European Water Stewardship Standard · (AWS), which is the global Water Stewardship program, with its AWS standard as equivalent global standard to the EWS standard ensuring the Water

European Water Stewardship (EWS)

Certification Scheme

CERTIFICATION OUTLINE

2017

EWS Certification Outline - 2017 (c) 2017 European Water Partnership. All rights reserved.

2

❖ PAGE LEFT BLANK ON PURPOSE ❖


1

European Water Stewardship (EWS) Certification Outline

Content

Content .................................................................................................................................................. 1

List of acronyms and abbreviations ................................................................................................... 3

Background .......................................................................................................................................... 4

i. The system ............................................................................................................................. 4

ii. Applicability ............................................................................................................................. 4

iii. EWS objectives....................................................................................................................... 4

iv. Delivering the objectives ......................................................................................................... 5

EWS certification scheme .................................................................................................................... 6

1 The EWS standard ....................................................................................................................... 6

2 Delivery of the EWS certification scheme ..................................................................................... 7

2.1 Role of EWS ........................................................................................................................... 7

2.2 Role of the Certification Bodies............................................................................................... 7

3 Elements of the EWS certification scheme ................................................................................... 7

4 Approval requirements .................................................................................................................. 8

4.1 Approval of Certification Bodies by the EWS .......................................................................... 8

4.2 Mechanisms for complaints and grievances ......................................................................... 10

4.3 Conflict of interest ................................................................................................................. 10

4.4 Confidentiality and conflict of interest of employees and sub-contractors ............................. 10

5 Audit process .............................................................................................................................. 10

5.1 Non-compliance .................................................................................................................... 11

5.2 (Non) applicability ................................................................................................................. 11

5.3 The audit process ................................................................................................................. 11

6 Communication of certification results ........................................................................................ 14

6.1 Bronze, Silver, Gold status ................................................................................................... 14

6.2 Compulsory scoring system .................................................................................................. 15

6.3 Use of EWS assets ............................................................................................................... 16

6.4 Controlling communication of EWS assets or trademarks .................................................... 16

7 Costs .......................................................................................................................................... 17

7.1 Approval of Certification Bodies ............................................................................................ 17

7.2 Compliance audits ................................................................................................................ 17


2

Annex 1. Overview EWS application and use of assets. Comparison of Single, Multi-site and Group Schemes: ................................................................................................................................. 18

Annex 2. Template EWS certificate ................................................................................................... 20

Annex 3. EWS logo ............................................................................................................................. 22

Annex 4. EWS Fee Structure, Version February 2013 ..................................................................... 23

Annex 5. Guidance on audit duration ............................................................................................... 26


3

List of acronyms and abbreviations

Acronym/ Abbreviation

Definition

AB Accreditation Body

AWS Alliance for Water Stewardship

CB Certification Body or Control Body

EU European Union

EWP European Water Partnership

EWS European Water Stewardship

HCV High Conservation Value

IAF International Accreditation Forum

ICS Internal Control System

ISO International Organization for Standardization

MLA Multilateral Recognition Arrangement

MS&CG Multi-site and Catchment Group

WFD Water Framework Directive


4

Background

European Water Stewardship (EWS) is the integrative system for business and agriculture to assess, verify and communicate sustainable water management practices. It supports to develop a sustainable water management strategy and provides all the necessary information to make it reality. The EWS standard is the result of a multi-stakeholder process, coordinated by the European Water Partnership (EWP) as a clear response to the Water Vision for Europe.

The EWS is conceived with the focus on water sustainability at river basin level, as water users agree that they share river basins in much the same way as they share sectorial, national or regional concerns. As a recognized European initiative of the global Alliance for Water Stewardship (AWS), the EWS is the fruit of a leaders' consortium from around the world to set basic standards for water stewardship worldwide.

The EWS includes a standard, a certification and communication scheme that makes “business sense” for adherents; mitigating physical, regulatory and reputational water-related risks; and offering tried-and-tested steps to secure water availability for the future. It operates within the context of EU policy and will ultimately contribute to the current flagship activities of the European Commission to achieve “Resource Efficiency” and the “European Blueprint” for 2012.

The system

The European Water Stewardship (EWS) comprises:

The EWS standard.

The referring glossary and guideline, and annexes.

The general certification scheme.

The EWS multi-site and catchment group certification scheme.

The communication guideline.

The EWS principles, criteria and indicators – as compiled in the EWS standard - have been developed with input from the European Commission, stakeholders from industry and agriculture as well as NGOs and finally approved in 2010. This set of principles, criteria and indicators demonstrated its concrete value by testing its applicability in leading companies and on farm production sites. With the Launch event in November 2011, the EWS implementation as operating certification scheme is underway.

Applicability

The EWS aims to be applicable to a broad range of water users and industries that may affect the availability and quality of water while still respecting the complexity of impacts linked to water use and therefore:

Comprises environmental, social and economic aspects.

Is valid on global scale but based on local audit with focus on Europe.

Is valid across all sectors.

Compliance with the EWS is complimentary to ISO 14001, Global G.A.P. and other standards, and is a clear demonstration of commitment to Corporate Social Responsibility with the added assurance that the water user is meeting legal obligations and the EU Water Framework Directive. The EWS guideline refers to GRI indicators and CDP Water reporting. Of particular note is the Alliance of Water Stewardship (AWS), which is the global Water Stewardship program, with its AWS standard as equivalent global standard to the EWS standard ensuring the Water Stewardship implementation outside Europe.

EWS objectives

Develop incentives to promote a change in behavior and practices towards sustainable water use, management and governance.

Provide a tool for water users to demonstrate corporate responsibility linked to water use. Provide guidance how to achieve integrative sustainable water management on production sites

and on river basin level. Optimize the use of water on production site and river basin level. Support the European water users with the implementation of the WFD. Support water users to communicate and report on their water management performance.


5

Establish an objective system to evaluate the use of water on a local and business basis.

Delivering the objectives

Water using industries, be they very small farms or multi-national industries; have a very clear interest to minimize the use of natural resources and to optimize their resources efficiency. There are clear steps that will be taken prior to certification being possible, commercially viable or even desirable.

