Certification Procedure of RSPO Supply Chain Audit

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1 : 1 of 19 Table of Contents 1. Purpose 2. Scope 3. Unit of Certification 3.1 Identity Preserved, Segregation, Mass Balance, 3.2. Book and Claim 4. Definitions 5. Responsibilities 5.1 Head of the Certification Body / Deputy 5.2 QM Manager / Management Representative 5.3 Auditors Technical Experts 5.4 Marketing / Sales 5.5 Administration 6. Procedure 6.1 Customer inquiry/draft of offer 6.2 Audit preparation/certification audit Audit stage Audit planning Audit stage Audit documentation Audit Finding Supply Chain Certification Report 6.3 Certificate issue and surveillance Certificate issue Certificates Surveillance audit Suspend and withdrawn Repeat audit Extension audit 6.4 Multisite certification (group/matrix certification) 6.5 Public availability of documentation 7. Addition for spezific standards 1 from 19

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3 : 3 of Purpose Certification Procedure PRSPO-TNI-06 describes : The roles, responsibilities and processes in a certification body involved in the certification of management systems (MS), Evaluation of compliance with RSPO Supply Chain Certification Systems The certification process consists of the phases: contract review and offer preparation, audit preparation, performance of audit stage 1, performance of audit stage 2, issue of the certificate, and surveillance of the certified management system. The sequence is repeated at the end of the term of validity of the audit, except for audit stage 1. Recertification audit activities may need to have an audit stage 1 in situations where there have been significant changes to the management system, the client, or the context in which the management system is operating (e.g. changes in legislation). In addition to this procedure the requirements of the specific standards are laid down in PMLF-TNI-25 R05 Management System certification Procedure. 2. Scope This procedure applies to and its auditors This procedure include public announcement by the certification body of the assessment at least 5 (five) weeks prior to audit time. The RSPO certification standards are as follows: 2.1. Sustainable production of oil palm products Production of sustainable oil palm products is comprised of legal, economically viable, environmentally appropriate and socially beneficial management and operations. This is delivered through the application of the RSPO Principles and Criteria for Sustainable Palm Oil Production, and the accompanying indicators and guidance (referred to collectively in this document as the RSPO Criteria ). All of the RSPO Criteria apply to the management of oil palm. All relevant RSPO Criteria also apply to mills. National interpretations of the international indicators and guidance will also be developed; in order to keep overall control of the quality of any set of indicators and guidance claiming to be official interpretations, especially in the local legal context, national interpretations will require endorsement or recognition by RSPO Supply chain requirements for sustainable oil palm products The oil palm products may go through many production and logistical stages between the grower and the product. Any individual batch of palm and palm kernel oil can be traded through one of four supply chain mechanisms that are approved by RSPO: Identity Preserved Segregated Mass balance Book and Claim For the first three of these, Identity Preserved, Segregated and Mass Balance, supply chain controls from the plantation through to the certified end product are required, as defined in the RSPO Supply Chain Standard. This document sets outs certification systems for assessment against the RSPO Supply Chain Standard. 3 from 19

4 : 4 of 19 Users of the RSPO Book and Claim system, who are not producers, need to show: Compliance with the rules for use of the RSPO Book and Claim system Claims made are in accordance with the RSPO Rules on Communication & Claims. 3. Unit of Certification All operators who take legal ownership and physically handle (including receipt into storage tanks) RSPO Certified Sustainable oil palm products need to be RSPO supply chain certified. This requirement applies up to and including the end product manufacturer. Operators who take legal ownership and physically handle (including receipt into storage tanks) the RSPO Certified oil palm products also include mill operators. To achieve supply chain certification, a mill must demonstrate compliance with the intent and simplified version of the requirements of the RSPO Supply Chain Standard depending on which supply chain model(s) it is trading under. The Supply Chain Certification audit shall take place on individual site level. Multi-site certification is possible under specific requirements on sampling (see paragraph 6.4 of this document) 4. Definitions Audit: Independent assessment by an RSPO approved certification body as part of the certification process Certification Body: An independent body that is approved by RSPO to conduct certification assessments against the intent and requirements of the RSPO Supply Chain Certification Systems. Certified Sustainable Palm Oil (CSPO): Palm oil from an RSPO certified mill (with its supply base). Appointed Person: Competence Personnel who are appointed to perform certain, defined tasks on behalf of Head of Certification Body Audit day: An audit day basically comprises 8 hours (net). Where it seems useful, a 10 hours audit day might be accepted by the appointed person. Audit Stage 1: On-site or off-site assessment of the readiness for certification of a company s management system and planning of audit stage 2. This includes the review of management system documentation. An on-site assessment may not be needed as an exception. Audit Stage 2: On-site assessment of establishment, implementation and effectiveness of a management system with respect to the issue of a certificate. Completion of audit: Last day of audit stage 2, typically the day of the final closing meeting. Correction: Action to eliminate a detected nonconformity. Corrective Action: Action to eliminate the cause of a detected nonconformity. Evaluation of documentary evidence: Off-site assessment of the implementation and effectiveness of corrections and corrective actions for nonconformities issued during the audit. 4 from 19

