VERIFICATION REGULATIONS

Recommendations

Info

4C VERIFICATION REGULATIONS VERSION 2.1 | APRIL 2016 Severity: If it occurs, how severe will its effect be on performance? Probability: How likely is the occurrence of this risk factor? Almost certain (Occurs often or happens with most of BPs) Likely (Occurs several times or happens with several BPs Occasional (Occurs sporadically or with not so many BPs) Seldom (Could occur with very few BPs) Unlikely (Hardly ever or never occurs.) Significant (The Managing Entity is unable to control the situation, verification fails.) High High High Medium Medium Moderate (The Managing Entity can handle the situation with difficulty, but minimum requirements to be licensed are met.) High High Medium Medium Low Minor (The Managing Entity can manage the situation with ease. Minimum requirements to be licensed are met.) High Medium Medium Low Low Insignificant (The situation has nearly zero effect on the overall performance of 4C Units. Requirements are met.) Medium Low Low Low Low In principle, the evaluation of risk factors is carried out during the preparation stage prior to the information provided to verifiers during the opening meeting, the interview with the Managing Entity and/or an inspection of the facilities. 7.3.3 Sample size As a baseline system, 4C Verification uses a universal sampling formula for a verification which is: As a minimum 50% of the square root of the total number of Business Partners (BP) of a 4C Unit + the Managing Entity (ME). © 2016 | Coffee Assurance Services | Page 32 of 72
4C VERIFICATION REGULATIONS VERSION 2.1 | APRIL 2016 This above formula is used for initial and re-verification, regardless of the size of 4C Units. If 50% of the square root results in a decimal, the figure is rounded up to the nearest whole number. Example: A 4C Unit has in total 1325 BPs. 50% x 1325 = 18.2 (to be rounded up to 19). Verification sample = 19 (BPs) +1 (ME) => 20 in total. The sample size for addendum verification is: As a minimum 50% of the square root of the total number of NEW Business Partners (BP) of a 4C Unit + 1 to 3 BPs of the sample of initial verification + the Managing Entity (ME). Example: The above 4C Unit has 1325 BPs. Now it intends to include 357 new BPs and requests an addendum verification. The sample size for the addendum verification is: 50% x = 10 (new BPs) + 2(BPs of the initial verification sample) + 1 (ME) => 13 in total The addendum verification sample must always include some Business Partners of the initial verification to be included in the addendum verification sample varies (between 1 and 3) depending on the sample size of the initial verification. 4C Verifiers justify their decision and document their justification in the addendum verification report. As stated above, the sample size for re-verification is the same as for the initial one: As a minimum 50% of the square root of the total number of Business Partners (BP) of a 4C Unit + the Managing Entity (ME). However, the re-verification sample must always include some Business Partners who were previously sampled in order to verify their improvement progress. The exact number of previously sampled Business Partners in the re-verification sample is up to the professional judgement of the lead verifier, and a justification for this should be documented in the verification report. The recommended rule of thumb is to select the weakest performing (e.g. based on number of red practices) or riskiest Business Partners. Besides, if there are new Business Partners included in the 4C Unit during re-verification, the re-verification sample must also include some new Business Partners. Example: The above example 4C Unit had 1325 BPs during the initial verification. They have then included 357 new BPs and received an addendum verification. After nearly 3 years, they are now applying for re- © 2016 | Coffee Assurance Services | Page 33 of 72
Page 1 and 2: VERIFICATION REGULATIONS CAS_Doc_31
Page 3 and 4: 4C VERIFICATION REGULATIONS VERSION
Page 7 and 8: 3 4C Unit additional requirements 4
Page 9 and 10: 22 Risk (of a nonconformity) 23 Ris
Page 17 and 18: 4C Verification Regulations VERSION
Page 27 and 28: Daily rate, Estimated time needed f
Page 31: 4C VERIFICATION REGULATIONS VERSION
Page 59 and 60: 10. ANNEXES 4C VERIFICATION REGULAT
Page 67 and 68: The 4C Unit Self-Assessment is made

VERIFICATION REGULATIONS

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?