Title Page
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Site conducted
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Conducted on
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Prepared by
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Location
Untitled Page
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Do we take legal ownership and physically handle RSPO Certified Sustainable oil palm products?
- Yes
- No
- N/A
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Are we a member of the RSPO?
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If we are part of a complex corporate structure, how do we fit into that structure and demonstrate that we are included in the RSPO membership?
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Have we been operational for more than 3 months? (Applicable for first main audit)
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Do we trade or distribute RSPO certified products that we did not produce?
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If so, are they included in these procedures?
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Have we defined the physical scope of the audit?
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What will be the scope of the audit to appear on the certificate?
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Have we identified the role of the person who is responsible for the implementation of the SCC Standard?
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Is that person able to demonstrate awareness of our procedures for the implementation on the SCC Standard?
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Which supply chain model(s) to we implement?
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What procedures do we consider are applicable?
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When did we last update our written procedures?
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Are the work instructions (WI) and process control document (PCD) readily available and accessible to staff/employees?
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How will the WI and PCD be distributed when a new version is published?
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What is our procedure for handling non-conforming material and / or documents?
Who organises the annual internal audit?
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[Auditors cannot audit their own work]
What is our procedure for conducting the annual internal audit?
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What is the procedure for the annual management review?
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How are annual management reviews planned and what are the intervals?
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What is the date of the last management review?
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How do we ensure that the management review includes information on?
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Results of internal audits covering RSPO Supply Chain Certification Standard
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Customer feedback
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Status of preventive and corrective actions
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Follow-up actions from management reviews
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Changes that could affect the management system
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Recommendations for improvement
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How do we ensure that management review includes consideration of the results of the annual internal audit?
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Summary of any outputs from the last management review that requires actions and decisions and action taken
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How do we collect and resolve any complaints about our products or activities?
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How many complaints have we had since our last internal audit?
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How do we demonstrate that any complaints are documented and resolved?
Documented records
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How do we maintain accurate, up to date, complete and accessible reports covering all aspects of the RSPO SCC requirements?
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What records do we consider are applicable?
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When did we last update our records and reports which demonstrate compliance?
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Who is responsible for preparing complete and up to date records and reports?
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How can we demonstrate that our documents and records are retained for at least 2 years?
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How do we confirm the certified status of raw materials and / or products in stock?
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How do we keep an up-to-date record of RSPO certified oil palm products purchased and claimed?
Conversion factors
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How do we ensure that any conversion rates that we apply provide a reliable estimate for the amount of certified output available from the associated inputs?
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If applicable, how do we ensure compliance any conversion rates for Oleochemicals and derivatives?
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How do we conduct a periodical review of the conversion rates? Do we review any conversion rates on the RSPO web site or consider other industrial standards and norms?
RSPO Claims and use of the RSPO Trademark
Do we use the Trademark in General Corporate communications?
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Do we use the Trademark in Business to Business communications?
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Do we use the Trademark in Business to Consumer communications?
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50% MIXED. Final product only
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Do we use the partial-product claim, which allows a minimum of 50% of the oi palm product in the final consumer product to be a combination of IP, SG and MB, with up to 50% of the oil palm product being non-certified but the quantity covered by RSPO Credits?
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If so, what is our procedure for the identification of the non-certified volumes and for purchasing credits in accordance with the RSPO Book and Claim supply chain model?
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If we use the RSPO Trademark, then what is our procedure to ensure compliance with the RSPO Guidelines for Communication and Claims?
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How do we ensure that no communication insinuates that RSPO membership implies the selling of RSPO-certified products?
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Is all communication consistent and clear? And is there any misleading communication?
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Is the Trademark License number always included with the RSPO Trademark?
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If we use the RSPO Trademark in any Business to Business or Business to Consumer communication, how do we ensure that the Trademark is in accordance with the requirements for the specific supply chain models?
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Is the supply chain model and certificate number present in all places where a confirmation of sale of certified products is being made?
Procedure for purchasing RSPO input products
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How do we approve our suppliers?
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How do we ensure and verify that the supplier can supply the RSPO products required to the correct supply chain model? (IP, SG, MB?
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Checking validity of the SCC of the suppliers via the list of RSPO SC Certified sites on the RSPO website. MONTHLY or Checking the validity of the licence for traders and distributors via the list of Licence Holders on the RSPO web site. MONTHLY or Through the IT Platform by confirmation of shipping announcements.?