5 : 5 of 19 Extension Audit: Evaluation of management system implementation and effectiveness in additional or changed areas or sites of the scope, or after removal of parts of the scope with respect to changes of the scope of a certificate. Follow-up Audit: On-site assessment of the implementation and effectiveness of corrections and corrective actions for nonconformities issued during the audit. Nonconformity: Non-fulfilment with respect to the certification requirements. a) The effectiveness of correction and corrective actions, for all nonconformities that represent a failure to fulfil one or more requirements of the RSPO Supply Chain Requirement or a situation that raises significant doubt about the ability of the RSPO Supply Chain Requirement to achieve its intended outputs. have to be reviewed, accepted and verified prior to the release of the audit file. b) For any other nonconformities the auditor reviews and accepts the client`s planned corrections and corrective actions prior to the release of the audit procedure; the verification is performed in the following scheduled audit (e.g. surveillance). The verification may be satisfied by presenting personalized evidence or on a follow-up visit. Re-Certification Audit: Review of overall management system implementation and effectiveness in the organization with respect to new issue of the certificate. Short-notice Audit: Audits of certified clients at short notice to investigate complaints, or in response to changes, or as follow up on suspended clients. Surveillance Audit: Periodical (yearly, optionally half-yearly) at least annually, post-certification on-site audit of management system implementation and effectiveness in representative areas, functions covered by the scope of the management system of the organization at defined intervals with respect to the maintenance of a certificate,and verify corrective action or in response to complaints. 5. Responsibilities 5.1 Head of Certification Body and Deputy With respect to the scope of this procedure, the Head of the Certification Body is ultimately responsible for : select and appoint auditors, senior auditors and appointed persons, review and approval of certification files and by involving competent auditors if necessary. These auditors shall not have been part of the certification process activities Recommendation for issue / maintenance of the certificate The Head of the Certification Body is authorized to delegate responsibilities to Deputy for areas covered by a particular management system standard whenever applicable. The Head of the Certification Body is the direct superior of the local auditors and the local certification personnel in all matters concerned with management system certification. Certain tasks from the certification process can be performed in the offices. These tasks are monitored by Head of Certification Body 5.2 QM Manager / Management Representative 5 from 19

6 : 6 of 19 The QM manager is the Management Representative of 5.3 Auditors Auditors are responsible for the proper conduct of the certification process in line with this procedure and other relevant RSPO Standards. within the audit team, the lead auditor has the following additional responsibilities: drafting of an audit plan and report for the Audit Stage 1 including assessment of the MS documentation, drafting of the audit plan and the report for the Audit Stage 2 in consultation with the audit team, assigning audit responsibilities during the audit, documentation of audit findings and any nonconformities in consultation with the audit team, recommendation for issue / maintenance of the certificate or required corrective action and its scope, or decision to terminate an audit, determination of scope of the management system in agreement with customer, submission of the complete certification documents to the certification body in good time for release. Within the context of the competent certification decision lead auditors at who are not involved in the audit procedure can be included in the review and release process Technical Experts Technical experts can be employed to complete competence requirements for an audit team. They always act under the direction of an auditor and do not contribute to audit time. 5.4 Marketing/ Sales Sales Department shall enter into a contractual agreement for certification services with an operation seeking or holding certification against the RSPO Supply chain systems and maintain a record of any agreement before proceeding with any service provision. The contract shall specify the scope (supply chain model to be audited), duration and costs related to the audit and also outline the Certification body s and client s contractual rights and obligations. This must include the client s right to object to the certification body s audit process and this right must be contained in the procedures of a CB. The contractual agreement shall include relevant provisions on confidentiality and declarations of interest. The Head and staff of the Marketing/ sales department handle cost calculation of orders, the formulation of the offer and conclusion of contract as well as the implementation of the certification procedure in terms of the system. Sales Department has responsible to prepare Introduction Letter, Questionnaire, Quotation, A Team & Effort Approval & Contract review and Public Announcement of the assessment at least one month prior to commencement. They monitor and organise the performance of the Certification, Surveillance and Re-certification audits on behalf of the certification body management. They have responsible send the Questionnaire, Quotation (offer), Contract for Certification to Client and Public announcement to RSPO Sec.. Sales Department file Original Record of Contract for Certification, Quotation, Questionnaire, A Team & Effort Approval & Contract review and Pubic announcement. 5.5 Administration The employees of the administration 6 from 19

