 5 Application .......................................................................................................................... 6 Scope of application ........................................................................................................... 6 Responsibility for these requirements .............................................................................. 6 Change history .................................................................................................................... 7 Part A: General requirements for assurance providers ................................................... 8 1 Scope................................................................................................................. 8 2 General requirements for assurance providers ............................................. 8 2.1 Approval ............................................................................................................. 8 2.2 Cancellation of approval ..................................................................................... 8 2.3 Conformity .......................................................................................................... 8 2.4 Reporting ............................................................................................................ 9 2.5 Certification contract ......................................................................................... 10 2.6 Data confidentiality ........................................................................................... 10 2.7 Information for clients ....................................................................................... 10 2.8 Eligibility for certification .................................................................................... 11 2.9 Frequency and intensity of audits ...................................................................... 11 2.10 Permission to Trade .......................................................................................... 12 2.11 Review and Certification ................................................................................... 13 2.12 Sanctions .......................................................................................................... 13 2.13 Exception Policy ............................................................................................... 14 2.14 Conducting audits in high risk geographies ....................................................... 15 2.15 Allegations, complaints and appeals ................................................................. 15 2.16 Miscellaneous provisions .................................................................................. 17 2.17 Changes affecting certification .......................................................................... 17 2.18 Publicly available information ............................................................................ 17 2.19 Non-discriminatory procedures and access to certification ................................ 17 3 Structural requirements ................................................................................. 18 3.1 Organisational Structure ................................................................................... 18 3.2 Impartiality ........................................................................................................ 18 4 Resource requirements .................................................................................. 19 4.1 Personnel ......................................................................................................... 19 4.2 Requirements for Assurance Personnel ............................................................ 19 4.3 Outsourcing ...................................................................................................... 21 5 Process requirements .................................................................................... 21 Fairtrade International RAPs 2.0 - October 2018 Page 2 5.1 Processes ......................................................................................................... 21 5.2 Application for Certification ............................................................................... 21 5.3 Audit planning ................................................................................................... 22 5.4 On- Site Audit ................................................................................................... 23 5.5 Audit evidence and Report ................................................................................ 23 5.6 Review, Certification decision and certificate issue ........................................... 24 5.7 Certificate ......................................................................................................... 24 5.8 Suspension or De-Certification ......................................................................... 25 6 Management system requirements ............................................................... 26 6.1 Quality Management System ............................................................................ 26 Part B: Additional Requirements for Assurance Providers Certifying Traders ............ 27 7 Additional General Requirements ................................................................. 27 7.1 Scheme for small companies ............................................................................ 27 8 Additional Process Requirements ................................................................. 27 8.1 Planning - audit duration ................................................................................... 27 8.2 Site visit ............................................................................................................ 27 8.3 Final report ....................................................................................................... 28 Part C: Additional Requirements for Assurance Providers Certifying Producers ....... 29 9 Additional Process Requirements ................................................................. 29 9.1 Planning - audit duration ................................................................................... 29 9.2 Site visit ............................................................................................................ 29 9.3 Final report ....................................................................................................... 30 Part D: Requirements for assurance providers certifying product specific standards 31 D1: Textile standard .......................................................................................................... 31 10 Additional Resource requirements ............................................................... 31 10.1 Personnel ......................................................................................................... 31 11 Additional Process requirements .................................................................. 31 11.1 Planning - audit duration ................................................................................... 31 11.2 Planning - preparation ...................................................................................... 31 11.3 Site visit – use of information from other sources .............................................. 31 11.4 Site visit – effective worker‟s participation ......................................................... 32 11.5 Final report ....................................................................................................... 32 ANNEX A: Schemes recognised by Fairtrade International ........................................... 33 ANNEX B: Fairtrade Data Governance Policy ................................................................. 34 ANNEX C: Fairtrade International Risk Based Assurance Policy .................................. 35 C.1 Risk categories and frequency of audits .......................................................... 35 C.2 Unannounced audits ......................................................................................... 37 C.3 Scheme for small traders ................................................................................. 37 ANNEX D: Fairtrade International Sanction Policy ......................................................... 38 Fairtrade International RAPs 2.0 - October 2018 Page 3 D.1 Compliance Evaluation in the Fairtrade System ................................................ 38 D.2 Sanctions .......................................................................................................... 38 Fairtrade International RAPs 2.0 - October 2018 Page 4 Introduction The purposes of the „Fairtrade International Requirements for Assurance Providers‟ are: a) To document requirements so that assurance providers can operate in a consistent and controlled manner. b) To provide transparency as a contribution to the credibility of Fairtrade International