1. No category

QM QualityManual ED 55 en
Quality Manual
Explanatory Document
Valid from: 15/10/2013
Distribution: External
QM QualityManual ED
Table of contents
1
2.4.2
2.4.3
2.4.4
2.4.5
Welcome to Fairtrade Certification.....................4
1.1 What is Fairtrade Certification? ................................... 5
1.2 How are FLO-CERT’s keywords defined? ................... 6
1.2.1
1.2.2
1.2.3
2.5 How does FLO-CERT’s Governance Structure look
like? .............................................................................. 18
What are Fairtrade Standards? ............................................. 6
What are FLO-CERT Compliance Criteria? ......................... 6
Who are Operators? .............................................................. 7
2.5.1
2.5.2
2.5.3
2.5.4
2.5.5
1.3 What is the scope of our certification? ....................... 7
1.3.1
1.3.2
1.3.3
2
Product scope ........................................................................ 7
Setups ..................................................................................... 8
Geographical area .................................................................. 9
2.6.1
2.6.2
2.6.3
2.1 What is our Vision and Mission? ............................... 10
Vision .................................................................................... 10
Mission .................................................................................. 11
2.2 What is our Quality Policy? ........................................ 11
2.3 How is FLO-CERT incorporated in the Fairtrade
setup? .......................................................................... 11
2.3.1
2.3.2
2.3.3
2.3.4
Fairtrade International (FLO) Board ................................... 11
Fairtrade International (FLO) .............................................. 12
Producer Networks .............................................................. 14
National Fairtrade Organizations (NFO) ............................ 14
2.4 How is FLO-CERT GmbH setup? ............................... 14
2.4.1
Legal Status and Headquarters .......................................... 14
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The Senior Management Team ...........................................18
The Supervisory Board ........................................................18
The Finance Committee .......................................................18
The Appeals Committee ......................................................18
The Review Committee ........................................................18
2.6 Who are FLO-CERT’s Actors? ................................... 19
Who are we? ......................................................10
2.1.1
2.1.2
FLO-CERT funding ...............................................................15
Organizational Structure .....................................................16
Roles and Responsibilities .................................................17
Subcontracting .....................................................................17
3
The Quality Management Representative ..........................19
The Team...............................................................................19
The Auditors .........................................................................19
What we do and how we do it? ........................ 20
3.1 How is the certification process setup? ................... 20
3.2 What are the Certification Cycles? ............................ 21
3.2.1
3.2.2
3.2.3
Three-year certification cycle .............................................21
Six year certification cycle for small Licensees ...............22
Requirements for Small Producer Organizations and
Contract Production Projects .............................................22
3.3 What is the Quality Management System? ............... 23
3.3.1
3.3.2
3.3.3
3.3.4
Document and Record Control ...........................................23
Document Structure and Purpose of QM documents ......24
QMS Non-conformities ........................................................25
Internal Audits ......................................................................25
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3.3.5
3.3.6
3.3.7
3.3.8
3.3.9
3.3.10
Quality Checks ..................................................................... 25
Appeals, Reviews, Complaints and Allegations ............... 25
Management Reviews.......................................................... 26
Confidentiality ...................................................................... 26
Certificate Control ................................................................ 26
Publications .......................................................................... 26
4
Change History: ................................................ 29
3.4 What is ISO 65 accreditation? .................................... 27
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QM QualityManual ED 55 en
1 Welcome to Fairtrade Certification
“Fair Trade is a trading partnership, based on dialogue, transparency and respect, that seeks greater equity in international trade. It contributes to sustainable
development by offering better trading conditions to, and securing the rights of, marginalized producers and workers – especially in the South. Fair Trade
Organizations, backed by consumers, are engaged actively in supporting producers, awareness raising and in campaigning for changes in the rules and practice of
conventional international trade. Fair Trade products are produced and traded in accordance with these principles - wherever possible verified by credible,
independent assurance systems.”
FINE, 2006
History…
In the 1960s many different initiatives around the world started to develop goals and strategies to support small farmers and workers in the global south in line with
economical principles following the concept “Trade not Aid”. They focused on elements such as the elimination of middlemen, implementation of minimum prices and
trade standards, including ethically acceptable working conditions. After having started with a product palette of handcrafts in so called Worldshops the product
portfolio got extended to food products in order to offer Fair Trade products on an every day basis to the consumer, therefore broaden the movement and put it on a
more solid basis.
