1. Module 2A MANAGING THE ASSESSMENT PROCESS

2. Objectives Plan Do Review
This training is designed to take you through the Red Tractor Assessment Process and provide you with some Hints and Tips to help the process go smoothly.
Plan
Booking and Planning the Assessment
Biosecurity Do
Opening Meeting
Assessment (understanding farm systems and procedures and farm tour to validate and check standards on the day)
Review
Review Time - (look at notes and determine non-conformances)
Closing meeting
Next Steps

3. The Assessment Process
Check last assessment date
Book the assessment
Pre Assessment Preparation (e.g. changes to the holding etc. since the last assessment
Review last assessment – non conformances and corrective actions

4. The Assessment Process
Opening Meeting
Understand farm systems and procedures
Farm Tour – validate systems and assess Standards on the day
Review Period – look at notes and determine any non conformances

5. The Assessment Process
Closing Meeting
Provide farmer with a record of non conformances
Advise farmer of next steps

6. PREPARATION AND BOOKING THE ASSESSMENT
PLANNING & PREPARATION
PREPARATION AND BOOKING THE ASSESSMENT

7. RED TRACTOR SCHEME RULES
The current Red Tractor farm assessment frequency requirements are:
Fresh Produce and Crops
Annual*
Intensive Livestock
Other Livestock
18 months (maximum)
On a mixed enterprise holding assessors should try to arrange to complete an integrated assessment for different schemes. The Certification Body should be able to manage this so that the above assessment frequency applies
*Annual means that the assessment must be within the membership year but can be a maximum of 18 months from the last assessment.

8. RED TRACTOR SCHEME RULES
Red Tractor are moving to some new rules for Poultry, Pigs, Crops and Fresh Produce. Assessors will be guided by their Certification Body when the new rules take effect:
Poultry & Pigs:
An assessment must be completed once in every membership year with a maximum of 14 months between assessments.
Combinable Crops & Sugar Beet:
An assessment must be completed once in every membership year but in a 2 year period one assessment must be after harvest when the store(s) are likely to be in use and one must be in the pre-harvest period. There must not be a period longer than 14 months between assessments.

9. RED TRACTOR SCHEME RULES
Fresh Produce:
An assessment must be completed once in every membership year with a maximum of 14 months between assessments.
In addition:
Category 1 High Risk Crops – one assessment every 2 years must be carried out at harvest/in-field packing
Category 2 – Medium Risk Crops – one assessment every 3 years must be carried out at during in-field packing /when there is packhouse activity
Category 3 – Low Risk Crops – one assessment every 3 years must be carried out at when product is in store/in packhouse

10. BOOKING THE ASSESSMENT
Certification Bodies should provide you with:
A list of assessments required in a particular region
Details on the scope of the assessment (i.e. species/products)
The date of the last assessment in order to avoid overdue assessments (maximum frequency as indicated per scheme)
You need to agree a date and time with the farmer for the assessment to take place

11. BOOKING THE ASSESSMENT
Appointment time:
It is sensible to plan for potential delays by arranging /agreeing
to arrive within a sensible “time slot” e.g. 14:00 – 14:30
When booking, check with the farmer:
Which staff will be there on the day and what their roles are
Inform the farmer that you are keen to talk to some of their staff during the day to understand how they undertake their tasks
Livestock Schemes - check livestock will be present
Produce Scheme - check what activity will be seen on the day, harvesting ? packing ? etc.
Check whether the farmer has any appointments or activities that you need to work around on the day

12. PLANNING & PREPARATION
BIOSECURITY

13. PLANNING THE ASSESSMENT - BIOSECURITY
It is essential for assessors to maintain high standards of biosecurity. For any planned assessment you must:
Consider what other farms you are planning to visit that day or have visited in the previous few days?
Consider whether the farm has any specific biosecurity measures in place that you need to adhere to (e.g. some pig units have strict rules on ‘pig-free’ days prior to a visit)
Check how many farms can be visited in one day (if the farm is part of an integrator (group owned supply), check their policy)

14. PLANNING THE ASSESSMENT - BIOSECURITY
Ensure your car is kept clean at all times
Check if the farm you are visiting requires
you to disinfect your car at the farm
entrance (entry/exit)
It is essential that potential contamination is not transferred from one farm to another
Details of all farms visited should be recorded
Where a visitor book is in place you must sign in and out

