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RSPO SCCSThe Certification Audit Requirements

PROFESSIONAL TRAINING SERIES

SCCS M3 May 2013

RSPO Supply Chain Certification

Systems

2011

1. ACCREDITATIONa.Requirements for Certification Bodies

2. CERTIFICATION REQUIREMENTSa.Team Competencyb.Unit of Certificationc.Client Application & Contractd.Assessment Planninge.Transfer of CBf.Conflict of Interest g.Public Documentation

3. CERTIFICATION PROCESSa.Onsite Assessmentb.Resultsc.Certificate Awardedd.Surveillance

SCC SystemSCC System1. Accreditation1. Accreditation

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.

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.

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

SCC SystemSCC System2. Certification 2. Certification RequirementsRequirements

Team Competency

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)

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

Lead Auditors Minimum1. Advanced post high school education degree or diploma or equivalent

2. Technical skills and qualifications related to and as necessary for the certification

process, like demonstrable relevant experience in other relevant certification schemes

3. Demonstrable successful completion of a recognised lead assessor course e.g. a ISO

9000/19011 lead auditor course

4. Demonstrable successful completion of an RSPO-endorsed RSPO Supply Chain

Certification Systems training course

5. Language skills suitable for verbal and written communication with the client and the

client’s relevant stakeholder groups

6. Demonstrable field working experience in similar supply chains, or equivalent related to

and as necessary for the certification process

7. 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.

Unit of Certification

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 ManufacturerFacility or parent company are RSPO members

RSPO memberCPO mill SC during P&C auditCPO Mill adopts GP or SG/MB models

RSPO memberSCCS certifies individual facilitiesAllows multi-site certificationIncludes outsourced services covered by contracts

RSPO (or GP) memberTrademark & claims controlled by RSPO rules

RSPO Certificate issued to Central Office

Central Office manages SCCS requirements

ICS defines how SCCS will ensure compliance

Internal Audits at least 1/annum

Multi-site certification is allowed where facilities are represented by a Central Office and can operate across multiple countries.

Client Application and Contract

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.

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

Assessment Planning

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

Transfer of Certification Body

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

Timing

• New CB issues Certificate after new audit• Previous certificate expiry dates shall be

maintained• RSPO shall be informed of the new certificate

Conflict of Interest

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.

Independence

• Within min of 3 years …• No family/personal relationships within

organisation• Not having been employed• No consultancy services (exception for

certification/verification activates)

Public Documentation

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)

SCC SystemSCC System3. Certification 3. Certification ProcessProcess

Onsite Assessment

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

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

Contractors

• Independent third party (e.g., storage facility or

Kernel Plant)• Not take legal ownership of material• SCCS compliant by signed & enforceable

agreemento Includes SCCS specific requirementso Agree to meet SCCS, reporting & traceability

requirementso Allows CB access

RulesMarket

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

Control of Claims

Verified at a

ll

audits

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

Results

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)

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)

Certificate Awarded

Awarding Certification

CB submits to RSPO within 10 days

RSPO to upload certificate on RSPO website and E-trace system within 1 working week

CERTIFICATEa.Certificate & Report Follows RSPO Template

Surveillance

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

SCC SystemSCC SystemConclusionConclusion

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.

Questions?Questions? E: advisory@wildasia.orgE: advisory@wildasia.orgW: oilpalm.wildasia.orgW: oilpalm.wildasia.org