History of Fairtrade International (FLO)…
In 1992 about 10 national initiatives worldwide allied and founded the non-profit association TransFair International. In 1997 TransFair and multiple other Labelling
Initiatives (now called: National Fairtrade Organizations) from all over the world such as Fairtrade Foundation UK and Rättvisemärkt from Sweden got together to
strengthen their impact and become more acknowledged. They created Fairtrade International (FLO) an umbrella organisation whose mission is to set standards,
coordinate relationship with producers and harmonise the Fairtrade message across the movement. (Please note: If you refer to the general movement you spell
Fair Trade in two words. If you talk about FLO the term Fairtrade is written in one word.) In 2002 FLO launched the new FAIRTRADE Certification Mark. As the
market expanded and the volumes Fairtrade was handling were growing, the market’s need for credible certification became inevitable. It was decided to separate
the legislative (set standards) and the executive activities (certification) in order to remain a trustworthy certification system. As a consequence, in 2003 the
certification department was outsourced in the newly founded FLO-CERT GmbH, a fully owned subsidiary of FLO. Providing commitment to an independent,
transparent and consistent high quality certification system and therefore assuring the credibility of the FAIRTRADE Certification Mark FLO-CERT got ISO 65
accredited in October 2007 and is still the first accredited certifier for social standards and development.
QM QualityManual ED
1.1 What is Fairtrade Certification?
FLO-CERT is an independent international certification company offering Fairtrade Certification services to clients in more than 70 countries around the world. FLOCERT audits and certifies the conditions of production, buying and selling of Fairtrade products. Our certification service provides an assurance to consumers of
Fairtrade products that they are contributing to the Social-Economic Development of people through their purchases. The certification process ensures that
economic, social and environmental standards are met in the production of (agricultural) products and that producers receive a Fairtrade Minimum Price and
Premium.
The graphic below gives an overview of the supply chain and the actors involved in it. For further information please refer to Section 2.3 How is FLO-CERT
incorporated in the Fairtrade setup? and 3.1 How is the certification process setup?
Fairtrade
International
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FLO-CERT GmbH*
National Fairtrade Organizations (NFO)
*ISO 65 accredited
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1.2 How are FLO-CERT’s keywords defined?
1.2.1 What are Fairtrade Standards?
Fairtrade Standards for producers and traders are the binding requirements within the Fairtrade system the operators must fulfil in order to enforce development
in a business environment. The Fairtrade Standards help the operator to understand the generic principles of Fairtrade.
The producer standards are social economic and environmental standards.
The trade standards state how to buy, sell and manufacture Fairtrade products. They define the Fairtrade price and premium, explain the conditions of pre-financing
and rules to encourage long-term trade relationships.
The Standards Unit of FLO develops these standards. They are ratified by the Standards Committee, which consists of stakeholders from FLO member
organizations, producer organizations, traders and external experts.
To have a closer look on the standards please go to: http://www.fairtrade.net/standards.html
1.2.2 What are FLO-CERT Compliance Criteria?
The compliance criteria comprise the interpretations of the standards and translate their generic principles into measurable criteria that fit into the operator’s
reality. They serve as control points for the auditor to check compliance with the Fairtrade principles. Compliance criteria exist for all Fairtrade Standards and
Fairtrade Product Standards. There are major and regular compliance criteria and there are different timelines for their fulfilment. Some compliance criteria need to
be fulfilled from the initial phase onwards, while others only need to be complied with after 3 or 6 years or within the first or second year of certification. Operators
are informed of Compliance Criteria applicable to them before they are evaluated against them.
In 2011 the concept of Core and Development Criteria was introduced to the Fairtrade Standards for Small Producer Organizations (SPO) and Contract Production
(CP). Core criteria are handled as before, meaning the operator can either be compliant or non-compliant with a core criterion. For the development criteria the
evaluation approach is different: Five performance ranks are developed by FLO-CERT for each of the development criteria and the compliance of the operator is
measured based on the average score which is achieved throughout all the development criteria.
When a new standard is set by the FLO Standards Committee, FLO-CERT will be contacted and develops the associated compliance criteria. The interpretation of
the standards and the definition of compliance criteria is mainly a consultation process within FLO-CERT’s Certification Department and the FLO Standards
Committee.
Compliance Criteria can be found on the website: http://www.flo-cert.net/flo-cert/37.html
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1.2.3
Who are Operators?
Operator means any organization that is certified by us. This could either be a producer organisation or a trade organisation depending on the function the operator
performs in the supply chain.
1.3 What is the scope of our certification?
Our certification services are available to all applicants whose activities fall within the scope of our certification system. There must be no undue financial or other
(hidden) considerations when evaluating applications or performing the subsequent certification process,
FLO-CERT does not have a Certification Mark as part of its certification system. Once certified by FLO-CERT, operators may contact Fairtrade International or a
National Fairtrade ORganization in order to obtain the right to use the FAIRTRADE Mark.
For more information please see: http://www.fairtrade.net/fairtrade-organizations.html
When a new standard is made or when there is a request to extend the scope of our certification system, FLO-CERT first investigates the implications of the
extended scope before beginning to implement it. Only once we have integrated the new rules/realities into our certification system will we begin to implement.
Clients and consumers are informed when the extended scope/new standard will be implemented.