15. DISINFECTANTS
RT assessors must use approved disinfectants for C&D’ing their boots, clothing and vehicles (as outlined in the previous slides).
It’s also important that the disinfectant you use is:
Approved for use at General Orders rates
Approved for the control of relevant diseases
(i.e. pigs – Swine Vesicular Disease & F&M; Cattle & Sheep F&M and TB, Poultry, AI)
Diluted to meet the General Orders Rates
Visit the Defra website
to check if your disinfectant is suitable

16. DAIRY, BEEF & LAMB

17. BIOSECURITY: DAIRY, BEEF & LAMB
Red Tractor Guidance for Assessors
More than 1 farm can be visited on the same day
Cars should not be driven near to livestock
Waterproof disinfectable trousers & wellies must be worn during the farm assessment and be thoroughly disinfected at the end of the visit
In winter, waterproof disinfectable jackets must also be worn when in close contact with housed animals and must also be disinfected at the end of a visit

18. BIOSECURITY: POULTRY FARMS & HATCHERY

19. BIOSECURITY: POULTRY FARMS & HATCHERY
Arrival & Changing Procedure
Park car on concrete surface (where provided)
Swing legs from car & put on disposable plastic over-boots (supply kept in car) before shoes touch the ground i.e. not worn in car
Head for farm changing room
Wash hands as directed and put on the
protective clothing required by farm
Put on wellies (leaving shoes in over-boots)

20. BIOSECURITY: POULTRY FARMS & HATCHERY
Poultry Sheds and Departure
When entering each poultry shed there will be a barrier footwear system such as this where you will be required to change your wellies:

21. BIOSECURITY: POULTRY FARMS & HATCHERY
Poultry Sheds and Departure
At the end of the visit return to the changing room, wash hands as directed and remove protective clothing and wellies
Put on shoes with the over-boots still in place (or put fresh ones on) before stepping on the farm grounds
Return to car and remove over-boots, place in disposable bag and bin off-farm

22. BIOSECURITY: PIGS

23. BIOSECURITY: PIGS Red Tractor Guidance for Assessors
You should not visit more than one pig farm a day, however if the farm is part of an integrator (group owned supply), check their policy
You should not live on a farm which has any pigs present
If you do have pigs on your farm or live in close proximity to a pig unit make sure you have no direct contact with the pigs or any other potential contaminants for the required pig free period

24. BIOSECURITY: PIGS Red Tractor Guidance for Assessors
You may wish to observe a pig free period before coming into contact with your own stock
If your car has come into contact with any potential contaminants ensure you disinfect the wheels as you leave

25. BIOSECURITY: PIGS When you book your assessment check:
how many days you need to be ‘pig-free’ before visiting the unit. Most farms will request that you are ‘pig-free’ for three nights before visiting
if you are visiting any other farmers to perform assessments in other sectors ensure they have no pigs present on farm
if you inadvertently visit a farm which has pigs present and compromise your pig-free period you must cancel the up and coming assessment
if the farmer has additional biosecurity requirements and ensure you follow them
where you should park your car when you arrive

26. BIOSECURITY: PIGS
Take disposable overalls and wellies with you and wear them, or those provided by the farmer, for all ‘on-farm’ elements of the assessment
Carry a supply of disinfectant in your car and dip your wellies in the disinfectant solution before starting the assessment
Use any foot dips present on the farm as you conduct your assessment
If suitable facilities are present on farm clean your wellies and dip them in disinfectant before placing them back in your car

27. PRE–ASSESSMENT HOMEWORK
PLAN
PRE–ASSESSMENT HOMEWORK

28. PRE ASSESSMENT HOMEWORK
You must:
Review the farm history – have their been
any prosecutions reported to your Certification Body
Familiarise yourself with whether any changes to the holding have been made since the last assessment, any new land or facilities
Determine whether the farm has joined any new schemes since the last assessment
Determine if any non-conformances were identified during the previous assessment and if so what corrective action was taken

29. BEFORE YOU SET OFF CHECKLIST OF WHAT YOU MAY NEED FOR THE ASSESSMENT:
History of farm
Directions to farm (check if postcode
provided will get you there, if using a
satnav)
Blank paper for notes during farm tour
Copy of the Red Tractor Standards (including checklist which is useful during paperwork review)

30. BEFORE YOU SET OFF CHECKLIST OF WHAT YOU MAY NEED FOR THE ASSESSMENT:
Copies of any crop specific protocols you may
need (Fresh Produce)
List of previous non-conformances (if any)
Pens (including highlighter pen)
Calculator
Sector specific equipment e.g. tape measures
Protective clothing for biosecurity where applicable
A positive attitude, sense of humour
and an open mind!