7 : 7 of 19 - maintain and update the auditors and experts files. - Arrange schedule date to the client and make and submit audit schedule to the client. - Monitor the timing of surveillance execution. - They file the audit documentation records. 6. Procedure The process is initiated when an applicant makes an inquiry or an order received through sales activities. The applicant is informed of the basic certification process 6.1 Customer Inquiry / Drafting of Offer The certification body shall ensure that any operation seeking or holding certification against the requirements of the RSPO are provided with all necessary information concerning the RSPO as a whole, the RSPO Supply Chain Certification Systems, the RSPO Guidelines on Communication and Claims, including the certification body s own standards, indicators, verifiers and checklists or equivalent and other documentation available such as SCCS certification procedure and Audit Check List Protocol. If potential clients have any further questions concerning the RSPO these shall be directed to the RSPO website at The operation seeking or holding certification against the requirements of the RSPO shall submit any and all details about their organisation, their management system and their operations deemed necessary by the certification body to demonstrate how the intent and requirements of the RSPO Supply Chain Certification Systems are integrated into their organisation, their management system and their operations. The submission of information shall include the details and certification reports of any and all other certifications that are held by the operation (e.g. food safety, quality, etc.), including the contact details for any and all other certification bodies involved with said operation. The certification body shall review the submission to ensure that all elements of the respective RSPO Supply Chain Systems are addressed satisfactorily and fully meet the intent of the RSPO Supply Chain Certification Systems. The certification body shall clarify any issues or areas of concern with the operation seeking or holding certification. The questionnaire is sent to the applicant so that an offer can be prepared and is completed either by the applicant or with the support of sales staff. Based on the information from the questionnaire, the costs and efforts are calculated using the respective sections (calculation sheet for certification procedure audits stage 1 and stage 2 and surveillance audits). The offer is completed and after acceptance, a contract is concluded with the applicant. With the criteria given, it is decided whether the audit stage 1 is performed off-site or on-site. If an audit stage 1 is required, sales dept send to client RSPO Check List and audit plan shall be established. Client must fill Check List Supply Chain RSPO and send to Certification Body. Based on the customer requirements the audit stage 2 may be performed as a direct follow-up of the audit stage 1. However, it is required to inform the customer that weak points which might erase in the audit stage 1 may lead to nonconformities in the audit stage 2. As a consequence the interruption of the audit is also possible. It is good practice that the time gap (interval) between audit stages 1 and audit stage 2 is not longer than three months. Records of applicants shall be maintained for at least 5 year. 7 from 19

8 : 8 of Audit Preparation Contract Review has to be approved by Head of Certification Body or QM Manager or President Director prior to the audit. An audit team is appointed and the customer is informed of the team members once the contract is signed. Clients must be informed in advance that they can object against any member of the audit team with proper justification. The members of the audit team must fulfil the requirements described in PRSPO-TNI-02 Requirements for appointment of auditors In the case of dependent and auditing offices, the audit team and the audit time has to be approved by Head of Certification Body or QM Manager or President Director prior to the audit. Head of Certification body shall ensure that the persons that approved Contract Review and Audit Team are different from those who carried out the audits. If Head of Certification Body or QM Manager as Lead Auditor or Auditor, Deputy General Manager must be appointed competence personnel to approved A Team and Contract Review. The criteria for composing the audit team are: a) the audit must be performed with the participation of a nominated lead auditor, b) at least one member of the audit team must have the technical competence of the scope of the audit. This is required for audit stage 1 also. In audits of more than one management system by the same team, the competence requirements must be fulfilled. The lead auditor is responsible that during the audit technical competence is always ensured Audit Stage 1 8 from 19