Step 1

The decision, not only to reduce water use, but to aim for an integrated sustainable water management, must be taken at the highest possible level of management as the investment can be high at the outset with long return periods on investment. For any size of business, the decision to reduce water AND to consider all other aspects of water use also demonstrates clear corporate social responsibility – the value of which must not be under-estimated.

Step 2

Technical advice can range from discussions with colleagues, observations of other practices, common sense, independent technical expertise or support through membership of an association or group. The important aspect is that a clear strategy is prepared and fully costed with benefits clearly identified.

Step 3

The EWS standard is implemented on-site and the compliance with the standard requirements is monitored and reported in the internal system plan. Points of improvement shall be identified and taken over in the management strategies.

Step 4

Certification is an independent verification that the water management system is compliant with EWS requirements. The decision to become certified must be taken for the correct reasons – Access to new markets, Corporate Responsibility or legally required etc. Certification can be performed as individual certification or as part of a multi-site or catchment group scheme.

1. Decision time. Commitment for

integrated sustainable water management.

2. Advice. Strategy prepared.

Costs identified. Requirements identified.

4. Certification. Verification of

compliance with EWS.

3. Implementation. Monitoring. Reporting.

Improvements.


6

EWS certification scheme

1 The EWS standard

The EWS standard is the core document of EWS. This standard contains 4 principles which are applicable to water users in any sector or environmental condition. The principles cover the following areas of sustainable water management:

Principle 1- Achieve and maintain sustainable water abstraction in terms of water quantity.

Principle 2- Ensure the achievement and maintenance of good water status in terms of chemical quality and biological elements.

Principle 3- Restore and preserve water-cycle related High Conservation Value (HCV) areas.

Principle 4- Achieve equitable and transparent water governance.

The principles have associated criteria which are further divided into indicators. The division is as follows:

PRINCIPLE CRITERIA Number of INDICATORS per criterion

Principle 1 Criterion 1.1 3

Criterion 1.2

Criterion 1.3

4

2


Criterion 2.2 5

Criterion 2.3 2


Criterion 3.2

Criterion 3.3

2

2


Criterion 4.2 2

Criterion 4.3 2

Criterion 4.4 4

Criterion 4.5 6

Criterion 4.6 3

Criterion 4.7

Criterion 4.8

2

1

Total 4 Principles 17 criteria 49 indicators

It is against these principles and criteria that compliance audits are conducted. Compliance with the EWS standard leads to the following benefits:

Performance indicator of corporate water resource management.

Best practice tool.

Independent proof of sustainable water management for stakeholders.

Internal benchmarking and target setting device for water management strategies.

Improved and optimized resource management at production site-level.

Enhanced awareness and leadership within river basin activities.

Visibility for and access to markets.


7

To download the current standard document, please visit www.ewp.eu.

2 Delivery of the EWS certification scheme

Role of EWS

The role of the EWS is to ensure:

The approval of the EWS standard and any later amendments, by the EWS Members Council and EWS Standard Development Committee.

The approval of the authorization process of CBs.

Role of the Certification Bodies

It is the role of the CB to deliver:

Demonstration of conformance to the EWS authorization requirements.

Conduct compliance audits of water users of all sectors in accordance with the EWS accreditation and certification requirements.

To issue certificates of compliance and to conduct monitoring audits throughout the lifetime of any certificate.

Figure: Role EWS Players

3 Elements of the EWS certification scheme

A certification scheme sets out the requirements which must be met by the operator and against which the CB will conduct a compliance audit. There are two schemes: individual certification scheme and Multi Site and Catchment Group scheme. Both are based on the EWS standard including the principles, criteria and indicators.

The approval requirements are the approval mechanism for ensuring that the Certification Bodies (CBs) that undertake certification produce credible, consistent results. The EWS approval systems are detailed in section 4.

The certification process requirements are the procedures required for conducting compliance audits by the CB to verify that the requirements of the EWS standard are met. The EWS procedures are detailed in section 5.

For more information on the MS&CG scheme refer to the MS&CG scheme document and MS&CG guideline.

EWS

CERTIFICATION BODY

OPERATORS (farmers, factories, municipalities,

airports...)

http://www.ewp.eu/


8

4 Approval requirements

Approval of Certification Bodies by the EWS

Any CB who wishes to offer a certification service must be approved by EWS.

Once approved by EWS a CB can conduct compliance audits and issue certificates in accordance with the requirements of the EWS standard. At present, CBs can be approved for scope 1 (agriculture) and scope 2 (industry). After the initial period of EWS implementation and once approved by the EWS Standard Development Committee as needed, CBs’ recognition will be performed by an Accreditation Body.

4.1.1 Accreditation Body

In the future (as needed and determined by the EWS Standard Development Committee) the AB who will accredit the CB, must be a signatory of the International Accreditation Forum Multilateral Recognition Arrangement (IAF MLA) for EWS certification.

4.1.2 Minimum requirements for an EWS approved CB

At present, any CB seeking for EWS approval with the scope to conduct compliance audits in agriculture and/or industry against the EWS standard must, as a minimum, provide the EWS with the following:

Area Requirements

Contact Details Full name of the CB.

Address of the office at which the accreditation is held/will be held.

Name of main contact person.

Addresses of any CB offices to be used for delivering the certification service(s) and contact details.

Evidences Evidence of ISO/IEC 17065:2012 and/or ISO/IEC 17021-1:2015 accreditation in at least two different scopes by an AB meeting the conditions as detailed under 4.1.1.

Scope to audit and certification options

Scope of EWS (agriculture and/or industry) and the certification scheme (individual, multi-site/catchment group) for which approval is being requested. Geographical areas or countries in which the service(s) will be offered following EWS approval.

For all auditors: Successful completion of a lead assessor training course based on ISO 19011 principles that must have a minimum duration of 37 hours.

Personnel At least one nominated person as ‘EWS Certifier’ and one nominated person as ‘EWS inspector’ or ‘EWS auditor’. EWS inspectors and auditors shall have sufficient background: Post-high school level education (minimum 2 years) in the relevant scope (for agriculture it shall be agricultural education; for industry it shall be in e.g. food processing, engineering etc.) and audit experience in the relevant scope.

