7. Procedures for Evaluating Inspection Plans

7.1 Audit Notice

The Accreditation Committee shall send the certifying body the information, documentation and instructions needed to conduct evaluation visits, as well as an estimate of expenses pertaining to this visit. The names of the evaluators assigned must also be communicated to the body, who may, with serious motives, object to the assignment of any evaluator mentioned. In light of the reasons stated by the body, the Accreditation Committee may either appoint another evaluator or retain the one initially selected.

7.2 Visits to Certifying Body's Office

7.2.1 Every visit shall begin with an opening meeting with the certifying body's managers, in order to define the scope of the assessment, explain the audit's objectives regarding accreditation criteria and to announce the work schedule.

7.2.2 Following the opening meeting, the evaluator shall meet managers and employees so as to conduct the necessary interviews.

7.2.3 The evaluator shall rigorously examine a sample of the certifying body’s certification files. Examining all files ensures that:

1. The documentation found in a case file (i.e. signed contracts, updated production/preparation plans, inspection reports, decision sheets and other correspondence, copies of certificates, etc.) are complete and up-to-date.
2. The inspection reports include a sufficient amount of information needed to make a decision on certification.
3. The decision made by the certifying body is congruous with the evaluation of the production/preparation plan as submitted by the applicant and the report resulting from inspection visits to operation sites.
4. The certifying body has monitored the implementation of all necessary corrective measures that it requested from each operator having products certified.

The evaluator shall base the quantity and choice of files examined on the following sampling rules:

1. In the event of an initial accreditation application, the evaluator must carry out an in-depth verification of 10% of all certification files (no fewer than 10 files and up to a maximum of 50 files) selected at random, according to the category of operations being carried out by the enterprises that joined the body’s certification program, or a number corresponding to all operators registered with the certifier, whichever of the two numbers is smaller.
2. In the event of an accreditation renewal application, the evaluator must examine a smaller number of files, proportionate to the total number of operators registered with the certifying body concerned, and based on the formula shown below:

Number of companies registered with the body, with respect to the requested accreditation scope	Minimum Required on Pro Rata Basis	Total Result
240 or less	5% of files or minimum of 10	Between 10 and 12 files, according to actual number of files
400 or less	5% of first 240 files 2.5% of additional files	Between 12 and 16 files, depending on the actual number of files
1000 or less	4% of the first 400 files 2% of additional files>	Between 16 and 28 files according to the actual number of files
More than 1000	2.8% of first 1000 files 1% of additional files	At least 28 files, with one (1) more file for each additional 100 firms

Note: Decimal numbers are to be rounded up to the nearest whole number.

At least two thirds (2/3) of the files included in the sample must be randomly selected, with consideration given to the various categories of operations being carried out by the enterprises registered with the certifying body. The remaining third (1/3) may include files targeted in advance, at the discretion of the evaluator. The batch of targeted files may include files for companies based outside of Québec, when the company’s products are being sold within Québec. If the number of targeted files exceeds one third (1/3) of the targeted sample, the total number of files examined by the evaluator may then exceed the number of required files, based on the above-mentioned sampling rules.

7.2.4 The evaluator shall verify the competence of a significant number of personnel involved in certifying agricultural and food products, within the framework of the positions they occupy. To do so, the evaluator must both scan these employees' personnel files and conduct interviews with some of them.

7.2.5 The evaluator shall conclude the visit with an exit meeting, during which he shall provide those responsible for the certifying body with a general opinion about the state of the body's program and describe the identified deviations.

7.3 Visits to Operators Licensed by Certifying Body

7.3.1 The evaluator shall select a certain number (between 3 and 10) of the body's certification files in order to make on-site inspections of the enterprises involved regarding their compliance. The exact number of visits is determined by the evaluator and is based on the total number of certification files and a representative sample of the types of enterprises licensed by the program. The chosen sampling method is left up to the evaluator.

7.3.2 Following an in-depth review of the selected files (the evaluator may request to see records from previous years), the evaluator shall visit the premises of the selected enterprises and conduct a post-audit inspection to verify the information appearing in the file. The purpose of this visit is not to "re-inspect the enterprise" for the purposes of a certification decision, but rather to make sure that the certification process and also control measures regarding this specific case are carried out in compliance with requirements.

7.3.3 The evaluator shall verify, among other matters, that:

1. The operator has a copy of the certifying body's requirements on hand, including the specific standards to be respected, as well as any requests for corrective measures submitted to the operator by the body;
2. The production plan for this type of designation is available;
3. The inspection report adequately describes the production system;
4. The inspection process was able to reveal points of non-compliance with standards specifications.

7.3.4 The evaluator shall also witness an inspection of an operation site in at least one licensed enterprise per certifier.

7.4 Evaluation Report

7.4.1 Once the evaluation visit has been completed, the evaluator shall write a preliminary report. This evaluation report includes, among others:

1. A brief history of the certifying body;
2. An evaluation of the certification program's independence from other activities conducted by the applicant;
3. An evaluation of the compliance with the certification program's standards regarding universal reference standards;
4. A summary report on the evaluation visit, including the people met, the enterprises visited and the observations noted;
5. All instances of non-compliance identified by the evaluator;
6. A summary of the evaluator's main conclusions and recommendations.

7.4.2 The evaluator shall submit a draft evaluation report to the body that has applied for certification. The certifier is thus invited to comment on the report's content and verify its accuracy. Comments and requests for modifications sent by the certifier must be included in the report. If there are any divergences in opinion regarding comments and requests made, explanations shall be provided in the report. The final report is transmitted to the certifying body by the CARTV.

7.5 Using Other Organizations to Conduct On-Site Evaluations

7.5.1 The Accreditation Committee may entrust another organization to carry out, on its behalf, an on-site evaluation visit to a certifying body registered in its accreditation program. In this case, the Board shall sign a subcontracting agreement with the aforementioned organization, stipulating the evaluation plan to be followed and, before proceeding, shall obtain the approval of the certifying body to be visited.

7.5.2 In order to complete its own evaluation, the Accreditation Committee may obtain a copy of the evaluation report drafted for another accreditation body pertaining to the scope of the requested accreditation, under the condition that this report is about an on-site evaluation visit that took place within the last 12 months.

7.5.3 Any organization that the Accreditation Committee turns to in order to complete an evaluation must operate an accreditation program that complies with ISO/IEC 17011:2004, as determined by the Board or any other recognized organization.

7.6 Evaluation Report Requirements

7.6.1 An evaluation report on inspection plans must be made available to members of the Accreditation Committee.

7.6.2 Upon receipt, the Accreditation Committee shall review the report in order to validate any instances of non-compliance regarding the program's accreditation criteria (Section 3), and any discrepancies between the certification program's documentation and its current application.

7.6.3 Following this stage, the Accreditation Committee shall determine which corrective measures should be imposed upon the applicant. Upon submitting the body's action plan, the committee also shall make recommendations to the Board regarding the accreditation status to be decided, in the case of a body applying for initial accreditation or renewal.