31. GETTING OFF ON THE RIGHT FOOT & YOUR SECURITY !
You may be conducting other assessments in the area during the same day.
Plan your route - If you are not familiar with the
area, plan your route and travel time carefully
Be on time - Farmers are busy people with set times of
day that tasks need to be completed (e.g. milking) so try to avoid being more than a few minutes late for your appointment
If you are late - Stop and phone the farmer and tell them as poor manners could start the assessment off on a bad footing and get in the way of effective communication with the farmer
Your security - Ensure you have a well charged mobile phone with you and always park reversing into a spot

32. DO
THE OPENING MEETING

33. THE OPENING MEETING Explain: The objective and scope of the assessment
That for certification you need to establish whether the farm conforms to the Red Tractor standards
That you would like to speak to staff during the course of the day and see evidence that systems are in place and in operation e.g. equipment used, records maintained, procedures etc.

34. THE OPENING MEETING Explain:
That when you speak to staff you will be looking to see whether they have been trained and can demonstrate their competence
That questions you will be asking are not to “catch anyone out” but to confirm practises or staff understanding of systems or training etc.
That you will probably need minutes quiet time following the assessment phase, to review your notes and formalise any non-conformances identified

35. THE OPENING MEETING Establish:
Whether the farmer has a copy of the Red Tractor standards to hand that they can refer to easily during the course of the assessment (including any Fresh Produce crop specific protocols that may be relevant)
The agenda/timeframe for the assessment (do key staff only work part time or need to leave at a certain time etc)
Whether the farmer has any appointments or activities
that you need to work around on the day

36. THE OPENING MEETING Reassure:
The farmer that they can ask questions at any
time throughout the assessment, their understanding
throughout is important/critical
That you will point out any non-conformances during the
course of the assessment together with an explanation
of why it is a non conformance and any potential implications
That non-conformances will be written out and explained to the farmer at the closing meeting at the end of the assessment
That non-conformances do have to be raised and documented even if they are corrected before you leave  

37. THE OPENING MEETING Explain:
That Red Tractor would like you to record non-conformances against recommendations in the standards as Red Tractor use the data as a soft approach to introducing a standard, the data is used to establish conformance rates before the standard is introduced and does not affect certification
That under the Red Tractor scheme rules the assessment is considered confidential, and you will only disclose your findings to your Certification Body or Red Tractor (if further clarification is required)
That you will have a closing meeting with the farmer before leaving where you will go through any non-conformances and explain what happens next

38. Ensuring Farmer Understanding
ALWAYS CHECK THE FARMER FULLY UNDERSTANDS THE PROCESS AND IS HAPPY FOR YOU TO PROCEED WITH THE ASSESSMENT BEFORE PROCEEDING

39. THIS WILL BE COVERED IN MODULE 2B
THE ASSESSMENT
THIS WILL BE COVERED IN MODULE 2B

40. REVIEW AND PREPARE FOR THE CLOSING MEETING
CLOSING THE MEETING
REVIEW AND PREPARE FOR THE CLOSING MEETING

41. CLOSING MEETING - PREPARE
Review your notes: Once the farm tour and paperwork review have been completed, you should take some time to review your notes
Standards clauses: You need to establish the exact clause that any of the non conformances you may have identified are linked to
Repeat non–conformances: You need to check to make sure that non-conformances have not been repeated from a previous assessment – this is a possible suspension
Certification impact: If any of the non-conformances would on their own affect the certification (e.g. majors on Key clauses will result in suspension) this must have been highlighted and explained to the farmer at the time

42. CLOSING MEETING - PREPARE
Written non–conformances: The non-conformances must be written/ printed out (depending on the Certification Bodies systems) in preparation for the closing meeting
Standards Clauses: Each non-conformance must include the clause number from the standard and the category of non-conformance (minor/major)
Remember, all non-conformances noted during the farm tour and paperwork review should have been highlighted to the farmer during the course of the assessment
As a rule, there should be no surprises/shocks during the closing meeting!

