Handling Organic System Plan

Please complete this form in its entirety if you are a new applicant or if you are renewing your certification. Sign this form and attach a current schematic product flow chart and facility map for each facility that will be involved in the handling of organic products as a result of this application. Use additional sheets if necessary. Mark any sections that do not apply to your operation as “Not Applicable”. Please note that if any process(es) other than simple labeling/re-packaging is taking place, an OCIA Processing Organic System Plan must be completed instead of this form.

**Program-specific questions noted in BOLD and boxed must be completed if certification to that program is being requested (otherwise leave blank)**

SECTION 1: General Information
Operator Name: / Operator Number:
Operation Name:
Secondary Contact Person’s Name (if applicable):
PHYSICAL INSPECTION LOCATION INFORMATION / OPERATION’S CONTACT INFORMATION
Same information as inspection location
Address: / Address:
City: / State/Province: / City: / State/Province:
Zip/Postal Code: / Country: / Zip/Postal Code: / Country:
Phone 1: / Phone 2: / Phone 1: / Phone 2:
Cell: / Fax: / Cell: / Fax:
E-mail Address: / E-mail Address:
Web Site: / Web Site:
Please provide directions to the inspection location(s) and indicate when you are available to contact.
Name of person overseeing the organic production (if different than applicant):
1. Please list previous organic certification applications to other agencies (name, year(s) of application, outcome of application). / 2. Please list current organic certification by other agencies*
If you are transferring to OCIA from another certification agency, have you ever been denied certification, received a Notice of Noncompliance, had your certification proposed for suspension or revocation, or had your certification suspended or revoked?
Yes No Not applicable
If yes, provide a copy of each notice of denial, Notice of Noncompliance, proposal for suspension or revocation, or suspension or revocation and attach documentation of the corrective actions taken in response.
Check ALL the programs for which you are requesting certification and/or verification. Apply for all programs you may need (and answer all applicable questions) so that your inspection specifically covers each program being requested and the inspector addresses the necessary questions. Certification/verification to any program not requested now cannot be granted at a later date (after the initial inspection) without an additional inspection.
Certification Programs:
National Organic Program (NOP)(not available in Canada) OCIA Standards Québec
Canadian Organic Regime (COR)(not available in the US)
Japan Agricultural Standard (JAS)**
Verification Programs:
EC (EU)* Bio-Suisse** Swiss Ordinance
*Not applicable if located in Canada due to the CAN-EU Equivalence Arrangement.
**Requires the submission of additional documents. Please contact the OCIA Regional Office for the appropriate forms.
Equivalency Programs:
US-CAN Equivalence Arrangement
NOP with JAS Equivalency (only available in the US)
3. Do you have a copy of the current standards for all programs for which you are applying? Yes No / 4. Do you understand the current organic standards for each program for which you are applying? Yes No
5. Status of operation:
100% Organic to each requested program
Mixed handling (org/non-organic—different products &/or programs)
Parallel handling (org/non-org—same products) / Estimated annual total handling:
% organic % non-organic
6. Please briefly describe your over-all operation (indicate whether actual possession of products is taken).
7. List or attach a list of all organic products (general types only) that your company wishes to be certified to handle:
8. List or attach a list of all non-organic products (general types only) handled by your company that are also handled in organic form and for which you are being certified to handle:
9. Please identify any Local, State, Provincial, Federal, or Third Party certifications that you have or inspections that have occurred at your operation, including any certificates or inspections from Local, State, Provincial, or Federal Health Departments:
10. Please describe how you verify the organic status of the organic products being handled and the documentation that is maintained.
Program Specific Questions:
*OCIA STANDARDS Please submit a copy of the certificate/certification letter and documentation indicating any issues that were noted as needing correction (requirements) from the agency(ies) other than OCIA that you were certified by last year
SECTION 2: Description of Measures Taken to Meet Minor Non-compliances
Failure to address previous Minor Non-compliances could result in loss of certification. Please refer your most recent certification decision letter for a list of all the previous Minor Non-compliances.
Were there any Minor Non-compliances from and since last year’s certification? Yes No
If yes, please complete the following table, briefly listing each Minor Non-compliance and describing the actions taken to address each one. Attach additional sheets if necessary
Minor Non-compliance / Action
1.
2.
3.
4.
5.
6.
SECTION 3: Product Handling / Not Applicable
A. PACKAGING
1. Are any organic products packaged/repackaged by your operation? Yes No
If yes, please complete the rest of part A.
2. Check types of packaging material used:
bulk paper cardboard wood glass metal foil plastic waxed paper
natural fiber synthetic fiber (specify type, e.g. PVC, polyethylene, polypropylene, etc.):
other (specify):
3. Are all packaging materials food grade? Yes No
4. Are any flushing agents (e.g. Nitrogen gas) used in packaging? Yes No
If yes, please provide OCIA with documentation for all packaging aids.
5. Where are packaging materials stored?
6. Are any fungicides, fumigants, or pest control products used in the storage area for the packaging material? Yes No
If yes, describe how they are used (list products in Section 4).
7. Have any packaging materials been exposed to, or do they contain any synthetic fungicides, preservatives, or fumigants?
Yes No
If yes, describe exposure, including name of products used.
8. Are packaging materials reused? Yes No
If yes, describe this packaging (prior use(s)/contents), how reusable packaging materials are cleaned prior to use and if this is documented (and if so, how):
9. Are packaging materials recyclable or returnable? Yes No
Program Specific Questions:
10. OCIA STANDARDS Do you use any aluminum lead-bearing solder for packaging? Yes No
If yes, what is the lead content?
What is the pH of the product?
11. EC; COR; QUEBEC Does parallel processing (the repackaging of organic and non-organic/non-EU or non-COR products) occur at any of the facilities utilized for organic processing? Yes No
If yes, please complete the remaining questions in this section.
12. EC; COR; QUEBEC Please describe the system in place to prevent commingling and to provide a separation of organic processing by time and place from non-organic/non-EU or non-COR processing: Not Applicable
13. EC; COR; QUEBEC Do you maintain an updated register of all operations and quantities processed? Yes No Not Applicable
14. EC; COR; QUEBEC How are specific organic lots identified and what measures are taken to avoid mixtures or exchanges with non-organic/non-EU or non-COR products? Not Applicable
15. Please describe the method of cleaning of equipment prior to organic product runs: Not Applicable
***Please note if the handling/packaging of COR-organic products occurs infrequently, please be aware that you must contact your OCIA Regional Office in advance of the handling/packaging of the COR-organic products and the deadline for completion of the organic run must appear in your handling/packaging records.***