EWS Certifier: Approves the certification decision and ensures the 4-eyes-principle of certification. Can be the same person as EWS scheme manager.

EWS Scheme Manager: Responsible for communication with EWS, to gain / maintain EWS approval and to supervise inspections, auditors and the certifier.

For all Scheme Managers and Certifiers: The EWS scheme manager and the EWS certifier must comply with at least the inspector qualifications or equivalent professional expertise on environmental quality management


9

systems. They must be fluent in English and should have knowledge on the relevant accreditation standard and quality management systems.

General A signed EWS contract and license agreement attached to the application form.

The EWS will review the evidence provided. The EWS may request further information or clarification from the applicant CB. Once ensured that the applicant CB is able to comply with the minimum requirements, a proposed training schedule for the CB personnel is sent by EWS to the CB.

In order to gain (provisional) approval by EWS each CB auditor, scheme manager and certifier shall:

Successfully pass the ‘EWS basics’ exam (e-leaning part).

Attend personally (minimum: is registered for) a training session on EWS basic inspection requirements.

Undergo at least two successful one-day witness audits or one two-day audit by the EWS on the concerned EWS scope (only applicable for all CB auditors in agriculture and industry – also for Global GAP approved auditors - , not applicable for EWS certifiers and scheme managers). The witness audit will be charged according to the EWS fee structure disclosed in Annex 4.

The CB shall allow a EWS representative to observe an audit, upon prior agreement between the EWS coordination and the representative of the CB.

4.1.3 Approval

The EWS acknowledges that before fully achieving approval for EWS, CBs seeking for approval must be able to carry out audits against the EWS standard. Therefore, a CB shall be allowed to carry out audits during the “provisionally approved” EWS status, and issue 25 EWS certificates per scope before final approval.

As soon as all the above conditions are met and the CB has one EWS approved EWS scheme manager and at least one auditor/inspector dependent on the scope, a provisional recognition is granted by EWS. The CB is provisionally approved as long as it does not get its final on-site performance approval visit by EWS. The approval of EWS Recognized Certification Bodies (CBs) shall ensure that the CBs that undertake EWS certification produce credible, consistent results. This performance approval visit will thus take place at least once and then it will be repeated either when the CB reaches 100 certificates or if the EWS secretariat deems it necessary to ensure the integrity of the EWS system.

4.1.4 Reporting of operators

Before January 31st of each year, the CB shall submit to the EWS coordination a list with names, addresses, production category, products and specification of the type of logo used of the inspected and/or certified water users. EWS provides each certifier a template for reporting. Furthermore, the CB shall promptly notify EWP when certification of a water user was withdrawn. From June 2017 onwards, the EWS scoring system becomes compulsory so CBs will be requested to report on the scoring provided to each certified site. EWS coordination might include other specific information to be reported (e.g. audit duration, surveillance audit duration, etc.) if requested from the Standard Development Committee or Members council to monitor and evaluate the performance of the EWS Scheme.

The EWS coordination may enter this information (except values) into a public data base for information of third parties interested in using the EWS standard, and/or for (statistical) reporting purposes. The CB is responsible for collecting the required approval of the water users for the use of their details for this purpose.

EWP may verify the correctness of the list mentioned above and calculated license fees. The CB shall provide access to the relevant documents accordingly upon first request.

The CB shall immediately notify EWP of any violation by third parties of the ownership or other rights of/in the EWS standard and/or the EWS logo’s and any false assertions. In case of arbitration or judicial proceedings, CB is committed to provide all information and documentation necessary for EWP in the litigation. CB will provide the information upon first request and at any stage of the arbitration or judicial proceedings.


10

4.1.5 CB license fees

The CB shall pay an annual CB license fee per calendar year (including incomplete calendar years). Furthermore, the CB shall pay a fee per EWS certificate issued per year (referring to annex 4).

On behalf of EWS, the CB shall collect EWS license fees as listed in the EWS Fee structure (plus VAT if applicable).

During the implementation phase of the EWS standard, EWS may verify the correctness of the list mentioned above and calculated license fees. CBs shall provide access to the relevant documents accordingly.

Mechanisms for complaints and grievances

Procedures defined by the CB must include a mechanism for complaints and grievances concerning certified organizations that is open to any interested party.

Conflict of interest

Procedures set up by the CB for identifying and managing conflicts of interest must include provision for a specific independent committee, set up by the CB. The independent committee must consist of at least three external members, and must meet at least annually with EWS scheme managers of the CB to formally review the CB’s performance in this respect.

Records of the conflict of interest committee’s discussions, recommendations and consequent corrective actions must be maintained for at least 5 years.

CBs and members of audit teams must have maintained independence from the company or family of companies for a minimum of 3 years to be considered not to have a conflict of interest.

CBs cannot have provided management advice to the company being assessed.

Confidentiality and conflict of interest of employees and sub-contractors

CB employees and sub-contractors will ensure that any confidential information received during an audit, remains confidential and will not be disclosed to any third parties. The only exception is any information that is required to be submitted to ABs and EWS for the purpose of achieving and maintaining the CB status.

CB employees and sub-contractors are not permitted to carry out any activities which may affect their independence or confidentiality and therefore should not have worked (as an employee or advisor) for the client during the last 3 years.

Any CB employee or sub-contractor will advise the CB’s executive management as to all interests which may potentially affect the certification process and/or which could possibly constitute a conflict of interest, in advance of engaging in a certification process against the requirements of the EWS.

Any CB employee or sub-contractor shall report any circumstance or pressure that may influence its independence or confidentiality immediately to the executive management of the CB.

5 Audit process

The current production site’s water performance is assessed against the EWS standard. This standard provides indicators for the whole water cycle: From extraction to re-allocation. The main aim of certification is to map, grade and evaluate water management based on redesigning, reusing, recycling and re-allocation measures.

This standard includes:

4 principles, which outline the overarching aims of the EWS standard, and associated criteria.

The criteria are further divided into indicators which shall be used to evaluate compliance with the principles and criteria.

Indicators are classified as a major indicator, a minor indicator or as a recommendation.

o The major and minor indicators have to be complied with to achieve the referring objective.