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Can we demonstrate that purchases are made to the SCC model agreed with our supplier (IP, SG, MB)?
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Those purchasing directly from a mill, the site shall maintain a list of all supplying mills – certified and non-certified:• Name. • GPS co-ordinates. • Parent company. • Country. • Identity of the Mill in the Universal Mill List (UML ID) (If applicable). • (The UML ID can also be found in the ‘declaration of the conventional sources’ list in the RSPO IT Platform. • The list shall be updated on a 6 month basis and shall be made publicly available.
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Who is in charge for procurement process and goods in process?
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Who checks the validity of our RSPO suppliers’ certificates?
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How do we know that Identity Preserved Products are traceable back to one unique palm oil mill?
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How do we ensure that all orders of RSPO products are of the correct supply chain model and that the supply chain model is included in all orders?
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What information is required on documentation from our suppliers? The name and address of the buyer; • The name and address of the seller; • The loading or shipment / delivery date; • The date on which the documents were issued; • A description of the product, including the applicable supply chain model (Identity Preserved, Segregated or Mass Balance or the approved abbreviations); • The quantity of the products delivered; • Any related transport documentation; • Supply Chain certificate number of the seller; • A unique identification number;
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How do we calculate and prepare up to date records of the volume of RSPO certified oil palm products purchased and claimed over a specified period?
Trace: By refineries and Traders when RSPO products are sold as RSPO certified to actors in the supply chain beyond the refinery
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The volume shall be traced within 3 months of physical delivery
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Tracing triggers the generation of a trace document with a unique traceability number
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Remove: RSPO certified volumes sold under other schemes or as conventional, or in case of under-production, or lost or damaged shall be removed. The volume shall be removed within the licence period
Outsourcing activities
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Do we outsource any activities to a third party?
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For example: Storage. Transportation. Processing
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Where do we keep, and how do we maintain an up to date and complete list of the names and contact details of any third party?
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How can we demonstrate that we retain legal ownership of the RSPO input products during the outsourced activity being undertaken?
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What action do we take to ensure that the engaged third party complies with the requirements of the RSPO standard?
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Do we have signed contracts / agreements with contractor providing the service?
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Are any of the third parties RSPO SCC certified and if so, to which supply chain model?
Sales and Goods Out
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What is our procedure for documenting RSPO output products and raising the necessary documentation?
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How do we ensure that the following information for the sale of RSPO output products is included either on a single document or across a range of documents? The name and address of the buyer. Our name and address. The loading or delivery date. The date on which the documents were issued. A description of the product, including the applicable supply chain model (Identity Preserved, Segregated or Mass Balance or the approved abbreviations: IP, SG, MB). The quantity of the products delivered. Any related transport documentation. Supply chain certification number. (The number of the certificate awarded by the RSPO accredited certification body). A unique identification number linking the documents together
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On which document/documents do we put the supply chain model and our SCC certificate number?
Training
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Do we have a defined training plan for RSPO procedures?
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What is our procedure for reviewing the training plan and how often is it reviewed? Minimum frequency is an annual review
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Where do we keep our records of training?
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How do we ensure that the training is appropriate and specific and relevant to the task(s) performed?
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How do we evaluate the effectiveness of all training?
Receipt and storage of incoming RSPO products
[Delete the lines that are not applicable]
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What is our procedure for physically receiving the RSPO incoming products and for verifying that the material and documents conform to our requirements?
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If either the RSPO input products or RSPO output products comprise non-oil palm products, how do calculate the actual quantities of oil palm products to ensure accurate accounting? Note 1. This is of great importance when using conversion 1:1 or the Yield Scheme (See below) and for compliance with the minimum 95% rule. (See below). Note 2: The company may make use of Excel Spreadsheets for CPO 1:1 and PKO 1:1 available from David Ogg and Partners Ltd.
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How do ensure that we our RSPO products are properly stored in accordance with the Supply Chain Model applicable?
Mass Balance. MB
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It is necessary for us to take physical receipt of an MB product prior to entering into our accounting system. How do we ensure that this happens?
Mass Balance. MB
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Is it possible to trace the RSPO oil palm derived input products back to a list of RSPO certified mills?
