The Registration Questionnaire is a standardized questionnaire designed to help assess whether a user has reliable systems and processes in place for aggregators and related supply chains to ensure compliance with and provide reliable information related to lawful production of commodities, including whether and how these systems are audited. It also seeks to obtain information regarding good communication regarding EUDR requirements and effective grievance management procedures, along with information regarding complaints, compliance breaches and legal proceedings.
ICE CoT uses questionnaires to collect and analyse information regarding these systems, procedures and processes as they relate to making sure: (i) the commodities and related products contained in or used to make the product consignment were lawfully produced; (ii) as required, appropriate compliance risk mitigation was exercised; and (iii) each product parcel supplied by an aggregator contains or is made only from commodities produced on some or all the farm plots associated with the product parcel within the provided physical flow traceability data, and no other farm plots.
Two types of questionnaires are used:
Registration questionnaire
Collects information regarding the list of aggregators and the types of internal management systems for each production country, along with information regarding supply chain communication, grievances and compliance violation.
Legality and risk questionnaire
Asks how these systems ensure compliance with the applicable legislation for each specified legality topic in each production country and how remaining risks are mitigated.
Relevant systems and documentation to evidence the answers to the questionnaires must be available and may be inspected and verified.
Only aggregators (and related supply chains) with fully and satisfactorily completed questionnaires are eligible to be identified in the physical flow traceability input data for any product consignment.
Registration questionnaire
Legality and risk questionnaire
The Lawful Production and Compliance Risk Questionnaire is a detailed and adaptable questionnaire designed to help assess how the internal management systems ensure compliance with applicable local laws and mitigate residual risks of non-compliance with the EUDR. Users must confirm whether they have internal management systems in place covering all aggregators (and the related supply chains) in each production country to collect, verify and risk assess information which shows compliance with relevant legislation regarding each applicable legality topic, including the specific laws identified by local legal and sustainability experts for each legality topic as applicable for each production country. Legality topics include land use rights, environmental protection, third-party rights and Free, Prior, and Informed Consent (FPIC), labour and human rights, and tax, anti-corruption, trade, and customs regulations.
Where the internal management system reveals a risk of non-compliance with relevant legislation, users must confirm they have implemented the required mitigation measures specified regarding each legality topic. If a user does not confirm an internal management system is in place for each legality topic, or does not confirm that the required mitigation measures have been adopted, the aggregators and their related supply chains are not eligible to be referenced in a product consignment within ICE CoT.
Risk assessment process
ICE CoT's risk dashboard includes information relating to specified risk criteria and identifies how users can use this as part of their EUDR risk assessment processes regarding a product consignment.
The information includes:
- ICE CoT Farm Plot Data Methodology outcome;
- ICE CoT Physical Flow Traceability Methodology outcome;
- Lawful Production and Compliance Risk Questionnaire outcome;
- European Commission production country risk assignments and expert group conclusions;
- Data regarding the presence of forest and prevalence of deforestation in the production country (Space Intelligence and EU Observatory maps);
- Public resources information regarding corruption perceptions, regulatory quality, rule of law, human rights, conflicts and sanctions in the production country; and
- Data regarding indigenous peoples risks.
Make the connection
Get in touch with a member of our team for more information on ICE CoT.