1.3.1
Product scope
FLO-CERT certifies a broad range of products as defined in the Fairtrade Standards. Please follow this link for complete information on the product scope:
http://www.fairtrade.net/products.0.html
Currently the section “Additional requirements for traders in the cotton chain” of the Fairtrade Standards for Seed Cotton is not part of the scope of our certification
system.
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1.3.2
Setups
The following setups producing and trading the above mentioned products can be certified by FLO-CERT:
Small Producer Organizations
Small Producer Organisations (SPO) which are structurally organised small farmers who work for themselves, for example as a co-operative.
Types of Small Producer Organizations
st
rd
1 grade - is a Small Producer Organization whose legal members are exclusively individual small
farmers.
3 grade
nd
2 grade - is a Small Producer Organization whose legal members are exclusively 1st grade
organizations affiliates.
nd
2 grade
rd
3 grade - is a Small Producer Organization whose legal members are exclusively 2nd grade
organizations affiliates.
Hired Labour Organizations
st
1 grade
st
1 grade
st
1 grade
Single Plantation – is an agricultural company which structurally depends on Hired Labour. A
plantation is a single-estate which might dispose of only one single or multiple production sites,
but only one central management and administration.
Multi estate – is a company which structurally depends on hired labour and is composed of more
than one plantation with independent administration, but one central management is responsible
for the labour conditions of the workers on all of the plantations.
Small Producer
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Contract Production
Contract Production Projects are unorganised farmers who sell their products to a service provider. On a long term they should be empowered to form a Small
Producer Organisation.
Trade organizations
The scope of Trade Certification services is to certify products of all companies (such as processors/manufacturers, exporters/importers) located around the world,
who take legal ownership and/or who handle or transform the Fairtrade product.
1.3.3
Geographical area
The scope of Producer Certification services is restricted to products, produced by operators in countries that appear on the “Geographical Scope of Producer
Certification for Fairtrade Labelling” document published by the standard setting organization Fairtrade International. The map below shows the countries which
are included into the scope.
More information can be found at the following link:
http://www.fairtrade.net/fileadmin/user_upload/content/2009/standards/documents/Aug09_Geographical_scope.pdf
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2 Who are we?
With over 2000 clients in more than 70 countries, FLO-CERT has become one of the world’s leading social certification bodies – empowering over one million
farmers and wage workers and their families in the global south.
2.1 What is our Vision and Mission?
2.1.1 Vision
FLO-CERT is respected throughout the global supply chain as a valued provider of verification and certification services and makes a positive financial contribution
to FLO by leveraging its diverse portfolio of related services.
FLO-CERT is seen as an integral and vital component in helping the Fairtrade movement to achieve its vision of “a world in which all producers can enjoy secure,
sustainable livelihoods, fulfil their potential and decide on their future”.
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2.1.2 Mission
With Fairtrade at our core, we offer verification and certification services to global supply chains in order to support their development and to improve sustainable
production.
We provide rigorous, impartial, independently managed and commercially viable certification based on a core service that supports the ideals and integrity of the
Fairtrade movement.
We also provide certification and verification/validation services to other social, quality, environmental, and sustainability standards, where such services support the
Fairtrade mission “to connect disadvantaged producers and consumers, promote fairer trading conditions and empower producers to combat poverty, strengthen
their position and take more control over their lives”.
2.2 What is our Quality Policy?
The senior management of FLO-CERT has based its Quality Policy on the guiding principles of Capability, Consistency, Efficiency and Transparency as well
as on the requirements of ISO 65.
The Quality Policy of FLO-CERT provides a framework for establishing and reviewing the quality goals of the company which are equivalent to the strategic goals of
FLO-CERT.
It is appropriate to the purpose of our organization and includes a commitment of the senior management team to comply with the requirements and continually
improve the effectiveness of the Quality Management System. Moreover, the Quality Policy is reviewed and updated for continuing stability during the annual
Management Review process. It is announced and explained at all levels of the organization and is also available to the public.
The Quality Policy of FLO-CERT is presented in a separate declaration at the end of this Quality Manual.
2.3 How is FLO-CERT incorporated in the Fairtrade setup?
FLO-CERT is part of the Fairtrade movement. Currently FLO-CERT provides services for certification against standards set by Fairtrade International, a publicly
recognized non-profit multi-stakeholder association involving three Producer Networks, 19 Labelling Initiatives, two marketing organizations and one Associate
Members. FLO-CERT is a wholly owned subsidiary of Fairtrade International.
2.3.1
Fairtrade International (FLO) Board
FLO’s Board of Directors is elected and ratified by the General Assembly. It is composed of:




5 representatives of the National Fairtrade Organizations (NFO)
4 representatives of Fairtrade Producer Organizations (at least one from each of the regional Producer Networks)
2 representatives from Fairtrade Traders
3 external independent experts
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The Chair of the Board leads its activities. The Board’s mission is to guide FLO to becoming the worldwide reference for consumers’ and producers’ choice in
Fairtrade Certification. It is primarily responsible for the strategic direction, sound financial management, risk management and employment of the Chief Executive of
the association. The board also appoints the members of the following FLO committees: Standards, Finance and Nominations.