9 : 9 of 19 The purpose of the audit stage 1 is : a) to audit the management system documentation of the customer (Document Review) b) review the submission to ensure that all elements of the respective RSPO Supply Chain Systems are addressed satisfactorily and fully meet the intent of the RSPO Supply Chain Certification Systems. The certification body shall clarify any issues or areas of concern with the operation seeking or holding certification. c) to assess the location and the location-specific conditions of the customer and to discuss various aspects with staff at the customer's organisation in order to determine readiness for the Audit stage 2 and appropriate range of method to collect objective evidence. d) to assess the status of the customer and also to assess the customer's understanding of the standard, particularly with regard to identification of key items which must be fulfilled and also other important aspects, processes, objectives and operation of the management system, e) to evaluate the resources which have to be allocated to the Audit stage 2 and to discuss and agree on the details of the Audit stage 2 with the customer, f) to create a main focus for planning the audit stage 2, by gathering sufficient understanding of the customer's management system and of the activities carried out on site and any significant aspects relating to these, g) to judge carried out and to ensure that the level of implementation of the management system proves that the customer is ready for the audit stage 2. In the report regarding the audit stage 1, the decision as to whether it is possible to perform the certification audit in the company without the need for further steps is described. The lead auditor is primarily responsible for the report. lf the requirements of the standard are not fulfilled, corrective measures are required from the customer. If all the requirements of the standard are fulfilled, detailed planning for the audit stage 2 follows. If the organizational systems, management system and operational systems of the operation seeking or holding certification appear, at the discretion of the certification body, viable to fully meet the intent and any and all provisions of the RSPO Supply Chain Certification Systems, the certification body shall recommend that said operation proceeds with an on-site conformity assessment. The exact formulation of the scope of the certificate must be established in agreement with the customer not later than four weeks before audit stage Audit planning The Lead Auditor or Auditor is responsible for preparing an audit plan which includes all RSPO Supply Chain requirements to be audited, the names of the relevant units within the customer`s organisation and a timescale for the audit. The Lead Auditor will coordinate the audit plan with the audit team and the customer`s representative. The certification body shall take account of the supply chain model selected, the organizational systems, the management systems and the operational systems used and any other certifications held (such as food safety, quality, etc.) by the operation seeking or holding certification when determining the level, details and planning of the conformity assessment required to assess compliance with the intent and requirements of the RSPO Supply Chain Certification Systems. The certification body may synchronise and combine RSPO Supply Chain audits with other on-site audits (such as food safety, quality, etc) where possible and appropriate. Certification bodies shall recognize certificates issued under RSPO Supply Chain Certification Systems by other RSPO approved certification bodies. The auditors may work as a team or independently, however there must be a splitting of the auditors for approx. 50% of the audit time, taking always into consideration the auditors competence. The proof of splitting has to be provided in the audit plan (e.g. if 2 auditors per department/process are planned in, at least 2 contacts from the company side must appear in the audit plan). The RSPO requirements for the respective standards are defined which must be audited together by the 9 from 19

