Associated Smallholder Supply Chain Procedure
Transcript of Associated Smallholder Supply Chain Procedure
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
AssociatedSmallholderSupplyChainProcedureContentsPurpose..................................................................................................................................................2
Scope......................................................................................................................................................2
References..............................................................................................................................................2
Definitions..............................................................................................................................................2
Responsibility.........................................................................................................................................3
Requirements.........................................................................................................................................4
Acceptingnewsmallholders..................................................................................................................4
Maintainingcertifiedsmallholders........................................................................................................6
Suspensionorexclusioncriteria.............................................................................................................7
Sanctions..............................................................................................................................................14
Numberorpercentageofsuppliersassessedand/orengaged............................................................15
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
PurposeThe following procedure iswritten to guide howNBPOL accepts new smallholders andworkswith existingsmallholderstomaintaintheintegrityofourRSPOsegregatedsupplychain.Thisprocedureistobeadoptedas proof of Operational Control in compliance to the Integrated Management System and maintain ourcertifiedsustainablesegregatedsupplychaintradingstatus.
ScopeThisprocedureisapplicabletoallNBPOLOperatingUnitswithinPapuaNewGuineaandtheSolomonIslands.
References1. RSPO Principles and Criteria for Sustainable Palm Oil Production. Papua New Guinea National
Interpretation.26July2017.2. RSPOSupplyChainCertificationStandard.FororganizationsholdingorseekingRSPOcertification.14
June2017.1. RSPOManagementSystemRequirementsandGuidanceforGroupCertificationofFFBProduction7
March20162. RSPONewPlantingProcedure,20thNovember20153. IntegratedManagementSystem,25/02/16,NewBritainPalmOilLtd.
Definitions1. AccreditedLicensingScheme(ALS)-an initiativeof theHCVResourceNetworkwhichprovidequality
controlservicetoallnewplantingHCVassessmentsfortheRSPO
2. CertificationBody: Anyorganizationaccreditedby theAccreditationServices International to issueRSPOcertificatestooilpalmproducersagainstauditedproofofcomplianceagainstRSPOstandards.
3. Familyfarm-afarmoperatedandmostlyownedbyafamily,forthegrowingofoilpalm,sometimesalongwithsubsistenceproductionofothercrops,andwherethefamilyprovidesthemajorityofthelabourused.Suchfarmsprovidetheprincipalsourceof income,andtheplantedareaofoilpalm isbelow50hectares in size.Workbychildren isacceptableon family farms,underadult supervision;when not interferingwith education programmes;when children are part of the family andwhentheyarenotexposedtohazardousworkingconditions.
4. FreshFruitBunches(FFB)-Bunchesofpalmfruitsasharvestedfromoilpalmplantations/farms.
5. Grower-Thepersonorentitythatownsand/ormanagesanoilpalmdevelopment
6. IdentityPreserved(IP)-TheIdentityPreserved(IP)supplychainmodelassuresthattheRSPOcertifiedoilpalmproductdeliveredtotheenduserisuniquelyidentifiabletoasingleRSPOcertifiedmillanditscertifiedsupplybase.
7. InternalControlSystem-Adocumentedsetofproceduresandprocesses thatdefineshowasupplychain certification systemworks, ensures that records aremaintained, records internal audits andexplainsresponsibilities.Itdefineswhichstandardsareapplicableandensuresthatnon-compliancesaredealtwithaccordingtoasetofproceduresandsanctions.
8. Landpreparation-Anyactionthatprepareslandforoilpalmcultivationandassociateddevelopmentincluding the clearance or degradation of any existing vegetation, alteration of topography anddrainageorpreparationofsoils.
9. MassBalance (MB)- Supply chainmodel that allows certified claims to be transferred fromoneoilpalmproducttoanothereitherthroughphysicalblendingoradministrativelyunderstrictlycontrolledcircumstances.
10. Newplanting-Plannedorproposedplantingonlandnotpreviouslycultivatedwithoilpalmoronoilpalmwhichhasbeenabandonedforover3years.
11. Segregated (SG)- The Segregated (SG) supply chain model assures that RSPO certifiedoil palmproductsdeliveredtotheendusercomeonlyfromRSPOcertifiedsources.
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
12. Smallholders:Farmersgrowingoilpalm,sometimesalongwithsubsistenceproductionofothercrops,where the family provides the majority of labour and the farm provides the principal source ofincomeandwheretheplantedareaofoilpalmisusuallybelow50hectaresinsize.
a. Scheme Smallholders – Smallholders that may be structurally bound by contract, creditagreementorbyplanningtoaparticularmill,buttheassociationisnotnecessarilylimitedtosuch linkages. Other terms commonly used for scheme Smallholders include associatedand/orplasmaSmallholders.
b. Independent Smallholders – Smallholders that are not bound by any contract, creditagreementorplanningtoaparticularmill.
c. Associated Smallholders-“Papua New Guinea: The Task Force Steering Group notes thatsmallholders in PapuaNewGuinea (PNG) are not easily accommodated by the distinctionbetween ‘scheme’ and ‘independent’. Whereas most smallholders in PNG are legallyindependent,bycircumstancemostselltoparticularmillsandmaygetmanagementadvicefrom themills towhich they are linked. They also pay a levy, required by law, to receiveassistancefromstatutoryresearchanddevelopmentandextensionservices.ThePapuaNewGuineaNationalInterpretationWorkingGroupnotesthatPNG’ssmallholdersmeetsomeofthecharacteristicsofschemesmallholdersasheredefinedbutthegrouphas ‘unanimouslyaffirmedthatPNG’ssmallholdersarefundamentallyindependent.’Thegroupassertsthat‘athirddefinitionwilleventuallyberequiredforPNG’.”1
13. Supplybase-thesumtotalofsuppliersprovidingFFBtooneormoreMill.AmillanditssupplybaseisthebasicunitofcertifyingFFB.
14. Supply chain-The seriesofprocesses/steps throughwhichagricultural rawmaterialspass from theprimaryproducer through to theendproductmanufacturer (i.e. palmoil growing,milling, storage,transport,refining,manufacture,endproductetc).