B. Labeling Not Applicable

Please submit sample labels for ALL products that are being labeled by your company.
1. Does your operation create and apply its own labels? Yes No
If yes, please describe how the labels are used (whether retail, bulk or both ways). List general product types and which way they are labeled.
2. How are retail packages packed and labeled for storage and transport (e.g. cardboard boxes, etc.)?

3. If bulk (non-retail) labels are used, do they include lot numbers? Yes No Bulk (non-retail) labeling not used

4. Does your operation apply labels at the direction of other entities? Yes No
If yes, please list the entities:
If yes, is/are the other entity(ies) certified? Yes No If yes, by which certifying agency(ies)?
If these entities are not certified, does the OCIA name and/or seal appear on the labels? Yes No

If yes, has a Private Label Licensing Agreement been signed? Yes No

SECTION 4: Pest Management / Not Applicable
Organic standards require management practices that prevent pests, such as removal of pest habitat, food sources, breeding areas, and prevention of access to handling facilities. Environmental factors, such as temperature, light, humidity, atmosphere, and air circulation, may be used to prevent pests. Pests may be controlled using mechanical or physical means, such as traps, light, or sound. Lures and repellents may be used if they do not contain materials listed as prohibited or products produced using excluded methods (genetically engineered). If these measures are not effective, prohibited synthetic substances may be used provided the certifying agent gives prior approval for the use of the substance, method of application, and measures taken to prevent contact with ingredients or organic products. Use of pest control products must be documented and included as part of the Handling Organic System Plan.
1. Attach a facility map showing the location of traps.
2. Who is responsible for pest control in the operation:
In-house. Name of responsible person:
Contract pest control service *. Name of service provider:
*Pest management must be under control of the certified operator, even if contract pest control.
3.. Check all pest problems you generally have:
flying insects crawling insects rats mice spiders birds other (specify):
4. Check all pest management practices you use:
removal of pest habitat removal of pest food sources removal of pest breeding areas
sealed doors and/or windows repair of holes, cracks, etc. screened windows, vents, etc. physical barriers
sheet metal on sides of building exterior air curtains air showers positive air pressure in facility
good sanitation cleanup of spilled product exclusion monitoring mowing
incoming ingredient inspection for pests inspection zones around interior perimeter ultrasound devices
light devices mechanical traps heat treatments temperature control electrocutors scare eye balloons
freezing treatments vacuum treatments sticky traps pheromone traps
carbon dioxide nitrogen vitamin baits pyrethrum ryania rotenone boric acid
diatomaceous earth precipitated silica fumigation fogging
crack and crevice spray other (specify):
5. Are records kept of your pest monitoring activities and maps of trap locations (whether in-house or contracted)? Yes No
6. Pesticide use information of the last 12 months (please list even if contract pest control: None Used
Substance / Target pest / Location where used / Method of application
7. Please provide complete ingredient information for ALL substances used for pest control, if applicable (labels and/or MSDS).
8. Are records kept of all pesticide applications (whether in-house or contracted)? Yes No
9. Are any substances used that are listed as prohibited by the program(s) you are applying for? Yes No
If substances listed as prohibited are used for pest control, list all measures (documented removal of organic product, timing, etc.) taken to prevent contact with organic products or ingredients and how it is documented:
If substances listed as prohibited are used for pest control, what measures are you taking or planning to take to minimize or prevent their use in the future?
10. Do you plan on using any substances that are not listed above? Yes No
If yes, list the substances that will be used:
11. Does the operation have written Pest Control Management Practices? Are these part of Standard Operation Procedures (SOPs) or Good Management Practices (GMPs)?
Attach copies of the SOP and/or GMP pertinent sections, if applicable.
Program Specific Questions:
12. COR; QUEBEC If substances are used, are records maintained for the use and disposition of these substances?
Yes No Not Applicable
13. OCIA STANDARDS Are anti-coagulants used on a knock-down basis only? Yes No
SECTION 5: Assurance of Organic Integrity
Organic standards require that handling procedures, processes, storage, and equipment present no contamination risk to organic products from commingling with non-organic products or contamination with prohibited substances. Packaging materials, bins, and storage containers must not have contained synthetic fungicides, preservatives, or fumigants. Reusable bags or containers must be clean and pose no risk to the integrity of organic products. Procedures used to maintain organic integrity must be documented.
A. PRODUCT FLOW
Attach a complete written description or schematic product flow chart that shows the movement of all organic products, from incoming/receiving through any labeling/packaging processes to outgoing/shipping. All equipment and storage areas must be identified. In the case of a handler facilitating the movement of product, the flowchart must show the movement of the products from their initial source, through any storage facilities, on to their destination (flowchart can be general and does not need to indicate specific sources and destinations).
B. ORGANIC CONTROL POINTS
Similar to Hazard Analysis Critical Control Points (HACCP), Organic Control Points (OCPs) are points in a handling system where the integrity of the organic product may be compromised. Examples are improper handling of bulk organic product, resulting in commingling with non-organic product, or use of a prohibited pesticide when organic product is present, resulting in contamination by a prohibited substance. OCPs should be noted on the product-movement flow chart.
1. Do you have an Organic Control Point program in place to address areas of potential commingling and/or contamination?
Yes No
If no, do you have plans to implement an Organic Control Point program? Yes No
2. If you have employees, are they trained on organic handling requirements and is this training documented? Yes No
If yes, please explain how they are trained and the documentation that is maintained for the training.
C. MONITORING
1. Do you have a Quality Assurance (QA) program in place? Yes No
If yes, what program do you use? ISO: HACCP TQM other (specify):
If QA plan is in place, you may submit relevant sections of these programs with this application.
2. Do you have a product recall system in place? Yes No
If yes, please summarize the basic system that is in place and if mock recall exercises have been successful:
D. SANITATION Not Applicable
Attach MSDS and/or complete ingredient information for cleaning and sanitizing products, if applicable.