10 : 10 of 19 auditors. The use of electronically based audit techniques (e.g. document inspection, inspection of corrective and preventive actions, video conferences) shall be taken into consideration in the audit plan (e.g. video conferences) if applicable. In situations where a customer provides a product or service at temporary sites (f.e installation sites, project locations etc.) it is important that evaluations of such sites are incorporated into the certification and surveillance program. Sample size and audit time will depend on the number, size and complexity of the activities of sites, extent of records available there and the amount of variations between individual sites. The level of sampling to take place during a certification assessment shall include every mill and base on minimum sample of 0,8 y where y is the number of management sub units. Suitable values are determined by the lead auditor and must be noted in the audit report Audit Stage 2 The audit commences with an opening meeting. The certification body s auditor shall follow the guidance on auditing as provided in ISO The on-site audit shall accomplish the following: Review whether the organizational systems, the management systems and the operational systems, including any documented policies and procedures of the operation seeking or holding certification, are sufficient and adequately implemented to meet the intent and requirements of the RSPO Supply Chain Certification Systems. Pertinent RSPO Supply Chain records relating to the receipt, processing and supply of certified palm oil being supplied to customers wishing to make a RSPO claim to the certified palm oil shall be reviewed until the previous audit. If applicable the review shall also include all records retained during the interim approval period. At the conclusion of the on-site audit the certification body auditor shall conduct a closing meeting with the client s representative(s), including the management. The certification body s verifying compliance of all activities conducted by subcontractors engaged by an operation seeking or holding certification with the intent and requirements of the RSPO Supply Chain Standard. During the closing meeting the certification body shall ensure that: The client is informed that until they receive written confirmation of their RSPO Supply Chain certification registration and its expiry date that they are not certified and cannot make any claims concerning certification; The client is made aware what actions they may have to complete before certification can proceed The client is made aware of the findings of the audit team including any deficiencies which may result in a negative certification decision or which may require further actions to be completed before a certification decision can be taken. A detailed record is compiled of the closing meeting including a list of the participants in the meet- 10 from 19

11 : 11 of 19 ing, a detailed description of the information supplied to the operation seeking or holding certification, any information additionally supplied by the operation, and any other information exchanged, including a written record of the notice that the findings of the audit team are tentative pending review and decision making by the duly designated representatives of the certification body. The record of the closing meeting shall be signed by the lead auditor and the most senior relevant management representative of the operation seeking or holding certification Audit Findings The auditors record their findings during the audit either by hand or electronically. All Non-conformances observed during an audit shall be classified as major since all requirements for Supply Chain certification have to be met before granting certification. All non-conformances shall be addressed satisfactorily by the operation before certification may be granted by the certification body If non-conformances are not addressed within three (3) months of the audit, a full re-audit shall be required. The certification body shall assess the effectiveness of the corrective and/or preventive actions taken before closing out the non-conformances. Non-conformances raised after the certification are serious (i.e. must be considered as a major), and the integrity of the RSPO Supply Chain certification is at risk. A maximum of one month is to be given to the certified client to satisfactorily address the non-conformance. The certification body shall assess the effectiveness of the corrective and/or or preventive actions taken. Should the non-conformance not be addressed within the one month maximum timeframe, a suspension or withdrawal of the certificate and a full re-audit may be necessary. Where objective evidence indicates that there has been a demonstrable breakdown in the supply chain caused by the certified client s actions or inactions, and that palm oil product that has been or is about to be shipped which is falsely identified as RSPO certified product immediate action needs to be taken by the certification body, and the RSPO Supply Chain certification should be suspended until such time that it has been addressed. The RSPO shall be notified within 24 hours of this occurrence and further impacts on relevant supply chain certifications. If no non-conformances are observed at an audit or when the corrective action plan has satisfactorily addressed raised non-conformance(s), the client shall be recommended for (re-) certification. The audit report is prepared based on the audit findings. Non-conformities are documented in the audit report. Action plans for nonconformities are prepared up by the customer in consultation with the lead auditor Supply Chain Certification Report Minimum content requirement when preparing a supply chain certification report 1. Certified Company details 11 from 19

12 : 12 of 19 Name, RSPO member number, and address of the operation certified and all relevant sitesof operation(s) seeking or holding certification including contact details of the management representative responsible for overseeing the certification process 2. Certification body details CB Certificate number, Date of Approval by RSPO 3. Summary A summary of the report, including a brief description of the scope of the certification. 4. Conclusion The final decision of the certification body. This section shall also include any recommendation, non-conformances/ non-compliances or conditions and a clear, unambiguous statement as to the certification status of the applicant company. 5. Certificate details Certificate number, validity (start date and end date), and date of first certification 6. Background to the Report Author(s): The name(s) of the assessor(s). The name(s) of the management representatives of the certification body involved in making the certification decision Previous Assessments (if applicable): Summary of previous certification assessments and conclusion, with recommendations or non-conformances. On-site Visits: Itinerary with dates. The main items and places inspected. Names and affiliations of people consulted. 8. Scope A clear description of the scope of the assessment including the supply chain model(s) used. The version of the RSPO Supply Chain Certification Systems the operation was assessed against. 9. Description of Operation's management system A clear description of the organizational systems, management systems and operational systems to ensure compliance with the RSPO Supply Chain Certification Systems 10. Certified volume purchased and claimed Confirmation of the company s summary of annual certified volume of RSPO certified palm oil over a specified period. 12 from 19