2.3.2
Fairtrade International (FLO)
Fairtrade International is a not-for-profit, multi-stakeholder association which builds the umbrella organisation for the Fairtrade movement. It involves 25 member
organisations (Producer Networks, National Fairtrade Organizations, Marketing Organizations and one Associate Member) and is setup as shown in the below chart:
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2.3.3 Producer Networks
Producer networks are organisations which Fairtrade Producer Organisations may join and are recognised by FLO as the representative bodies of producers,
workers and others belonging to Fairtrade Producer Organisations.
During FLO General Assembly held in Bonn, Germany, on 25th May 2007, the producer networks officially became full members of FLO and are since represented
in the board, where they take part in the decision process.
At the moment, there are three active producer networks (on three continents):



2.3.4
Fairtrade Africa
Coordinadora Latinoamericana y el Caribe de Comercio Justo (CLAC)
Network of Asian and Pacific Producers (NAPP)
National Fairtrade Organizations (NFO)
National Fairtrade Organizations, formerly known as Labelling Initiatives, are national organisations which licence the FAIRTRADE Certification Mark onto consumer
products that are certified by FLO-CERT. They promote Fairtrade in their countries and monitor the development of the Fairtrade market by analysis and researches.
Companies placed in a country where no Fairtrade NFO exists can obtain a licence from FLO. Currently, there are 19 NFOs, mainly throughout Europe and North
America, known as Max Havelaar, TransFair, Fairtrade Foundation and other national names.
2.4 How is FLO-CERT GmbH setup?
FLO-CERT GmbH is an international certification body offering independent Fairtrade Certification services to clients in more than 70 countries. It is divided into four
departments: Operations Department, Business Development Department, Technical Services Department, Fiainances & Central Services Department.
2.4.1
Legal Status and Headquarters
FLO-CERT offers Fairtrade Certification services to operators within the scope of our certification system. In operating the certification system, FLO-CERT is
completely independent and is not influenced in its decisions by any external organization.
FLO-CERT GmbH is a Limited Company and registered at the District Court in Bonn, Germany with registration number HRB 12937. Our headquarters are located
in Bonn, Germany: Bonner Talweg 177, D-53129. The Chief Executive Officer of the company is Rüdiger Meyer.
Further offices are located in San José (Costa Rica), Cape Town (South Africa) and Bangalore (India). All of these external offices are wholly owned subsidiaries of
FLO-CERT GmbH.
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2.4.2 FLO-CERT funding
FLO-CERT is exclusively funded by the fees it charges to its customers. Some of the fees charged to producer organizations though are subsidized by National
Fairtrade Organizations in order to support disadvantaged producer organizations as part of the vision and mission of Fairtrade. Detailed information about the fee
system can be retrieved from the FLO-CERT website http://www.flo-cert.net/flo-cert/35.html
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2.4.3 Organizational Structure
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Americas
Europe
Africa
Asia & Pacific
South America (Latin America 1)
Europe / International
North West Africa
Asia & Pacific (Office in India)^
Costa Rica/ Colombia (Office in San
José) (Latin America 2)
South/East Africa (Office in Cape Town)
Operations Department: The Operations Department delivers FLO-CERT main business service, Fairtrade Certification, as well as some other services provided
by FLO-CERT. The Operations Department is organised by regions as shown in the chart below:
Business Development Department:
In Business Development Unit new products are developed and FLO-CERT’s services get promoted.
Technical Services Department: The Technical Services (TS) Department provides services mainly to the Certification Unit. The Department operates FLOCERT’s IT structure and is responsible for the management and maintenance of the certification software Ecert. Furthermore it delivers data and information
products by integrating and analysing FLO-CERT’s technical systems. The Quality Management Department is line managed by the Director of the Technical
Services Department.
Finances & Central Services Department: The Finances & Central Services (CS) Department provides the legal and organisational framework in which FLOCERT operates.
2.4.4 Roles and Responsibilities
Besides the different hierarchy levels, certification functions have been defined to ensure that only suitably qualified personnel can perform the respective
certification functions defined in relevant certification procedures. More details can be found in the latest version of the CERT RolesResponsibilitiesMatrix ED and
TS RolesResponsibilitiesMatrix ED.
2.4.5
Subcontracting
Although we have both legal and financial in-house expertise, additional professional services are directly contracted by FLO-CERT whenever necessary.
FLO-CERT currently does not subcontract any audits to other certification or audit bodies.
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2.5 How does FLO-CERT’s Governance Structure look like?
2.5.1
The Senior Management Team
The Management is represented by the Chief Executive Officer (CEO) who is supported in his functions by the Directors of Operations, Technical Services Business
Development and Finances & Central Services.
Together they form our Senior Management Team, meeting regularly to discuss strategic and operational challenges and find solutions to problems. The functions of
the members of our Senior Management Team are described in detailed job specifications and procedures.