11

o The indicators classified as “recommendations” (“Rec.”) are non-obligatory.

Non-compliance

Non-compliance with an indicator that is shown as “major” will result in major non-conformity.

Non-compliance with an indicator that is shown as “minor” will result in minor non-conformity.

A certificate of compliance will only be awarded when all major indicators and 50% of all minor indicators have been met to the satisfaction of the CB.

Major non-conformities raised during a surveillance audit must be dissolved, to the satisfaction of the CB within 30 days from the last date of audit. Failure to do so will result in the suspension of the certificate during which time no EWS assets may be used. Failure to dissolve the major non-conformity after this suspension period will result in the withdrawal of the certificate and the requirement of a new main compliance audit.

Minor non-conformities must be addressed in a timely manner but within 30 days as determined by the CB during the audit in order to be considered as compliant for the final score.

In summary:

Major non-conformities have 30 days for corrective actions, if non-compliances against major requirements are not resolved, no certificate can be granted.

Minor non-conformities have 30 days for corrective actions, they do not all have to be resolved; the amount of non-compliances against minor requirements determines the status (gold, silver, bronze).

(Non) applicability

Applicability of the indicators is not related to size or kind of the production site unless stated otherwise.

The audit process

Application form is completed by the applicant and sent to the CB.

Offer is made by the CB.

Offer is accepted by the applicant and contracts signed.

The CB contributes a EWS reference number to the applicant.

Advice is received (if necessary).

Client completes a system plan and prepares for the audit.

Audit dates are agreed between the applicant and the CB.

Audit agenda is sent to client by the auditor.

Audit is conducted on-site.

Audit checklist and report is completed by the auditor.

The certifier of the CB reviews the documents and makes a certification decision.

A certificate of compliance is awarded for a period of 3 years.

Annual surveillance audits are conducted to ensure continual compliance.


12

Figure: Yearly certification cycle

ONCE PER YEAR – hotspot audit

ALL THREE YEARS – full audit

Main focus:

- Standard requirements

- Implementation of system plan

- Evaluation on river basin level

- Former non-compliances and improvement points

Audit techniques:

- Audit of administration / procedures

- On-site visits

- Interviews

Defined methods, harmonised approach

5.1.1 Scope of audit and EWS reference numbers At present, the following scopes for audits are implemented:

Scope 1: Agriculture,

Scope 2: Industry.

Each client receives from its certification body a EWS reference number that discloses the certification body, the scope of certification and a personal reference. The code shall be set as XX-01-1234 where:

XX = CB Code number; Attributed to each approved CB by EWS. CBs will request EWS their CB Code number.

Scope of certification: 01= Agriculture; 02= Industry.

1234: Reference number of the client attributed by the CB.

5.1.2 Compliance audits

An assessment is a systematic, independent and documented process for obtaining assessment evidence and evaluating it objectively to determine the extent to which the unit is in compliance with the applicable standard. Compliance assessments will determine conformity or non-conformity with each indicator of the applicable standard.

CONTRACTING

CERTIFICATION

PLANNING

AUDIT


13

Audits should take place during the most critical periods of the production unit and the timing will be freely set by the CB. They should include, but will not be limited to, areas of potential environmental risk. They will include an audit of the management systems and procedures (when required by the EWS) and the effectiveness of the implementation of those management systems and procedures covering all aspect of the applicable standard.

During audits, free and safe access to the production units is required. If this access to the units is not possible due to “superior forces” such as inaccessible roads, flooding, etc. and / or if its access is not safe for the assessor due to, for example civil war or terrorist activities, then the audit is not possible. The CB will try its outmost to perform the audit at a later stage or to obtain the required information through alternative means.

A main audit of compliance must take place before the end of the 3-year period.

Main audits (including the initial audit) shall include an on-site visit of all production sites as well as a visit of all water abstraction sites (sources) and all water discharge sites that are directly used by the client.

A client may ask for a main audit at any time but in any case if the status of performance (Gold, Silver or Bronze) shall be re-evaluated by the certification body.

No client should be evaluated by the same auditor on more than 3 consecutive complete evaluations (not considering surveillance audits).

For information on the recommended audit duration refer to annex 5.

5.1.3 Pre-screening visits

Non-obligatory: The format and style of a pre-screening report is at the discretion of the CB and their client. It is recommended that the report is in the same style as for the main compliance audit report and should include full details of any non-compliance found during the audit. Non-compliances against the standard found during a pre-audit visit has no consequences, they are solely communicated to the client to reflect on his preparedness.

5.1.4 Main compliance audits

There are a number of distinct steps after any contractual agreements between the organization and the CB.

Opening meeting.

Compliance audit to include the multi-site/group scheme Internal Control System and a sample of members as applicable.

Audit against the rules for partial certification as applicable.

Interview.

Site visit.

Documentation check.

Closing meeting.

Finalization of audit report.

Signing acceptance of audit report by client.

Certification decision by the certifier of the CB.

Awarding of the certificate of compliance by the CB (Refer to Annex 2).

Certificate of compliance is valid for a period of 3 years.

A main audit of compliance must take place before the end of the 3-year period.

Publication of audit outcomes (certificates or equivalent) on the CB website.

5.1.5 Annual surveillance audits

During the lifetime of the certificate, the CB has the right to make additional, risk-analysis based unannounced visits but will conduct annual surveillance audits as a minimum.

The annual surveillance audit shall include a review of continuing compliance to the applicable standard and has to follow up on all major and minor non-conformities and the corrective actions stated the year before. A report will be completed in the same format as that for the main compliance audit report.


14

For multi-sites and group certification schemes, all members who have joined the scheme since the previous audit will be stratified separately to the original members and so the number of members included in the annual surveillance audit will be greater than if all the members are stratified as one group.

5.1.6 Multi-site and Group scheme audit

The Internal Control System of the multi-site/group will be assessed for compliance in accordance with the EWS multi-site and group certification (refer to document EWS multi-site and group Standard) and a number of members will be assessed to check that the ICS ensures compliance against the EWS standard.

The certification body verifies, evaluates and reports all aspects (with special focus on the internal inspections’ results) of the ICS. Findings of the ICS will be cross-checked. Based on the results of this audit the certification body will certify the multi-site/group.