13 : 13 of Certificate Issue and Surveillance Certificate Issue Head certification body shall ensure that the persons that make the certification or recertification decisions are different from those who carried out the audits. If Head of Certification Body or QM Manager as Lead Auditor or Auditor, Deputy General Manager must be appointed competence personnel to review Certification File. The lead auditor provides the following records for the purpose of the review: Contract Agreement with Client Public Announcement Questionnaire Quotation A Team and Approval & Contract Review Check List RSPO & evidence of result of Check List RSPO Check List Interpretation : Major & Minor & evidence of Check List Interpretation Audit Report Non Conformity Report Corrective Action Hand Written Note Auditor Release Audit Documentation A review of the certification file by Head of Certification Body or QM Manager or President Director. If the review is positive, the Head of Certification Body or QM Manager or President Director Release the Certification File. The Head of Certification Body send to RSPO Sec. RSPO Sec. will review Certification File from Certification Body. If Result of review positive TÜV NORD Indonesia will issue the Certificate Certificate Certification bodies shall issue certificates with the following information : Name of operation certified RSPO member number of operation certified Address of all relevant sites of operation(s) seeking or holding certification including contact details of the management representative responsible for overseeing the certification process. Date of issue and expiry. Date of first RSPO Supply Chain certification CB certificate number Name and authorised signature of the duly designated representative of the certification body Version of RSPO Supply Chain Certification systems requirements against which has been audited Audited RSPO Supply Chain Certification Model (e.g. Identity Preserved, Segregation, Mass 13 from 19

14 : 14 of 19 Balance) Contact information and logo of the certification body Contact information and if possible logo of the accreditation body RSPO name and logo The scope of operations certified TÜV NORD Indonesia (TNI) shall provide the RSPO with the relevant information for the RSPO website: contact telephone and fax numbers, and contact address (if appropriate) and scope of certification (supply chain model and scope of operations covered), using the template provided by the RSPO. TÜV NORD Indonesia (TNI) shall forward notification of the certificate and schedule to the RSPO within 10 days of the certificate being issued to enable the RSPO website to be updated. See RSPO website for contact details. The validity of the certificate is for five years with yearly surveillance audit. Expiry of validity depends on the date of certificate decision. Before the end of the initial certification period a full re audit will need to occur in order to maintain continuity of certification. At the re-audit TÜV NORD Indonesia shall verify the company s annual summary records to determine whether not more RSPO certified palm oil has been claimed than purchased within a specified period Surveillance Audit Within the validity of the certificate (12 Month), surveillance audits shall be conducted at least 6 month a year. New customers: The date of the annual surveillance audit following the initial certification shall not exceed the last day of the audit stage 2. Already registered Customers The date of the annual surveillance audit doesn t exceed the date of the last day of certification or Re Certification Audit. During preparation of the audit, the Lead Auditor or a person nominated for this activity initiates an inquiry to the customer regarding changes in the structural and procedural organisation, the size of the company and the company activities. This includes in particular a review of the valid related documents. In addition, materials used for publicity (e.g. Internet, advertising material) can be used for preparation purposes. The on-site audit shall accomplish the following: Review whether the organizational systems, the management systems and the operational systems, including any documented policies and procedures of the operation seeking or holding certification, are sufficient and adequately implemented to meet the intent and requirements of the RSPO Supply Chain Certification Systems. At least the following points must be taken into consideration during a surveillance audit: a review of the corrective actions undertaken in response to the non conformities found in the previous audit, field check & interviews. Documentation Review handling of complaints against the management system, effectiveness of the management system in relation to achievement of objectives and goals, 14 from 19

