RSPO SCC Standard Group Certification (Part 3)

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RSPO SCC StandardGroup Certification(Part 3)

RSPO LEAD AUDITOR SERIES

SCCS M2c May 2013

RSPO Supply Chain Certification

Standard

2011 1. GROUP SCHEME Module Ga.RSPO Membershipb.Group membership Criteria

SCCS for Groups SCCS for Groups 1. System 1. System RequirementsRequirements

Overview

• Relevant sections of the RSPO SCC System• Section 4 - Accreditation• Section 5 - Certification Process

• Modification to SCCS Report & Certificate

Group Scheme Certification

The modified SCCS System defines the following elements;

Eligibility Criteria for Operation Certification Units Risk Analysis Audit Sampling & Surveillances New Members Audits Certificates

Eligibility

• A Group needs to be a member of the RSPO

(Supply Chain Associate or Ordinary

Member)• All members (individuals or companies) are

independently owned• Uses up to 500 mT of oil palm products per

annum• Members can be in different countries

Criteria for Operation

• All members have a contractual relationship

with the Group• All members are required to meet the SCCS

requirements• The Group manages an Internal Control

System (ICS) which ensures members

conformance to the SCCS• The Group appoints a Group Manager

Criteria for Operation

• All members must adopt the supply chain

systems at their facility levels only• Only options for Segregated or Mass Balance

systems can be used

Audit Procedures• CB shall define in their documented auditing

procedures a Risk Analysis System:• determine level of sampling required • level of stratification required

• Risk must consider:• Homogeneity of the group (e.g., similar management

system/processes)• Types of products processed• Relationship between Group-Group Members

(independent vs biased)

Audit Sampling• At least 25% of all samples chosen at random• Lowest risk category defined shall follow the

audit formula prescribed (see below)• All members must be audited within the 5

year period

Compliance audits and renewals:•The Group ICS and samples of members•Minimum (low risk): rounded up (√ total no of members)

Surveillance•The Group ICS and samples of members•Minimum (low risk): rounded up 0.6 x (√ total no of members)

New Members•All new members must be identified as a separate audit group•At least 25% of sites selected randomly

Audit Formula

Initial Assessment: Group with 50 members,

categorized by CB as low risk

Number of min audits = √ (50 + 1Group Manager) = √51 =7.14

= 8

Of these, 25% must be randomly selected (i.e., 2)

i.e., total of 8 audits per annum including Group Manager

Example 1: Audit Formula

Year 2 Assessment: Group with 50 members and

10 new members (all low risk)

Number of min audits = 0.6 √ (50 + 1Group Manager) = 0.6√51

=0.6 X 7.14 = 4.28 = 5

Of these, 25% must be randomly selected (i.e., 1.75 or 2)

and

Number of min audits = √ 10 = 3.16 = 3

Of these, 25% must be randomly selected (i.e., 1)

i.e., total of 8 audits for that year

Example 2: Audit Formula

Audit Procedures• CB shall define in their documented auditing

procedures for Group or Member Failure.• Failure results in corrective actions,

suspension or expulsions from the Group. • E.g., Group Failure:

• Failure to meet ICS requirements (administration,

record-keeping, use of RSPO trademark)• Failure to comply with requirements of the RSPO CB• Failure of all above, by a number of group members

Audit Procedures• Failure results in corrective actions,

suspension or expulsions from the Group. • E.g., Member Failure:

• Failure to meet RSPO SCCS requirement

(administration, record-keeping, use of RSPO

trademark)• Serious or persistent failure to comply with requirements

of the RSPO CB

Certification

• Certificate issued to Group Entity and

members audited (audited or all members at

time of audit)• Certificate valid for 5 years with annual

surveillance

SCCS for Groups SCCS for Groups 2. Standard 2. Standard RequirementsRequirements

Overview

• Group Scheme is made up of independent organisations

that agree to abide by the Group membership rules.• The rules ensure that members comply to the RSPO

SCCS requirements.• Group Manager is responsible for managing members

compliance, enforced through an internal control system

(ICS). • Group members must apply either SG or MB models at the

facility level.

Membership requirements

• Independent legal entity (org/idv)• 500 mT of palm oil use per annum. If exceeds, to leave

at anniversary of membership.• Membership is voluntary but formally agrees to join

the group. Agrees to meet RSPO SCCS requirements of given models.

• Use of RSPO Certificate Number & Unique Identifier on PO, Delivery Note, Sales Invoices and transport-documentation.

Group Membership Requirements

• Full authority to manage the group• Defines the geographic scope of the group• Payment of fees to the RSPO• Conditions and requests for corrective actions are

implemented• Authority to remove members• Define, manage and update Group Rules, Polices

and ICS

Group Manager Requirements

• Sufficient resources to run and manage the group• Documented system

• Mission & Objectives• Policies & Procedures (operational management)• Decision Making• Rules of the Group• Group Management structure

Group Requirements

• Understand requirements of the SCCS• No conflict of interest • Communicate in relevant language/English• Competent to conduct Internal Audits, as per SCCS

requirements

Group Manager/Team Requirements

• Documentation & monitoring of individual membership status, production processes and relevant aspects of SCCS

• Maximum number of members the system supports• Clear policies/procedures for communication between

Group Manager-Members.

Group Management Requirements

Management Procedures

• Documented roles/responsibilities for Group Manager• Procedures for new members after certification audits• Procedures for training/information (new and existing

members)• Procedure for annual internal audits (including new

members)• Procedure for updates to the group (including

membership)• Procedures for members that exceed 500 mT• Procedures for members sanctions, corrective action

requests, suspension, etc

Membership

• Procedures • training/information (new and existing members)• Stratification of group members• annual internal audits (including new members)• updates to the group (including membership)• members that exceed 500 mT• Use of RSPO logo/trademark• Central database of movements in/out of RSPO

products by member

Procedures

• Members supplied with copies or explained:• RSPO SCCS• Rules of Market Communication & Claims• Certification Process• Group Manager needs and rights for CB to access

group member’s documentation/site• SCCS Public Documentation• Use of the SCC Certificate Number• Obligations of Group membership• Cost associated with the group membership

Members

Group Record

• All group records maintained for 5 years• Central records include:

• List of names and addresses• Full contact details• Date of membership• Sub-code assigned to follow group certificate

number• Details of all sites (including multi-sites)• Membership date signed• Date leaving the group (and why)

Membership

• Central records include: • Summary of all RSPO products purchased.sold• SC models used• Projected use of oil palm (mT/annum)• Gross quantity of RSPO certified products used

(mT/annum)• Uses of RSPO Logo and Trademark

Palm Products

• Central records include: • Audits conducted prior to acceptance• Annual monitoring records• Corrective Action requests• RSPO (member) procedure manual

Compliance

SCCS for Groups SCCS for Groups ConclusionConclusion

Conclusion

• Group Certification is an option for small and

medium enterprises or individuals. Their

maximum use of palm oil does not exceed

500 mT per annum.• Members are governed by the Group rules or

internal control system. These rules ensure

that members are compliant to the SCCS

requirements.

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