Each year the certification body defines a risk-orientated selection of members subject to its annual audit and on-site visits. A well organised, well established co-operative with direct input into the management of all production units will have a very low risk assessment. Whereas a new scheme or group, whose internal control system, is not as efficient, will have a high-risk assessment. During the first year, all groups are thus considered high risk. The risk assessment score awarded will have a direct influence on the number of production units included in the assessment. The risk assessment is scored as low, medium or high and the sampling formulae is applied to the number of production units in each stratum where y = number of production units. The CB shall inspect a number of members for on-site visits not less than:

For low risk situations: 0.8√y

For medium risk situations: 1.5√y

For high risk situations: 2.0√y

A maximum of 25% of the selected production units from either the main or previous annual assessment may be included the next annual surveillance assessment.

5.1.7 Transfer of operators

The procedure for transferring operators from one CB to another must follow the next steps:

The new CB shall officially communicate with the old CB and the EWP.

The old CB shall provide all reports, including non-conformance forms, to the new CB.

Transfer of CB shall not be permitted until all major non-conformances are closed or all financial obligations have been met.

The new CB shall conduct a new audit assessment using the previous report as guidance.

After conclusion of the audit, a new certificate shall be issued to the company by the new CB maintaining the previous expiry date. Upon issuance of the new certificate the EWP shall be informed.

Transfer of certification body is allowed at any stage of the certification cycle.

6 Communication of certification results

EWS secretariat will maintain in its website an accurate list of certified operations.

Bronze, Silver, Gold status

It is recognized that within each principle there will be criteria and indicators that are not applicable to the individual industry or applicable in terms of scale. Guidance will be given to auditors and they will justify why an indicator is not applicable in the report, having followed the guidelines given and after full discussion with the client.

Full compliance is only achieved when the client has provided sufficient evidence to the auditor to conclude that there is compliance with each applicable indicator that is classified as a “major” indicator and at least 50% of all minors.


15

The Gold/Silver/Bronze performance can only be determined and changed within main audits (including the initial audit) but not during annual surveillance audits. Clients intending a reassessment of their performance status in the 2 years between two full audits, have to apply for an additional full audit. If during a surveillance audit it comes out, that the operator is not in compliance with its EWS status any longer e.g. the current ‘gold’, but complies only with ‘silver’ and does not even correct the non-compliances in due time (45 days deadline), this operator has to be downgraded to ‘silver status’.

Example: A company starts with Silver status and has a certificate from 2012 until 2015, but in the first surveillance audit in 2013, the status is only Bronze, than the existing certificate will be withdrawn and a new certificate will be made for the period 2014 – 2015.

Classification: Bronze/Silver/Gold performance

= Compliance with ALL major requirements plus:

>50% compliance with all minor requirements = BRONZE

>70% compliance with all minor requirements = SILVER

>90% compliance with all minor requirements = GOLD

Compulsory scoring system

The compulsory benchmarking of performance allows an internal benchmarking of production sites’ performance.

For this, the operational water management performance is scored per criteria: per indicator scores are given from 0 – 4 by independent auditors during the audit, based on the scoring grid defined in the “Requirements for Compliance” document. Compliance with an indicator is achieved with a score ≥ 2. The spider web diagram (see example below) as outcome of the scoring exercise has been considered as a useful tool for benchmarking and internal communication.

Scoring will be summarized against criteria level (the EWS standard has a total of 17 criteria), allowing for the graphical outcome as presented below.

The scoring system becomes compulsory in June 2017. During the annual reporting, EWS Approved CBs will inform the EWS Secretariat about the scoring of each certified site.

Figure: Example of Spider Web Diagram for Internal Benchmarking


16

Use of EWS assets

Controlling communication of EWS assets or trademarks

Included in its certification, the CB sublicenses to its customers the right to apply the EWS standard and the rights to use the EWS assets and the EWS logos. Sublicenses shall only be granted to customers if the CB has audited and certified the (production/processing) sites of the customer against the EWS Standard.

Certification procedures must include measures to ensure compliance with EWS requirements for the control of logo use and communication of EWS assets by certified organizations.

EWS requirements for control of communicating assets include the following:

Controlling the communication referring to compliance with the EWS communication scheme, including the use of all EWS assets as given in section 6.3.1. This control has to cover: Business-to-business correspondence and sales documentation, as well as the use of EWS assets off-product (e.g. in promotional material, reports or to media). This will include in future specific approved assets relating to each EWS supply chain mechanism. To date, EWS assets are not allowed in direct consumer communication e.g. on product labels.

Where certified multi-site organizations are implementing a time-bound plan for achieving certification of all relevant entities, certain off-product assets can be made involving the use of approved statements referring to the multi-site communication scheme (refer to section 6.3.2).

6.1.1 General use of EWS assets

EWS owns the following assets or trademarks:

The term 'European Water Stewardship”.

The status of Bronze/Silver/Gold performance.

The initials 'EWS'.

The EWS logo (refer to annex 3).

Protecting EWS trademarks maintains the integrity of all EWS committed stakeholders. The EWS trademarks shall guarantee reliability of certified production sites: Only those who have obtained authorization can communicate referring to EWS trademarks and all trademark use must be in compliance with our current EWS standard.

Based on the intellectual property rights, EWS will take legal actions against all infringements in EWS trademark use. All statements referring to EWS have to be approved prior to use by the Certification Body. For using EWS trademarks, different rules apply depending on the business activity and the purpose of the trademark use.

1. When an approved CB certifies the production site according to the EWS standard, it can use EWS assets on all communication outlets – except on products itself. Therefore EWS claims are so-called “off-product claims”.

2. The EWS approved CB will issue the authorization to use the EWS assets.

6.1.2 Communication for multi-site and catchment group schemes

EWS assets can be communicated by organizations that own or manage numerous EWS certified production units under a single common Internal Control System. In a catchment group scheme, group members do not need to be a unique legal entity, but all certified sites shall have a legal or contractual link with the central office of the management entity and be subject to a common management system, which is laid down, established and subject to continuous surveillance and internal audits by the central office.

The use of EWS assets by multi-site or catchment group has to be directly notified and verified before publication.