15 : 15 of 19 progress with regard to planned continuous improvement activities, process control, review of changes, use of logos and marks. assess whether an interim visit is required to confirm quantities if a facility has informed them of a projected overproduction. (5.3.31), if the higher production volume is confirmed to be correct the certification body provide information to the RSPO IT System. Outsourcing activities review, check an operation seeking or holding certification outsources activities to independent third parties (e.g. subcontractors for storage, transport or other outsourced activities) Check facilities which wish to include outsourcing within the scope of their RSPO Supply Chain certificate, the facility shall inform its certification body about the names and contact details of any new contractor used for the processing or production of RSPO certified materials In case of nonconformities, the Lead Auditor should proceed as in the certification audit. Suspension of the certificate may also be taken into account. The audit file is then reviewed by Head of Certification Body or QM Manager. If Head of Certification Body or QM Manager as Lead Auditor or Auditor, Head of Certification Body must appointed competence personnel to review Certification File. The Lead Auditor makes the following documents available for the review: Contract Review & Approval Team Audit Plan Audit Report Non Conformity Report Corrective Action Hand Written Note Release of Audit Documentation If the review is positive, Head Certification Body or QM Manager or the appointed competence persons release the audit file. Pertinent RSPO Supply Chain records relating to the receipt, processing and supply of certified oil palm products being supplied to buyers wishing to make a RSPO claim to the certified oil palm products shall be reviewed retrospectively until the previous audit Suspend and withdrawn of Certificate In case of nonconformities, the Lead Auditor should proceed as in the certification audit. Suspension of the certificate may also be taken into account. Major Nonconformity raised during Surveillance Assessments must be addressed within 30 days or the certificate will be suspended. Major nonconformity not addressed within a further 60 days will result in the certificate being withdrawn and full re audit may be necessary. If the surveillance audit will not be performed until the expiry of the due date, the certificate will be suspended. Up to three months after the due date an audit can be performed in order to revoke suspension. Based on the decision of the Head of the Certification Body / QM Manager / President Director this audit can require additional effort. 15 from 19

16 : 16 of 19 The certificate must be withdrawn 2 months after the audit due date if no audit has been performed Re-Certification audit Re-Certification audits including the review of corrective actions of identified nonconformities audit, auditors recommendation either to issue, maintain, or to suspend the certificate have to be completed prior to the expiry of the certificate. Any exceptions must be agreed in advance with the certification body. The audit release process shall be completed three months after the audit as the latest. A re-certification audit shall not be performed three months prior to the expired date of the certificate. In case that a previous certification was performed by another accredited Certification Body, the previous certificate and audit reports have to be reviewed. Competence requirements for the auditors will remain the same as for the initial audit. Within the context of the audit preparation, "Sales Service" in requests a new calculation of the procedure from the lead auditor to ensure that the conditions of the contract still apply. The lead auditor asks the company about any changes in the structural and procedural organisation of the company, the size of the company, the company activities and the scope. This includes among other things inspection of the current management manual. In addition, materials used to present the company to the public can be used for the preparation (e.g. Internet, advertising material). Re-certification audits include a review of management system documentation and an on-site audit. The results of the previous surveillance programme over the course of certificate validity shall be taken into account. All requirements of the standard will be audited. It may be necessary to perform an audit stage 1 in the context of a re-certification audit if there has been significant changes to the management system or in relation to the activities of the company (e.g. changes in the law). The recorded decision regarding the necessary action is made by Head of Certification Body or by the QM Manager. The audit methodology is equivalent to the methodology of an audit stage 2. Points of emphasis are at least: effectiveness of the interaction between all quality management elements in the management system with regard to internal or external change, and the continuing significance and applicability of the management system within the scope of the certification, verification that the obligation to maintain the effectiveness of the system and to improve it has been fulfilled in order to increase overall performance capacity within the organisation, verification that the certified management system contributes to achievement of the policies and objectives / program of the organisation. Verification the company s annual summary records to determine whether not more than the claimed amount of RSPO certified palm oil has been purchased within a specified period The certification body shall confirm the amounts purchased and claimed as part of its audit report. The certification body shall assess whether an interim visit is required to confirm quantities if a facility has informed them of a projected overproduction. If the higher production volume is confirmed to be correct the certification body shall provide the information to the RSPO IT System. Audit conduct, documentation and also recommendation of certificates will be performed accordance with the provisions of a certification audit. Wherever possible, the certification decision should be made in the month in which the previous 16 from 19

