RSPO SCCS The Certification Audit Requirements

1. SCCS M3 May 2013 RSPO SCCSThe Certification Audit Requirements PROFESSIONAL TRAINING SERIES

2. RSPO Supply Chain Certification Systems 2011 1. ACCREDITATION Requirements for Certification Bodies 2. CERTIFICATION REQUIREMENTS Team Competency Unit of Certification Client Application & Contract Assessment Planning Transfer of CB Conflict of Interest Public Documentation 3. CERTIFICATION PROCESS Onsite Assessment Results Certificate Awarded Surveillance

3. SCC System 1. Accreditation

4. Overview • Only accredited CBs to audit and issue certificate. Currently ASI provides the accreditation service for RSPO. • Interim provision allows CBs for P&C to audit supply chain systems of CPO mills.

5. Approval Process • CBs possess a documented management system to handle the requirements of the SCCS • CBs must conform to: • ISO/IEC Guide 65:1996 General Requirements for bodies operating product certification systems or • ISO 17021:2006 Conformity assessment. Requirement for bodies providing audit and certification of management systems.

6. Complaints • ASI will manage complaints against a CB • RSPO is notified where: • ASI receives a complaint against a CB • ASI unable to resolve within 60 days

7. SCC System 2. Certification Requirements

8. Team Competency

9. Overview • CB is responsible for: • All auditors are knowledgeable and meet SCCS requirements • Defined minimum competency for lead assessors and assessment teams. At least consistent with ISO19011:2002 (Guidelines for quality and/or environmental management systems auditing)

10. General Competency • Sufficient supply chain expertise to address all of the RSPO SCCS • Must be fluent in the main languages relevant to the location of the assessment

11. Lead Auditors Minimum Advanced post high school education degree or diploma or equivalent Technical skills and qualifications related to and as necessary for the certification process, like demonstrable relevant experience in other relevant certification schemes Demonstrable successful completion of a recognised lead assessor course e.g. a ISO 9000/19011 lead auditor course Demonstrable successful completion of an RSPO-endorsed RSPO Supply Chain Certification Systems training course Language skills suitable for verbal and written communication with the client and the client’s relevant stakeholder groups Demonstrable field working experience in similar supply chains, or equivalent related to and as necessary for the certification process Supervised period of training in practical auditing by a qualified lead auditor with at least 15 days audit experience in similar certification schemes (i.e. including traceability), achieving a minimum of 2 audits at different organisations.

12. Unit of Certification

13. Unit of Certification “All operators who take legal ownership & physically handle (including receipt into storage tanks) RSPO certified sustainable oil palm products” • This applies up and including the end product manufacturer: • First operator: Palm Oil Mill(BC, SG or MB only) • Last Operator: End Product Manufacturer • Facility or parent company are RSPO members

14. RSPO (or GP) member Trademark & claims controlled by RSPO rules 3 RSPO member CPO mill SC during P&C audit CPO Mill adopts GP or SG/MB models 1 RSPO member SCCS certifies individual facilities Allows multi-site certification Includes outsourced services covered by contracts 2

15. Multi-site certification is allowed where facilities are represented by a Central Office and can operate across multiple countries. Central Office manages SCCS requirements RSPO Certificate issued to Central Office ICS defines how SCCS will ensure compliance Internal Audits at least 1/annum

16. Client Application and Contract

17. Overview • CB informs client of RSPO, SCCS, Market Claims and other CB requirements. • CB enters into a contract with SC client; contract covers specific points • CB reviews company management documentation. CB to clarify areas of concern.

18. Contractual requirements • CB to maintain records of agreement prior to audit • Scope (SC system to be audited), duration, costs and CB/Client’s contractual obligations. • Contract must include client’s rights to object (and be covered by CB procedures) and Confidentiality and Declaration of Interests

19. Assessment Planning

20. Overview • CB plan consistent with ISO 19011:2012 • CB plan based on SC model, existing certifications, etc • CB can combine SC audits with others (e.g. food safety, quality) • CB shall recognise any previous RSPO SCCS certificates

21. Transfer of Certification Body

22. Overview • Once all major NC closed/financial obligations met, transfer of CB is permitted • New CB will officially communicate to old CB/RSPO • Old CB shall share all reports/non-conformance forms • New CB uses past reports as a guide for future audits

23. Timing • New CB issues Certificate after new audit • Previous certificate expiry dates shall be maintained • RSPO shall be informed of the new certificate

24. Conflict of Interest

25. Overview • CB’s procedures must allow for independent committee (min 3 external members) to meet at least annually to review CB performance. • Includes contractual obligation for auditors to declare possible/actual conflict of interest . • Any breaches must be reported to CB head/RSPO. • Records maintained for at least 5 years.

26. Independence • Within min of 3 years … • No family/personal relationships within organisation • Not having been employed • No consultancy services (exception for certification/verification activates)

27. Public Documentation

28. Overview • CB website or RSPO website (or on request): • RSPO SC Certificate of Conformance • CB complaints procedure & resolution mechanisms • Register of certified organisations (scope of certificates, which sites and/or processes approved)

29. SCC System 3. Certification Process

30. Onsite Assessment

31. Overview • Opening meeting – as prescribed • Review of management systems, inc. documented policies and procedures • Operational Facility • Subcontractors • Records of receipt, processing and supply of certified product to buyers making claims • Closing meeting – as prescribed

32. Opening Meeting • Explains the Certification Process • Agree on logistics for assessment • Confirm access to all relevant documents/field sites/personnel/subcontractors • Explains confidentiality/conflict of interest • Agree timing for closing meeting

33. Contractors • Independent third party (e.g., storage facility or Kernel Plant) • Not take legal ownership of material • SCCS compliant by signed & enforceable agreement • Includes SCCS specific requirements • Agree to meet SCCS, reporting & traceability requirements • Allows CB access

34. Control of Claims Rules Market Communication & Claims 2011 • General terms • Corporate Communication • Product-related Communication • Rules IP, SG & MB • Rules Book & Claim • Rules for combined SC • Trademark Graphic Design • Trademark Application Verified at all audits

35. Closing Meeting • Explains no claims until Certificate issued • Explains what actions required to issue Certificate (supported by a written statement duly signed) • Detailed Records: list of participants; & description of information provided and correspondences • Closing Meeting signed by Lead & senior Management rep

36. Results

37. Overview • Certification Report (see Template) • All NC = Major; 3 months to close or new audit required. • Any NC after Certificate issued must be resolved within 1 month (or suspended/withdrawn or new audit required)

38. Suspension • If objective evidence of falsely identified RSPO products = immediate suspension • Supply chain customers shall be informed immediately • Re-certification if issue resolved (i.e., audit or review of corrective action plan)

39. Certificate Awarded

40. Awarding Certification CERTIFICATE Certificate & Report Follows RSPO Template CB submits to RSPO within 10 days RSPO to upload certificate on RSPO website and E-trace system within 1 working week

41. Surveillance

42. Overview • Certificate is valid for 5 years, with annual surveillances • Annual Surveillance • Review management system • Records of volumes of certified products • Market claims and communication • Re-Certification audit verifies volumes over certificate period • Overproduction – follow up may be required; must notify e-Trace

43. SCC System Conclusion

44. Conclusion • Only approved RSPO supply chain certification bodies can audit facilities and issue a supply chain certificate. • Specific rules governs how the requirements of the certification bodies and the audit process. • The SCCS certificate covers all operators who legally own or physically handle RSPO certified products. • Certificates are valid for 5 years, with annual surveillances.