In addition to one or more EWS assets, multi-site or catchment group shall disclose number, type and percentage of certified members as e.g.:

- “EWS certification of xy production sites [in…]”.

http://www.fsc.org/glossary.html?&tx_datamintsglossaryindex_pi1%5buid%5d=85&tx_a21glossary%5bback%5d=996&cHash=4e3d4dffd0004c60d30bbefe586bc9cb

http://www.fsc.org/glossary.html?&tx_datamintsglossaryindex_pi1%5buid%5d=85&tx_a21glossary%5bback%5d=895&cHash=d68fa77199203f3aa7c102104b26f5ea



http://www.fsc.org/glossary.html?&tx_datamintsglossaryindex_pi1%5buid%5d=37&tx_a21glossary%5bback%5d=895&cHash=90f4b93f3f1f0a6926c74be303f16592

http://www.fsc.org/glossary.html?&tx_datamintsglossaryindex_pi1%5buid%5d=32&tx_a21glossary%5bback%5d=997&cHash=ae94f9662ae99d5f1b1897ba2670f6a9


17

- “[Percentage of production sites in Europe/European catchment] are EWS certified”.

- The EWS logo in direct visible field as the assets mentioned above.

Examples: An international food processing company with 30 production sites worldwide assets EWS in its corporate sustainability report, disclosing the name of each production site that is certified according to the EWS standard. This organization is notified as “EWS multi-site asset user” and forwards all EWS linked communication before publication to the EWS Secretariat.

7 Costs

Approval of Certification Bodies

All direct costs for initial and on-going accreditation and approval as EWS approved CB - including the costs for the auditor´s witness audits and the annual CB approval visit by EWS - will be borne by the CB. All administrative costs incurred by the EWS during this process will be borne by the EWS.

The costs of delivering all aspects of this EWS certification system will be borne by the individual CBs.

Compliance audits

CBs will enter a contractual agreement with the unit seeking certification and the costs agreed between both parties. The EWS will not become involved with any contractual arrangements or pay any of the costs involved.


18

Annex 1. Overview EWS application and use of assets. Comparison of Single, Multi-site and Group Schemes:

Single Production site Multi-site Scheme Group certification scheme

Certified unit - Production site - Cluster of sites - Group of individual production units & members

Location of the certified unit

- Europe - Europe - Same catchment within one country

Coordination - n.a. - Management Entity - Management Entity

Certification scheme

- EWS standard - EWS Standard

- EWS Multi-site and Group scheme

- EWS Standard

- EWS Multi-site and Group scheme

Sampling method in certification

- No - Yes - Yes

Certification Outcome

- EWS certificate - One certificate for the multi-site scheme

- One certificate for the group scheme

Communication of EWS assets:

The certified production unit may use one or more of the following EWS assets with prior CB approval:

'European Water Stewardship”.

Bronze/Silver/Gold performance.

The initials 'EWS'.

The EWS logo.

In

- Business-to-business correspondence

- Sales documentation

- Reports and media.

The corporate entity has to disclose Number, type and percentage of certified production units with prior CB approval.

Linked to one or more of the following EWS assets:


Bronze/Silver/Gold performance*.

The initials 'EWS'.

The EWS logo.

In



The group may use one or more of the following EWS assets with prior CB approval.


Bronze/Silver/Gold performance*.

The initials 'EWS'.

The EWS logo.

In



- Reports and media


19

Companies can also choose to communicate a number of production sites certified with prior EWS Secretariat approval. In this case, the corporate entity has to disclose Number, type and percentage of certified production units including location.

- Reports and media

*If multi-sites choose to communicate a level of performance (i.e. Bronze/Silver/Gold) the audit must verify this level of compliance for ALL members.

*If a group chooses to communicate a level of performance (i.e. Bronze/Silver/Gold) the audit must verify this level of compliance for ALL members.

Communication CAN NOT

Be placed on products (e.g. on product labels).




20

Annex 2. Template EWS certificate

All contents of the EWS certificate template have to be provided by certification bodies’ certificates. The layout and editing is free and might be adapted.

GOLD CERTIFICATE

CERTIFICATE No.: 11111111

EWS REFERENCE No.: XX- 01-12345

Issued to

Good Water Steward B.V.

Amsterdam, The Netherlands

Project in: The Netherlands

Standard

European Water Stewardship Standard

Date of certification: 12-03-2012

NAME OF CERTIFICATION BODY declares to have inspected the processing unit(s) and/or agricultural unit(s) of

the above-mentioned client, and have found them in accordance with the standards mentioned above.

This certificate covers the processing unit(s) and/or agricultural unit(s) as mentioned in the authenticated annex

of this certificate.

The EWS Gold Certificate demonstrates that the operator complies with all major and at least 90% of all minor

requirements.

This certificate is in force until further notice, if the above-mentioned client continues meeting the conditions as

laid down in the client contract with NAME OF THE CONTROL BODY. Based on the annual inspections that NAME

OF THE CONTROL BODY performs, this certificate is updated and kept in force.

Valid until: 12-03-2015 Declared by:

Place and date of issue:

Amsterdam, 12-03-2012


21

7.1.1 Annex to Certificate – European Water Stewardship

CERTIFICATE No.: 11111111

EWS REFERENCE No.: XX - 01-12345

Good Water Steward B.V.

12 Brusselweg

Amsterdam

The Netherlands

This certificate covers the following processing unit(s) which meets the criteria of the European Water

Stewardship Standard:

Unit no. Name unit Address Process

123456D-01 Bottling site Amsterdam

OR

Green Farm

12 Brusselweg

Amsterdam

Farmgate 2-3

Gent

Bottling of soft drinks

OR

Production of vegetables in greenhouses

This certificate including the annex remains property of NAME OF THE CONTROL BODY and can be withdrawn in case of terminations as mentioned in the client contract, or in case changes or deviations of the above-mentioned data occur. The client is obliged to inform NAME OF THE CONTROL BODY immediately of any changes in the above mentioned data. Only an original and signed certificate is valid.

Date: 12-03-2012 Authenticated by: Name of Certifier

This certificate cannot be used as a guarantee certificate for delivered products


22

Annex 3. EWS logo

The following EWS logos are to be used for certificates as well as in any off-product claims according to the level of certification attained by the certified body. The logo should not be smaller than 4x4.