17 : 17 of 19 certificate expires. At the re-audit (recertification) the certification body shall verify the company s annual summary records to determine whether not more than the claimed amount of RSPO certified palm oil has been purchased within a specified period Extension / Reduction audit An extension / reduction audit can be performed to extend or reduce the scope of an existing certificate. The extension / reduction audit may be carried out within the scope of a surveillance audit, re-certification audit or on an independently selected date. The validity period of the certificate remains unaffected. Exceptions have to be justified in writing. The lead auditor / audit team will review the MS documents concerning the extended / reduced scope and audit all requirements which are affected by the extension / reduction. The further progress with regard to the documentation and release of the audit procedure corresponds to a certification audit. 6.4 Multisite certification (Group/Matrix Certification) Multi-site certifications or audits are permitted when several processing facilities are entirely controlled by a single management organisation and the supply chain management is organised similarly in the different facilities. Criteria for Eligibility All facilities included in the multi-site certification shall be represented by a central office The central office shall document and implement clear rules regarding eligibility for the participation of sites in the certificate Multi-site certification is not restricted to a single country and can be performed across borders Criteria for Operation The RSPO Supply Chain Certification system must be run from one identified facility Central Office. All participating facilities shall have a legal and/or contractual relationship with the Central Office A common centrally administered and documented internal control and reporting system shall be used and monitored by the Central Office. The Central Office shall appoint a management representative with overall responsibility for ensuring that all operational units comply with the RSPO chain of custody requirements. Internal audits of all sites/operations will be carried out on an annual basis and will be reviewed and recorded at the Central Office. Different operations within the multi-site certification will be grouped by Sets. The main Sets will operate a common management system and may be classified as follows: - Milling - Refining - Transport and Distribution - Processing (including secondary processing after the refinery - Production (final manufacture of end product) - Blending - Outsourcing (tank farms etc) A sample audit regime will apply for each of the Sets. A Central Office audit will also be conducted at least once per annum, depending on the complexity of the certification. Certification Certificates of compliance to this RSPO SCCS Multi-Site Certification System will be awarded to companies who have been audited by the Certification Body and who have demonstrated full compliance with this system. The certificate will be issued in the name of the Central Office, listing all other compa- 17 from 19

18 : 18 of 19 nies/operations/sites. Certificates will be valid for a period of 5 years and subject to annual surveillance. If a multi-site certification or audit is conducted all rules in this section apply Random sample table Number of required audits as a function of the number of localities (the central office must be audited additionally in each case): Number of localities (without central office) Number for certification audit (without central office) Number for annual surveillance audit (without central office) Number for repeat audit (without central office) x x 0,6 * x 0,8 * x (rounding up to next highest number) (rounding up to next whole number) (rounding up to next highest whole number) Groups with hierarchical structure If the group is hierarchically organised, e.g. central office, national offices, regional offices, local field offices, the random sample model described above must be applied on each level of the hierarchy. Random selection of localities At least 25 % of the localities must be selected on a random principle. Number of localities to be selected by the random principle Number of localities (without central office) Number of localities to be determined by random sampling (without central office) x 0.25 * x (rounding up to the next highest whole number) When a multisite certification or audit is conducted the auditor(s) shall: establish the client s management system is adequate to ensure all processing facilities under its control meet the RSPO Supply Chain Certification Systems and the intent thereof Check compliance with the RSPO Supply Chain Certification Systems and the intent thereof during certification audits with a minimum sample level of 0.8 Y where Y is the number of the processing facilities that reside under the client s management. The facilities shall be selected by the certification body based on a risk assessment. A multisite certification will only be awarded by the certification body if : 18 from 19

19 : 19 of 19 the client s management system sufficiently demonstrates it ensures compliance with the RSPO Supply Chain Certification Systems of all processing facilities under its management compliance with the RSPO Supply Chain Certification Systems is established in all of the facilities checked during the random audits. 6.5 Public availability of documentation The certification body must make the following documents publicly available upon request, and on the RSPO website and/or their own website: RSPO Supply Chain Certificate of conformance. Procedures of the Certification Body for complaints and grievances, including resolution mechanisms. The register of certified organizations, which must include details of the scope of each certificate i.e. which sites and/or processes are approved. (5.5.1) 7. Addition for specific standards RSPO Supply Chain Certification System ver. November 2011 ISO / IEC from 19

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