2.5.2
The Supervisory Board
The Supervisory Board is one of our Controlling Bodies and consists of different experts in various fields. During several annual meetings, the Supervisory Board
reviews the performance of the company. The scope and mandate of the Supervisory Board is described in the EXE SupervisoryBoard ED.
2.5.3
The Finance Committee
The Finance Committee assists and offers advice to the Supervisory Board on all financial matters within FLO-CERT which are delegated by the Board to the
Finance Committee. For a more detailed description see EXE FinanceCommitteeToR ED.
2.5.4 The Appeals Committee
All of our clients have a right to appeal against certification decisions. The Appeals Committee therefore also performs a controlling function by in-depth analysis of
each case appealed against. In reaching its decision, the Appeals Committee must re-evaluate the offending certification decision, analyse the applicant’s
submissions as well as all other information that might be relevant to the case at hand. Further details can be found in the QM Appeal&Review SOP. All of its
proceedings are documented by the Quality Management Representative.
2.5.5
The Review Committee
This Committee has a rotating membership of four Regional Managers and is dealing with the requests for review of evaluation decisions submitted by our
operators. The committee makes decisions according to the procedure outlined in the QM Appeals&Review SOP and all of its proceedings are documented by the
Quality Management Representative.
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2.6 Who are FLO-CERT’s Actors?
2.6.1 The Quality Management Representative
The Quality Management Representative (QMR) designs, implements and monitors our Quality Management System in cooperation with the Senior Management
Team. In order to perform these tasks the QMR has direct access to the Senior Management Team. She is responsible to report on the functioning of the Quality
Management System. The functions of the QMR are further described in a detailed job specification.
2.6.2
The Team
In accordance with HR RecruitmentCompetenceStaffAuditors SOP all of our team members, whether in the Operations, Technical Services, Business
Development or Finances & Central Services Departments are highly qualified, competent and capable of performing all duties assigned to them. All employees
have detailed job specifications providing information on their functions and assigned responsibilities. The quality management documents (e.g. SOPs, WIs, EDs,)
provide further guidance on how we do our work. Besides the high qualification entry requirements, there are ongoing training programmes aimed at increasing the
skills following analyses of training needs as described in HR TrainingEvaluationStaffAuditors SOP (the same SOP described the process of training and
evaluation for auditors).
2.6.3
The Auditors
Our team of auditors are selected based on their skills and their abilities to deal with the complex nature of Fairtrade Certification. In order to ensure that these skills
remain operational, intensive yearly training programmes are compulsory for all auditors to attend. Because we place emphasis on handling the confidential
information of our clients with care, our auditors are trained on and are bound to our regulations on confidentiality through their contracts. These regulations are
described in detail in the QM Confidentiality SOP. Because we want to ensure that the certification process is free of influence, our auditors have to disclose all
possible conflicts of interests to us. When conflicts of interest are identified, other auditors are used to evaluate a specific client.
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3 What we do and how we do it?
3.1 How is the certification process setup?
Operators have access to experienced staff throughout the process, should clarifications of our certification be necessary.
Application
Initial
Physical Audit
During the application phase information on the organizational structure and the Fairtrade plans of the operator are collected. In case of
traders a Permission to Trade Letter will be issued in the end of the application phase and the applicant has the right to realize Fairtrade
transactions for up to 6 months. Latest by then the initial physical audit needs to be performed in order to check compliance with the
applicable Compliance Criteria for traders. In case there are no major non-conformities detected during the initial audit of a producer
organization a Permission to Trade Letter is issued which allows the operator to start Fairtrade transactions till all non-conformities are
rectified and a Fairtrade certificate can be issued.
The operator suggests measures to correct the non-conformities found during the initial audit. Selected staff members evaluate the
corrective measures taken by the operator.
Evaluation
Once all non-conformities are corrected, the operator file is handed to a qualified Certifier who was not involved in the audit and evaluation
process.
A certificate can only be issued once all non-conformities with the Compliance Criteria detected during the audit are fixed.
Certification
Surveillance
The purpose of surveillance is to make sure that compliance with the relevant requirements of the Fairtrade Standards is maintained. There
is usually one surveillance audit during a certification cycle. Depending on the risk categorisation of the operator a second surveillance audit
can be performed. Initial and renewal audits always need to take place as an on-site audit. If non-conformities are detected during the
surveillance, appropriate sanctions are issued. The type of sanction for a non-conformity detected during surveillance depends on the
severity of the non-conformity.
When major compliance criteria are breached, the certificate might immediately be suspended. Non resolved non-conformities may lead to a
decertification later on.
Operators are informed of such sanctions during the application phase.
Renewal
Physical Audit
For more detailed information on the certification process, please consult the CERT Certification SOP as published on the FLO-CERT
website http://www.flo-cert.net/flo-cert/34.html
Certification
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3.2 What are the Certification Cycles?