23

Annex 4. EWS Fee Structure, Version February 2013

EWS fees are defined according to the following fee categories:

Operator registration fee

Both the operator registration fee and the certificate license fee are linked to the certificate cycle. The operator registration fee applies to each

individual operator (also to each producer group member) and has to be paid per calendar year according to the certificate cycle.

Certification Body application fee

The CB application fee covers the evaluation of the CB’s application to become an EWS approved CB. This fee will also prevail in case the CB’s

application does fail.

Certification Body

training fee

Several training requirements ensure the quality and qualification of EWS

approved auditors, inspectors and the EWS scheme managers.

Certification Body

license fee

The Certification Body license fee is paid for general licenses to carry out

certification activities within the EWS framework and is paid by the Certification Body on an annual basis. It includes the basic training fee for

one inspector / auditor.

Certificate license fee

Certificate license fee applies to each issued certificate and is paid by the

Certification Body and to be paid per calendar year according to the certificate cycle.


24

Operator fees

Fee Type Applies to Amount per year

Operator

registration fee

Processing Units (Per legally certified entity) 350 €

Agricultural / primary production units:

Irrigated areas < 1 ha

≥1 - <10 ha

≥10 - <30 ha

≥30 - <100 ha

≥ 100 ha

20€

40€

80€

100€

250€

Non irrigated areas < 1 ha

≥1 - <10 ha

≥10 - <30 ha

≥30 - <100 ha

≥100 ha

10€

20€

40€

50€

125€

Livestock (except dairy; Meat is measured in metric tons,

live weight.)

< 30 tons

≥30 - <100 tons

≥100 - <250 tons

≥250 - <500 tons

≥500 - <1000 tons

≥1000 - <2500 tons

≥2500 - < 5000 tons

≥ 5000 tons

5€

10€

30€

50€

100€

200€

500€

1000€

Dairy (Measured in metric

tons fresh milk.)

< 70 tons

≥70 - <200 tons

≥200 - <500 tons

≥500 - <1000 tons

≥1000 - <2000 tons

≥2000 - <5000 tons

≥5000 - <10000 tons

≥ 10000 tons

5€

10€

30€

50€

100€

200€

500€

1000€


25

CB fees

Fee Type Applies to Amount [€]

CB application

fee

GLOBALG.A.P. accredited

CB

300€ Once for initial application.

Non- GLOBALG.A.P.

accredited CB

500€ Once for initial application.

Enlargement of scope for EWS approved CBs

150€ per additional scope

CB license fee Basic 2000 € / year Including one basic annual e learning and in-person training of

1 EWS scheme manager.

CB training fee CB EWS entry test

(Questionnaire)

50€ per test per

person

Once for each auditor/inspector

within the standard version validity period. Payable at the moment of

first registration.

CB face-to-face training 300€ per day per

person

Initially a full training (1,5 to 2

days). Thereafter, one-day update training every year. Not included

in the annual CB license fee.

CB scheme manager update

training

300€ per day per

person

Generally included in the annual

Certification Body license fee for one participant.

CB auditor training for

multi-site group certification

300€ per day per

person

Every CB auditor who audits

producer groups participates in a one-day CB auditor training for

group certification per standard

version. Not included in the annual CB license fee. NOTE: This

training is not obligatory for CB

auditors who are GLOBALG.A.P. recognized auditors for group

certification.

CB certificate

license fee

Processing unit 50€/EWS

certificate

Per calendar year to be paid

according to certification cycle.

Farming 25€/ EWS certificate

Group 100 €/EWS group

certificate

Plus 1 € for each producer

A certified multi-site/group

receives 1 group certificate.

Producer = producer mentioned in the annex of the certificate.

CB performance

approval

According to EWS

fee structure1

Performance approval according to

the EWS certification outline.

1 Cost estimations for witness audits and CB performance approval will be based on the following

rates: Rates are principally charged on full-day basis. Travel time is not charged. Travel and accommodation costs are

charged as invoiced.

Fee Type Applies to Amount per day in [€], excl. VAT

Daily Rate

Director 1,000-1,100

Senior 700-900


26

Annex 5. Guidance on audit duration

1 Introduction

This document provides recommendations and guidance for CBs to develop their own documented procedures for determining the amount of time required for the auditing of clients of differing sizes and complexity over a broad spectrum of activities. It is intended that this will lead to consistency of audit duration between CBs, as well as between clients of the same CB. In case the CB decides to identify the audit duration that differs from the provisions included in step 2, it should be justified and records of justification kept together with the audit documentation. This justification shall be available to EWS Secretariat (or accreditation body when applicable) for review.

This guideline applies for duration of initial audit, surveillance audits, and re-certification audits.

2 Initial Audit duration

2.1 Procedure to estimate the initial audit duration

For an EWS audit, it is appropriate to base audit duration on the effective number of personnel1 of the organization and the complexity of the business operations2. The audit duration should then be adjusted based on any significant factors that uniquely apply to the organization audited.

The complexity of the business in terms of water management is calculated in Step 1. Business that score more or equal to 10 will be considered of high complexity and those scoring less than 10 will be considered of medium complexity. Step 2 summarises the audit duration guidance based on effective number of personnel and complexity of the business. The additional factors that need to be considered to increase or decrease audit duration are included in Step 3 (other additional factors can be defined by the CB).

1 The effective number of personnel consists of all full time personnel involved in the production site scope of certification including those working on each shift. Non-permanent (seasonal, temporary, sub-contractors and contracted personnel) and part time personnel who will be present at the time of the audit shall be included in this number.

2 Audit duration refers to time at a client's premise. Time spent off-site carrying out planning, document review, interacting with client personnel and report writing should be agreed by the auditor and the client. This applies to initial, surveillance and recertification audits. Where additional time is required for planning and/or report writing, this will not be justification for reducing on-site audit duration for any audit.


