Criteria 4.4: Criteria 4.4: Traceability system is in place in line with market, certification and legal requirements
4.4.2 A product identification system is in place for natural raw materials that require segregation, such as natural raw materials that are certified or verified or subject to specific permits and authorisations. Records are kept of relevant sales and purchase documents, and the integrity of the product identification system is continuously monitored.
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Examples of practices within a product identification system are:
natural raw materials that need to be segregated are clearly identified and kept separate during all stages of sourcing activities, both physically and in documentation
for natural raw materials that need to be segregated, information is available on volumes before and after completion of any processing or transformation that may affects volumes
in case of contract services (e.g. for processing, transportation, or storage), measures are taken to ensure that natural raw materials that need to be segregated are traceable at all stages
volumes of natural raw materials that need to be segregated are not higher than those supplied by the relevant farmers or pickers
critical control points (e.g. warehouses or processing facilities) are regularly monitored to ensure traceability of natural raw materials that need to be segregated
farmers or pickers follow the rules and procedures of established traceability and product identification systems
total sales of certified or verified products do not exceed the total production (where applicable), purchase of certified or verified products plus remaining stock balance from the previous year
there should be no double selling of certified or verified volumes
volumes of ingredients sold as 'certified or verified' are never higher than the volumes supplied by the producers/suppliers under the certification
If the organisation sources ingredients from producers that are not part of the certification programme, then:
there is a way to distinguish between UEBT certified or verified and non-certified or verified ingredients in the sales/purchase documents
there is a way to ensure that certified or verified and non-certified or verified ingredients are kept/handled separately in all stages of the sourcing and production process
all products being sold as 'certified or verified' are indeed sourced from producers/suppliers included in the certification
If the ingredients are processed/transformed in any way that affects the volumes, information is available on the conversion rates and volumes before and after completion of the process. This applies to any stage in the supply chain.
The OaS makes available to the auditor at the annual audit an overview of the total annual volumes of certified or verified Ingredients (per ingredient) received, still in stock and the total volumes (per ingredient) sold as certified or verified.
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DOCUMENTATION
Records such as receipts, sales purchases, warehouse books, etc.
INTERVIEWS
Conversations with all relevant people at the organisation to determine if they are able to explain the system and show which records are required and kept for each stage.
OBSERVATION
Observation by walking through the facilities to check that what was explained is being practiced. Scoring guidance
0 - No product identification or keeping of sales and purchase
1 - Score is not an option for this criterion
2 - There is a product identification system although it has some loopholes e.g., some records missing, not quite understood
3 - There is a product identification system that works, is well understood and records of sales and purchases are kept
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Importance
Critical
ApplicabilityCultivation & wild collectionOaS |