3.2.1
Three-year certification cycle
FLO-CERT has three-year certification cycles. During a certification cycle, surveillance activities are performed in order to make sure that all relevant requirements
of the Fairtrade Standards are complied with. Before the end of a certification cycle and the start of a new cycle, a physical audit must take place.
After the Initial Certification, the operator starts the first 3-year Certification Cycle. In case of Small Licensees the Certification Cycle constitutes of 6 years.
Usually one physical surveillance audit is carried out to evaluate continued compliance. Depending on the risk categorisation of the customer, FLO-CERT may
decide to conduct a second surveillance audit.
1
Initial Phase
Year 0
Year 1
Year 2
2
Year 3
CERTIFICATE 1
Year 4
Year 5
Year 6
Third cycle
CERTIFICATE 2
Application Evaluation
Initial / Renewal Audit
Surveillance Audit
1
2
3
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1st Certification Cycle: Relevant requirements
All year 0 compliance criteria
2nd Certification Cycle: Relevant requirements
All year 0 and 3 compliance criteria
3rd Certification Cycle: Relevant requirements
All year 0, 3 and 6 compliance criteria
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3.2.2
Six year certification cycle for small Licensees
1
Year 0
Year 1
Year 2
Year 3
Year 4
PERMISSION TO TRADE 1
Year 5
2
Year 6
PERMISSION TO TRADE 2
Year 1
Year 2
Year 3
Year 4
Year 5
CERTIFICATE 1
Initial/Renewal Audit
Surveillance (offsite desktop review)
1
2
1st Certification Cycle: Relevant requirements
All year 0 compliance criteria
2nd Certification Cycle: Relevant requirements
All year 0, 3 and 6 compliance criteria
Year 6
C
E
R
T
I
F
I
C
A
T
E
2
For more information on the Small Licensee concept please refer to the CERT Certification SOP.
3.2.3
Requirements for Small Producer Organizations and Contract Production Projects
Fairtrade is also about development and the standards reflect this. As described in paragraph 1.2.2 about compliance criteria, not all standards are immediately
applicable to producers because development cannot happen overnight. Therefore, in addition to having different timelines for different compliance criteria, in 2011
the concept of Core and Development Criteria was introduced to the Fairtrade Standards for Small Producer Organizations (SPO) and Contract Production (CP).
Core criteria are handled by a “black/white approach” the operator can either be compliant or non-compliant with a core criterion. For the development criteria the
evaluation approach is different: Five performance ranks are developed by FLO-CERT for each of the development criteria and the compliance of the operator is
measured based on the average score which is achieved throughout all the development criteria.
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3.3 What is the Quality Management System?
Our Quality Management System (QMS) is guided by our vision, mission and guiding principles. We believe that the best way to make sure our guiding principles of
Capability, Consistency, Efficiency and Transparency are reflected in our work is by describing our responsibilities in our QMS. The ongoing improvement of our
Quality Management System also draws from external feedback about our certification system. In this way, our QMS is a comprehensive planning, management and
steering tool for the continuous improvement of our processes and services.
The requirements of ISO 65 (EN 45011) are directly integrated into our processes. The certification process is described in our FLO-CERT workflow engine. This
means that procedures must be followed systematically.
The Quality Management System is applied throughout the entire company which includes the external offices in Costa Rica/San José, South Africa/Cape Town and
India/Bangalore.
3.3.1
Document and Record Control
In making sure that all team members know what is expected of them and in order to ensure that everyone always has access to the latest, properly approved
version of a document, we set up a procedure that defines the processes, requirements and responsibilities for document control of FLO-CERT’s Quality
Management System. More details on document control can be found in the QM DocumentControl SOP.
Records relate to information we have gathered and generated during the course of the certification process relating to a specific operator. FLO-CERT safeguards
all Operator Records in its certification software Ecert. In order to ensure that we can always easily find any relevant operator specific information, the ways in which
we deal with records is also described and controlled in the QM RecordCode ED and the QM Filing&Archiving SOP.
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3.3.2
Document Structure and Purpose of QM documents
If the office is on fire and only one box can be saved, then it should be the one with all QM documents, since they aim at standardising the work within FLO-CERT
and describe how FLO-CERT works in detail. Furthermore they are supposed to provide any template needed in the daily work life.
Documentation hierarchy at FLO-CERT can be seen in the following diagram:
1.
Quality
Policy
Quality Manual
2.
3.
Standard Operating
Procedures (SOPs)
4.
Work Instructions (WIs), Explanatory
Documents (EDs)
5.
Forms (FOs)
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Quality Policy
Contains the main principles in managing the
Quality Management System of FLO-CERT
Quality Manual
Outlines the general description of FLO-CERT’s
structure, our Quality Management System,
certification scope and process, mission and
vision as required by ISO 65.
Standard Operating Procedures
Describe main processes and rules of our
certification and management system. Normally,
they explain a complex process that can consist
of more than one work flow and contain rules
related to the described process.