27

Step 1: Business complexity in terms of water management

Complex

Factor

0 1 2 Score

i. History of

the client

with EWS

Performed a gap analysis (e.g. pre-screening) performed by external consultancy

Attended EWS training No references to past history and participation with EWS scheme

ii. Type of

production

(business

sector)3

– Hotels/restaurants

– wood and wooden products, excluding manufacturing of boards, treatment and impregnation of wood

– paper products, excluding printing, pulping, and paper making

– rubber and plastic injection moulding, forming and assembly, excluding manufacturing of rubber and plastic raw materials that are part of chemicals

– hot and cold forming and metal fabrication, excluding surface treatment and other chemical-based treatments and primary production

– general mechanical engineering assembly, excluding surface treatment and other chemical-based treatments

– electrical and electronic equipment assembly, excluding manufacturing of bare printed circuit boards

– fishing/farming/ forestry

– textiles and clothing except for tanning

– manufacturing of boards, treatment/ impregnation of wood and wooden products

– paper production and printing, excluding pulping

– non-metallic processing and products covering glass, clay, lime, etc.

– surface and other chemically-based treatment for metal fabricated products, excluding primary production

– production of bare printed circuit boards for electronics industry

– manufacturing of transport equipment – road, rail, air, ships

– non-coal-based electricity generation

– gas production (note: extraction is graded high)

– water abstraction, purification and distribution, including river management

– food processing and beverage

– hospitals

– Universities

– Airports

– mining and quarrying

– oil and gas extraction

– tanning of textiles and clothing

– pulping part of paper manufacturing, including paper recycling processing

– oil refining

– chemicals and pharmaceuticals

– primary productions – metals

– non-metallic processing and products covering ceramics and cement

– coal-based electricity generation

– effluent and sewerage processing

– Medical Devices

– Semiconductor

3 The complexity ranking of any business sector not covered in this list should be agreed with EWS secretariat.


28

Complex

Factor

0 1 2 Score

iii. Water source

Less than 25% of total water use from Groundwater

Between 25% and 75% of total water use from Groundwater

> 75% of total water use from Groundwater

iv. Ground- water status

(chemical or quantitative)4

Both status are Good At least one of the two status is Poor

Either status are Unknown

v. Surface- waterbody status

(ecological or chemical) 5

Both status are High-Good

At least one of the two status is Moderate-Poor

Either status are Bad-Unclassified6

vi. Reporting Company performing CDP water disclosure, GRI or signed CEO water mandate

Specific water information from local sites included in the sustainability report

General information on water (not site specific) included in company reporting

No information on water publicly available

Total (sum of scoring)

High Complexity: ≥ 10

Medium Complexity: <10

Step 2. Guidance of Initial EWS audit duration

Effective number of personnel

Initial Audit duration (in days)

High complexity

Medium complexity

1-500 1 1

500-1000 2 1

1000-5000 2.5 1.5

>5000 3 2

4 http://www.eea.europa.eu/themes/water/interactive/soe-wfd/wfd-ground-water-viewer

5 http://www.eea.europa.eu/themes/water/interactive/soe-wfd/wfd-surface-water-viewer

6 Unclassified makes reference to no information provided by the Member State

http://www.eea.europa.eu/themes/water/interactive/soe-wfd/wfd-ground-water-viewer

http://www.eea.europa.eu/themes/water/interactive/soe-wfd/wfd-ground-water-viewer

http://www.eea.europa.eu/themes/water/interactive/soe-wfd/wfd-surface-water-viewer

http://www.eea.europa.eu/themes/water/interactive/soe-wfd/wfd-surface-water-viewer


29

Step 3 Additional factors

Increase audit duration

─ Complicated logistics involving more than one building or location where work is carried out;

─ Staff speaking in more than one language (requiring interpreter(s) or preventing individual auditors from working independently);

─ Very large site for the number of personnel (e.g., a forest); ─ System covers highly complex processes or relatively high number of unique

activities; ─ In the case of visitor sites: Activities that require visiting temporary sites to

confirm the activities of the permanent site(s) whose management system is subject to certification.

─ Higher sensitivity of receiving environment compared to typical location for the industry sector;

─ Views of interested parties; ─ Indirect aspects necessitating increase in auditor time (large distances of

water sources/discharge points); ─ Additional or unusual environmental aspects or regulated conditions for the

sector. Any non-compliance with legislation or other environmental audits.

Decrease in audit duration

─ Very small site for number of personnel (e.g. office complex only), ─ Maturity of management system; ─ Prior knowledge of the client management system (e.g., already certified to

another standard by the same CB); ─ Client preparedness for certification (e.g., already certified or recognized by

another 3rd party scheme); ISO 14001 or GLOBALG.A.P certified.

The CB should exercise discretion to ensure that any variation in audit duration does not lead to a compromise on the effectiveness of audits.

2.2 Remote auditing

Certification audit duration may include remote auditing techniques such as interactive web-based collaboration; web meetings, teleconferences and/or electronic verification of the client’s processes. These activities shall be identified in the audit plan, and the time spent on these activities may be considered as contributing to the total “on-site audit duration”. If the CB plans an audit for which the remote auditing activities represent more than 30% of the planned on-site audit duration, the CB shall justify the audit plan and maintain the records of this justification which shall be available to EWS Secretariat (or accreditation body when applicable) for review. It is unlikely that the remote auditing activities represent more than 50% of the total on-site auditor time.

3 Surveillance audit

During the initial three year certification cycle, surveillance audit duration for a given organization should be proportional to the time spent on initial certification audit, with the total amount of time spent annually on surveillance being about 1/3 of the time spent on the initial certification audit. EWS Secretariat acknowledges that in many cases at least a full day will be necessary to cover all the improvement points of the standard. An update of client data related to certification shall be available for the planning of each surveillance audit. The planned surveillance audit duration shall be reviewed from time-to-time, at least at every surveillance audit and always at the time of recertification, to take into account changes in the organization, system maturity, etc. The evidence of review including any adjustments to audit duration shall be recorded.

3.1 Re-certification Audit

The duration of the recertification audit should be calculated on the basis of the updated information of the client and is recommended to be approximately 2/3 of the time that would be required for an initial certification audit of the organization.

Documents

European Water Stewardship Standard · (AWS), which is the global Water Stewardship program, with its AWS standard as equivalent global standard to the EWS standard ensuring the Water