Governance, Certification Structure, Roles and Responsibilities

3.1 Purpose

This chapter establishes the governance framework for the Natural Value Traceability System (NVTS™). Effective governance ensures that certification decisions are independent, transparent, technically competent, and consistently applied across all sectors implementing the NVTS™ standard.

The governance framework is founded on the principles of:

Independence
Impartiality
Transparency
Technical Competence
Accountability
Continuous Improvement

3.2 Governance Structure

The NVTS™ governance framework consists of six operational levels:

Kenya Coffee School
        │
NVTS™ Certification Council
        │
────────────────────────────
│            │            │
Technical    Standards    Appeals
Committee    Committee    Committee
        │
Certification Secretariat
        │
Lead Auditors
        │
Field Auditors
        │
Applicants

3.3 Kenya Coffee School

Kenya Coffee School serves as the custodian of the NVTS™ framework and is responsible for:

Developing and maintaining the NVTS™ standard.
Updating technical requirements.
Publishing official guidance documents.
Approving certification procedures.
Coordinating international partnerships.
Supporting auditor capacity development.
Promoting research and innovation.

3.4 NVTS™ Certification Council

The Certification Council is the highest certification decision-making body.

Responsibilities

Approve certification decisions.
Approve suspension or withdrawal of certificates.
Maintain certification integrity.
Approve revisions to certification policies.
Review annual certification performance.
Monitor impartiality.

3.5 Technical Committee

The Technical Committee maintains the scientific and technical integrity of the standard.

Responsibilities

Review technical indicators.
Develop audit methodologies.
Validate scoring systems.
Review emerging sustainability issues.
Recommend improvements.

3.6 Standards Committee

The Standards Committee is responsible for maintaining the NVTS™ Standard.

Responsibilities include:

Reviewing stakeholder feedback.
Revising technical requirements.
Publishing updated editions.
Maintaining terminology.
Aligning with international best practices.

3.7 Appeals Committee

The Appeals Committee operates independently from audit teams.

Its responsibilities include:

Reviewing appeals.
Investigating disputed certification decisions.
Conducting independent evaluations.
Recommending corrective measures.

Committee members shall not have participated in the original audit.

3.8 Certification Secretariat

The Secretariat manages the day-to-day operation of the certification programme.

Responsibilities include:

Receiving applications.
Assigning auditors.
Scheduling audits.
Maintaining records.
Issuing certificates.
Maintaining the digital registry.
Managing QR code verification.
Maintaining blockchain records where applicable.

3.9 Auditor Categories

NVTS™ recognizes four categories of auditors.

Level 1 – Associate Auditor

Minimum qualifications:

Relevant diploma or degree.
Completion of NVTS™ Auditor Training.
Successful examination.
Supervised field audits.

May participate only under supervision.

Level 2 – Auditor

Requirements:

Successful completion of at least five supervised audits.
Technical competence in sustainability assessment.
Interviewing skills.
Report writing competency.

May lead small audits.

Level 3 – Lead Auditor

Requirements:

Significant audit experience.
Excellent technical knowledge.
Leadership competency.
Successful witness assessment.

Responsibilities include:

Leading audit teams.
Reviewing evidence.
Preparing audit reports.
Presenting findings.

Level 4 – Principal Auditor

Principal Auditors are responsible for:

Witnessing Lead Auditors.
Conducting complex audits.
Technical mentoring.
Developing guidance documents.
Participating in standards development.

3.10 Auditor Competencies

Every NVTS™ Auditor shall demonstrate competence in:

Technical Knowledge

Agriculture
Sustainability
Environmental science
Food safety
Traceability
Climate-smart agriculture
Biodiversity
Soil science
Quality assurance

Audit Skills

Interviewing
Observation
Sampling
Risk assessment
Evidence collection
Root cause analysis
Documentation
Report writing

Personal Attributes

Auditors shall demonstrate:

Integrity
Professionalism
Confidentiality
Fairness
Respect
Cultural sensitivity
Objectivity
Independence

3.11 Auditor Code of Conduct

Every auditor shall:

✓ Act honestly.

✓ Remain impartial.

✓ Avoid conflicts of interest.

✓ Protect confidential information.

✓ Base decisions on evidence.

✓ Respect cultural diversity.

✓ Avoid discrimination.

✓ Report suspected fraud.

✓ Maintain professional competence.

3.12 Conflict of Interest

Auditors shall not audit:

Their own organization.
Close family members.
Businesses in which they hold financial interests.
Organizations they have recently consulted for.

Any conflict shall be declared before accepting an audit assignment.

3.13 Confidentiality Agreement

All auditors shall sign an NVTS™ Confidentiality Declaration before conducting audits.

The declaration shall include:

☐ Applicant information

☐ Commercial records

☐ Production data

☐ Financial information

☐ Traceability information

☐ Personal information

☐ Digital records

3.14 Audit Team Composition

Audit teams may consist of:

Role	Responsibility
Lead Auditor	Overall management
Auditor	Evidence collection
Technical Expert	Specialist advice
Observer	Training only
Interpreter	Language support

3.15 Technical Experts

Technical experts may be appointed where specialized expertise is required, including:

Coffee agronomy
Soil science
Water management
Carbon accounting
GIS mapping
Biodiversity conservation
Occupational health and safety
Food safety
Laboratory testing
Digital traceability systems

Technical experts provide advice but do not make certification decisions unless authorized.

3.16 Certification Decision Process

Certification decisions shall be based solely on objective evidence gathered during the audit process.

The sequence is:

Application received.
Document review completed.
On-site audit conducted.
Audit findings documented.
Corrective actions evaluated (if required).
Independent technical review.
Certification decision.
Certificate issued or application declined.
Surveillance and ongoing monitoring.

3.17 Governance Principles

The NVTS™ governance system shall ensure:

Transparency in decision-making.
Equal treatment of applicants.
Technical consistency.
Independence of certification decisions.
Effective handling of complaints and appeals.
Periodic review and improvement of the certification programme.

3.18 Organizational Commitment

Organizations seeking NVTS™ certification should demonstrate commitment by:

Providing adequate resources.
Maintaining accurate records.
Cooperating with auditors.
Implementing corrective actions promptly.
Promoting continual improvement.
Supporting ethical and sustainable practices throughout their operations.

End of Chapter 3

Next Chapter: Chapter 4 – The NVTS™ Standard Requirements, where each of the five Natural Value Pillars (Nature, People, Culture, Quality, and Trade) will be broken down into detailed criteria, indicators, evidence requirements, scoring guidance, and audit questions suitable for certification assessments.

Chapter 3 Governance, Certification Structure, Roles and Responsibilities

3.1 Purpose

The governance framework is founded on the principles of:

Independence
Impartiality
Transparency
Technical Competence
Accountability
Continuous Improvement

3.2 Governance Structure

The NVTS™ governance framework consists of six operational levels:

Kenya Coffee School
        │
NVTS™ Certification Council
        │
────────────────────────────
│            │            │
Technical    Standards    Appeals
Committee    Committee    Committee
        │
Certification Secretariat
        │
Lead Auditors
        │
Field Auditors
        │
Applicants