Work Instructions and Explanatory
Documents
Provide more detailed information on how to
perform tasks outlined in SOPs; used to describe
general rules to be applied to a process; other
written guidelines.
Forms
QM documents specially designed for the needs
of FLO-CERT which serve to collect information
on various processes.
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3.3.3
QMS Non-conformities
QMS non-conformities are defined as non-compliances against ISO Guide 65 and FLO-CERT implemented rules and procedures detected in our Internal Audits
(Section 3.3.4), External Audits (Section 3.4), during Quality Checks (Section 3.3.5), as well as identified during handling of Appeals, Reviews, Complaints and
Allegations (Section 3.3.6). The QMR is responsible to follow up on the implementation of the necessary corrective measures as defined in the respective
procedures. She is also in charge to check the effectiveness of their implementation during internal audits. Further the Quality Improvement System (QIS) as
implemented at FLO-CERT provides a useful and proven tool to monitor effectiveness of implemented rules and procedures taking advantage of the contribution of
all staff members (see description in QM IntroManual ED - Section 2).
3.3.4
Internal Audits
Internal Audits are performed systematically on all areas of FLO-CERT operation at least once per year in the headoffice in Bonn. The external offices in Costa
Rica/San José, South Africa/Cape Town and India/Bangalore shall be audited at least once in a 5-year certification cycle. The aim of the internal audits is to
determine whether the Quality Management System conforms to the planned arrangements, to the requirement of ISO 65 and to the Quality Management System
requirements established by FLO-CERT and whether the system is effectively implemented and maintained. This is a very constructive process and always leads to
a development of our processes. If deviations from procedures are detected, they are addressed and actions that need to be taken are followed up, leading to
improvements. The results of Internal Audits are communicated to the senior management team.
For more information please see the QM InternalAudit SOP which is based on the provisions of ISO 19011:2002.
3.3.5
Quality Checks
Furthermore, quality checks on the correct following of the certification process are performed by the QMR at least twice per year. The quality control checks
performed at FLO-CERT are described in QM QualityChecks WI.
3.3.6
Appeals, Reviews, Complaints and Allegations
FLO-CERT welcomes feedback about operators’ experiences with Fairtrade Certification or the opinions of other parties about the handling of certification or any
other related matters. All appeals, review requests allegations and complaints submitted to FLO-CERT are investigated by the Quality Management Team




A complaint describes the situation of an operator expressing its dissatisfaction with the services of FLO-CERT.
In case of an allegation an operator, customer or any other party reports on another Fairtrade operator who does not comply with the Fairtrade Standards.
An appeal occurs when an operator does not agree with a certification decision FLO-CERT took and wants to fight it. When the operator hands in an appeal,
the case will be handed over to the Appeals Committee coordinated by the QMR.
A review request can be handed in when an operator questions an evaluation decision related to detected non-conformities, suggested corrective
measures and/or objective evidence. In this case the Review Committee will be convened.
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In order to ensure objectivity, we guarantee that all relevant information is gathered and analyzed by staff members that were not involved in the case. The
resolution of all appeals, review requests, allegations and complaints are subject to the following standard operating procedures: QM Appeal&Review SOP, QM
Allegation SOP and QM Complaints SOP
The mentioned above SOPs can be found on the FLO-CERT website http://www.flo-cert.net/flo-cert/41.html?&L=0
3.3.7
Management Reviews
The purpose of a Management Review is to ensure the continuing stability, adequacy and effectiveness of the organization’s Quality Management System. This
means that once per year our goals are evaluated against our performance, results of Internal Audits are considered, complaints against our services are
investigated and the general state of company affairs are evaluated. Findings of such Management Reviews are reported to the senior management team in
accordance with QM ManagementReview SOP.
3.3.8
Confidentiality
We treat all operator specific information as confidential and only release this information when forced to do so by a Court of Law or only after obtaining the consent
of the operator concerned. When signing the certification contract, operators are asked for their “consent to release”. Because operators understand that
transparency is crucial to the Fairtrade system, most operators agree to the release of some information. The “consent to release” allows FLO-CERT to publish the
operator information on the internal pages, which are used by producers and traders to identify suitable business partners. If an operator signs the consent to
release declaration its data can be handed over to LIs and FLO.
FLO-CERT actively controls that confidentiality regulations are adhered to and acts when confidentiality is breached. Further details on these regulations can be
found in the QM Confidentiality SOP.
3.3.9
Certificate Control
Unfortunately it sometimes happens that members of the public make false claims relating to their status of certification. In order to protect the product of our
certification system (the certificate) and the value it has for operators, we control the misuse of FLO-CERT certificates.
3.3.10 Publications
In order to provide a more accessible service to our clients and to inform the public as much as possible, FLO-CERT publishes the following documents on its
website:



All information contained in this Quality Manual,
Lists of all Certified Operators,
All relevant information relating to our Certification System including information about the certification process, fees and many more.