43. CLOSING MEETING POSSIBLE ISSUES/SUSPENSION
If during the review of your notes you identify:
The severity of a non-conformance is a major and it was not explained to the farmer during the assessment, or:
The number of non-conformances is excessive and this was not identified / explained during the assessment.
When you get to the closing meeting, you must:
Explain to the farmer what has occurred and apologise
Continue to award the non-conformances correctly to protect the integrity of the scheme
If you conclude that the farmer should be suspended:
‘Ideally’ contact must be made with the Certification
Manager to advise them and seek their agreement before communicating it to the farmer

44. CLOSING MEETING General See table on next slide
Thank the farmer/host for their time & hospitality
Provide the farmer with the written list of non-conformances
Explain the non- conformances and any possible impact on certification
See table on next slide

45. RED TRACTOR SCHEME RULES
Non Conformance (NC)
Assessment
Outcome
If Farm Conforms
If Majors NC Found
If Minor NC Found
Key Clause
Certified
Certificate suspended until rectified
Certificate not suspended but must be rectified **
Other Clauses
Non conformance issued
Non conformance issued**
Recommendations
(R)
Some points in the standard are marked as “R”. The are not requirements and failure to comply will not effect certification. They may become requirements after future updates to the standard.

46. CLOSING MEETING – GENERAL
Signature of Receipt & Understanding: Ask the farmer for their signature confirming receipt and understanding of the non conformances. The signature should be on the written list of non-conformances Certification – No Non-Conformances: If no non conformances were found, explain to the farmer that your assessment report will be submitted to the Certification Body Certification Manager and they will make the final decision as to whether the farm will be certified Certification – Non-conformances: Explain that the Certification Body Certification Manager will require evidence that the non-conformances have been corrected in order to maintain certification and that this needs to be completed in the next 28 days maximum NB 1: Explain certification is suspended if non-conformances are not corrected within the specified timeframes NB 2 : With the exception of Dairy, new members have up to three months to correct non-conformances. New Dairy members have 28 days

47. CLOSING MEETING – GENERAL
Guidance:
Provide the farmer with some guidance on the type of evidence they can give for non-conformance closure e.g.
Invoices for work to be undertaken
Photos of work completed (before & after are
ideal to show what has been done)
New record sheets implemented
New working procedures produced
Veterinarian report
Explain that the evidence will generally be needed within 28 days
Time Extensions:
Advise the farmer that if they require an extension on the timeframe for correcting non-conformances (e.g. for complex building work) then they must get in contact with the Certification Body and agree this ASAP

48. CLOSING MEETING – SUSPENSION
The process as outlined must be followed, however if the decision is suspension:
You must ensure that the farmer understands the implications e.g. Red Tractor logo stickers are not to be used during this period and livestock / product cannot be claimed to be assured.
You must ensure that the farmer understands that the Certification Body has an appeals process if they are not happy
NB : You can expect that the farmer will be concerned and possibly agitated by the outcome and therefore it is important to remain calm and polite

49. ENSURING FARMER UNDERSTANDING
ALWAYS CHECK THE FARMER FULLY UNDERSTANDS THE PROCESS BEFORE LEAVING

50. REPORT WRITING & CERTIFICATION PROCESS
The assessor must provide their Certification Body Certification Manager with a formal report for each farm assessment that:
- Is accurate and legible (if handwritten)
- Includes the objective evidence – the facts/audit trail information collected during the assessment e.g. dates/codes/names of pesticides, feed etc. medicines in use, names of individuals whose training documents were reviewed etc.
The assessor must provide their Certification Body Certification Manager with the non-conformance report (if any identified) signed by the assessor & farmer

51. REPORT WRITING & CERTIFICATION PROCESS
Assessment Report timings
No non- conformances found:
The assessor must ensure that the assessment report is forwarded to the Certification Body Certification Manager within fourteen days of the assessment.
Minor non-conformances found:
The assessor must ensure that the non conformances are fed into the Red Tractor database within five working days of the assessment and that the assessment report is forwarded to the Certification Body Certification Manager within fourteen days of the assessment.

52. REPORT WRITING & CERTIFICATION PROCESS
Assessment Report timings
Major non- conformances (Suspension) found:
The assessor should have communicated with the Certification Body Certification Manager prior to the closure meeting but if this was not possible, then contact must be made immediately on leaving the site to communicate the suspension of membership.
The non-conformances must be fed into the RTA database within two working days of the assessment and the assessment report forwarded to the Certification Body Certification Manager within two working days of the assessment.

53. FINAL POINT
If you have seen anything during the assessment that has made you feel uneasy / could have a reputational impact on Red Tractor and your Certification Body, e.g. poor animal welfare, you MUST inform your Certification Body as soon as you leave site