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Note: This is not a mandatory SCC requirement
Processing, storage of final product and forward transportation
Mass Balance. MB
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How do we monitor and balance the quantity of RSPO MB input products with the RSPO MB output products on a real time basis?
Mass Balance. MB
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Do we purchase MB products for a specific production run? If so, how do we account for those products in our accounting system?
Continuous accounting system. MB
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How do we ensure that the quantity of RSPO input products recorded in the continuous accounting system always has a zero or positive balance?
Continuous accounting system. MB
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Do we think we may need to use the fixed inventory period accounting system?
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If we do anticipate going over-drawn, or if we do go over-drawn, what procedures do we have in place for changing to the fixed inventory period accounting system
Fixed inventory period accounting system. MB
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How do we decide the fixed period for the accounting system and ensure that it never exceeds 3 months?
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How do we monitor and balance inputs and outputs within the fixed period?
Fixed inventory period accounting system. MB
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If our accounting record of RSPO input products shows a negative balance, how do we provide evidence that we have balanced the account within the accounting period by placing an order at the time of going over-drawn and then taking physical receipt of sufficient RSPO Products by the end of the accounting period?
Mass Balance Conversion 1:1
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If we purchase IP or SG products, remove the IP or SG from hat product and transfer to an outgoing product with an MB claim, how do we keep account of the incoming and outgoing RSPO products in accordance with the accounting system used?
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Note: The company may make use of Excel Spreadsheets for CPO 1:1 and PKO 1:1 available from David Ogg and Partners Ltd
Mass Balance Conversion 1:1
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How do we ensure that only incoming IP or SG CPO derived products are used to make a claim on outgoing CPO derived products? Likewise; PKO to PKO products?
Mass Balance Conversion 1:1
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How do we ensure that the incoming IP or SG products are down-graded to non-certified once we have transferred the sustainability data (IP or SG) to an outgoing product as MB?
Mass Balance Yield scheme
Oleochemicals and secondary oleoderivatives
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The Conversion 1:1 is applicable for MB input products as well as IP and SG for oleochemicals and its derivatives, both during their production and in their use for any manufacturing process
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Note: With reference to the RSPO Rules for Physical Transition of Oleochemicals and its Derivative Dec 2016, it is also possible to transfer the MB claim form one product to another using the Claim Transfer Cross-referencing rules
Mass Balance Yield scheme
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If we purchase MB input products and transfer the MB claim to outgoing products that we either already have in stock, or which may be made at some time in the future, how do we calculate the actual quantities that could have been made from the quantity of MB input product?
Minimum 95% rule from the RSPO Rules on Market Communication and Claims
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If we use the up to 5% non-certified oil palm products in our RSPO products, do we clear procedures for compliance?
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Is their use justified?
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Do we have an action plan to move to 100% RSPO input products?
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Have we covered the quantity of non-certified oil palm products with RSPO Credits?
Background
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This rule requires that a minimum of 95% of the oil palm product in the product is certified as IP, SG and MB
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Up to 5% of the oil palm product in the product may be non-certified, providing the following are complied with:a. A. It can be clearly demonstrated and justified that the non-certified oil palm product is quite simply not available as an RSPO certified product.
(Note 1: Clearly, all of the main fractions that are 100% oil palm are available as IP, SG and MB and so their inclusion as non-certified cannot be justified).
(Note 2: For oleochemicals and its derivatives, the use of MB conversion 1:1 and Claim Transfer cross referencing makes an MB claim relatively straight forward and so any company will have to make a very strong case for the justification of not being able to find any MB product).
B. There must be an action palm to moving to 100% RSPO certified input products.
C. The quantity of non-certified palm (max 5%) must be covered by the purchase of RSPO Credits. (1 RSPO Credit to 1 mt of product in accordance with the rules for the Book and Claim Supply Chain Model
Note 3: If a, b and c are complied with, 100% of the product carries the RSPO Claim in accordance with the supply chain model applicable when taking into account the other RSPO products that make up at least 95% of the oil palm products in the product Note 4: RSPO Credits cannot be past through the supply chain and so this rule allows semi-finished and finished product manufacturers to use up to 5% non-certified oil pam products, subject to the above rules, and make am RSPO claim on 100% of the RSPO output product