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3.4 What is ISO 65 accreditation?
ISO 65 (EN 45011) is the leading internationally accepted norm for certification bodies operating a product certification system. It is accepted all over the world as
the strongest indicator that a certification body is competent. FLO-CERT follows the ISO 65 norm in all certification operations.
Since 2007 FLO-CERT is accredited against ISO 65 by an external organisation: first by DGA (German Association for Accreditation) and after a new law on
st
accreditation came into force on 1 January 2010 by DAkkS (German National Accreditation Body).
In the beginning of 2012 FLO-CERT achieved re-accreditation meaning a new 5-year certificate by DAkkS was issued. This certificate does not only cover the Bonn
Headquarters but also includes the external offices in Costa Rica/San José, South Africa/Cape Town and India/Bangalore.
Regular audits in all of the FLO-CERT offices and witness audits of our Fairtrade audits by DAkkS auditors guarantee FLO-CERT’s compliance with ISO 65/EN
45011.
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QM QualityManual ED
Quality Policy
The Quality Policy of FLO-CERT GmbH provides a framework for establishing and reviewing our quality goals. It is based on the guiding principles of Capability,
Consistency, Efficiency and Transparency incorporated in the following key areas:
CLIENTS:



Ensure that our customers can rely on certification decisions that are free of influence, transparent, consistent, comparable and correct;
Keep our client’s interests close to our management decisions, especially to the ones related to fee systems;
Place significant emphasis on the way in which we communicate, fostering a transparent dialogue with our clients all over the world.
HUMAN RESOURCES:



All our colleagues are suitably qualified and trained on rules and procedures relevant to their work throughout the year;
Employ qualified employees to perform all necessary functions while planning for growth in advance;
Rely on auditors who are carefully chosen according to best practice criteria.
WORKING ENVIRONMENT & COMMUNITY:
•
Provide and maintain suitable working environment for our staff, indirectly influencing the positive development of our society.
PARTNERS:
•
Engage actively with the Fairtrade Labelling Community, assisting in the growth of markets for Certified Fairtrade products.
FLO-CERT Senior Management Team is committed to:
•
•
•
Communicate the Quality Policy within the company and ensure that it has been understood;
Evaluate all our processes periodically and learn from detected inconsistencies in order to guarantee the continuous improvement of the
effectiveness of our quality system;
Periodically revise and update the quality policy for its continuous suitability and relevance with our quality goals.
01.02.2010
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Technical Services Director: .................................. /Frank Brinkschneider
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QM QualityManual ED
4 Change History:
Version
Author / Reviser
Date approved
Changes
48
I. Markova
25.03.2010
Quality policy revised; mission and vision added; Appeals, Reviews, Complaints and Allegations processes
included; scope of certification added; organisational chart included; document structure revised; history of FT
Certification included; Supervisory board; numbering amended
49
I. Markova
10.09.2010
Amendments in section 2.6.2 The Team; FLO-CERT Purpose added in Section 2.1; Section 3.3.3 QMS Nonconformities new.
50
K. Mercier
15.12.2010
QM document names corrected (e.g. GD replaced with ED); Section 3.2.1 amended: no more connection
between certification cycle (3 years) and validity period of certificate (4 years)
51
A. Zschocke
26.01.2011
Colombia taken out as a region
52
K. Mercier
14.09.2011
Update of organisational charts of FLO-CERT and FLO; terminology revised according to QM FTGlossary ED;
concept of performance ranks introduced; Management Review conducted once per year; Quality Checks
conducted twice per year; surveillance audits can be skipped according to risk classification; section 2.4.2 on
funding added; external offices included
53
C. Camen
10.02.2012
Update of organizational charts of FLO-CERT and FLO
54
K. Mercier
12.09.2012
Section 1.2.2: Terms Fairtrade Standards and Fairtrade Product Standards implemented; SCORE implemented in
the Fairtrade Standards for Contract Production / Section 1.3.2: Mixed Structure set up deleted / Section 2.1:
updated according to latest vision and mission / Section 2.2: quality goals equivalent to strategic goals of FLOCERT / Section 2.3: list of FLO members updated / Section 2.4.3: Organisational chart and table with CERT
regions updated / Section 2.5.4: description of Certification Committee deleted / Section 3.1: surveillance
approach updated / Section 3.2.3: CP added to SCORE model / Section 3.3.6: responsibility for allegations
management with Assistant to the Director of Operations / Section 3.4: new section on accreditation added.
55
R.
Trevino/M.Seifert
10.10.2013
Term Labelling Initiatives replaced by “National Fairtrade Organizations”
2.4 FLO-Cert Set up updated by new Organizational chart and new New Business Development Department
added
2.3.2 Fairtrade Chart updated
2.5.1 and 2.6.2 Team updated by Business Development Department
3.3.4 Internal audit cycles in external offices modified
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