15. Supply chain certification system- Downstream processors or users of RSPO certified oil palmproductscanclaimtheuseof(orsupportof)RSPOcertifiedoilpalmproductswhentheyadheretotheRSPOSupplyChainCertificationSystemsandwherethisisindependentlyverifiedbyanaccreditedcertificationbody.
ResponsibilityGroupHeadofSustainability
• Assurealltoplevelmanagementarefullyawareofandabletocomplywiththerequirementsposedbythisprocedure
GeneralManager
• providetheapprovalforplanningandbudgetingarerequiredbysmallholderestates• approvebudgetforadditionalcostsofcarryingoutthestudies,peerreviewsandverificationbythe
CertificationBodiesandtheRSPOasrequiredbythisprocedure.
SmallholderAffairsManager
• communicate all RSPO new planting requirements to prospective new smallholders and existingsmallholders
• carryoutauditsofcompliancetoallsmallholdersinconjunctionwiththeSustainabilityManager• liaisewiththeSustainabilityManagertoensureallpreliminaryassessments, reportsarecarriedout
andverifiedaspertheRSPOrequirements
1RSPOPrinciplesandCriteriaforSustainablePalmOilProductionGuidanceonSchemeSmallholders:PreparedbytheTaskForceonSmallholdersDated:2ndJuly2009
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
• communicateandupdateOPIConallRSPOrequirements
SustainabilityManager
• communicateallRSPOrequirementstorelevantNBPOLstaff• providetrainingandsupporttotheSmallholderAffairsDepartmentonRSPOcompliance• carry out audits of compliance of the Smallholder Affairs Internal Control Systems and audits to
ensureRSPOcomplianceofsmallholdersupplybase• liaisewiththeGroupSustainabilityManagertocoordinateandscheduletheindependentassessorsto
dorequiredassessmentsatrespectivesites.• providetechnicalsupporttofacilitateimplementationofnewplantingrequirements• reviewandapproveallnewplantingproceduredocumentationtosubmittoRSPO
GroupSustainabilityManager
• supportsiteSustainabilityManagersbyensuringtherequiredindependentassessorsarecontractedandprovidedtorespectivesitesforindependentassessments
• approveandsubmitallNPPdocumentationtoCBandRSPOforverificationandposting• liaisewithRSPOonanyadditionalrequirementsasnecessarytoproceed
RequirementsThe following requirements guide hownew associated smallholder (hereafter referred to as “smallholders”canenter intoour supply chain,howexisting smallholdersaremaintainedwithinour supplychainandhownon-compliant members are removed from our supply chain. This document provides guidance for theinternalcontrolsystemtobeimplementedbyeachOperatingUnit.Forconceptualpurposeseachsmallholderistobeconsideredanindependentestateofitsownwhichcanonlybeacceptedintooursupplybase/supplychainoncedeemedcomplianttoourstandards.Onceasmallholderhasbeenapprovedtoenteroursupplychain, it is issueauniqueblocknumberandadded to the listof supplierswhichareauditedaspartofourinternalauditprogramandauditedbytheCertificationBody. Theblocknumberprovidesareferenceforallongoingagronomicand financial informationpertaining to that grower. All smallholders supplying certifiedFFB, ie/every block number, must possess documentation proving it has passed initial screening, inputs(ie/tools, fertilizer issues), financial information (payments and outstanding loans) and non-conformanceswhere applicable. Smallholders that are deemed non-compliant are sanctioned and their FFB is no longeraccepted into our supply chain. Sanctioned growers may re-enter our supply chain if they are provencompliantbyaCertificationBody.
AcceptingnewsmallholdersAlloftheNBPOLOperatingUnitsmusthaveaStandardOperatingProcedureforacceptingnewsmallholdersinto our supply base and supply chain. The StandardOperating Proceduremust contain the key elementsdescribedinthisProcedure.Sinceallexistingsmallholdersarealreadypartofour100%RSPOcertifiedsupplychain,anynewsmallholderswillrequireanewplanting.Onlysmallholdersthathavepassedthroughthenewplanting procedure are approved to enter our supply base and subject to the rules of this supply chainprocedure.ThenewplantingprocedureissuedbyRSPOnowappliesfullytoallsmallholders.WhileNBPOLstillutilizesthePlantingApprovalFormandtheClanLandUseAgreementthesearenownecessarilyprecededbythepreliminarystudiesrequiredbytheRSPO’sNewPlantingProcedure.Thismeansthat’sthatallpreliminarystudies, peer reviews and reporting requirements to the RSPO have to be fulfilled for each new plantingregardless of size and before any land preparation has begun. The latter is especially important as allprocedural documentation can be audited retrospectively against proof of new developments as detected;e.g.bysatelliteimageryanalysis.
The followingdiagramsummarizes theoverallprocess requirementsandresponsibilities, furtherguidance isavailableinthenewplantingprocedureissuedbyRSPO:
Figure1:Diagramofprocessrequiredforeachnewplanting
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
It is recognized that itwillnotbepossible tocomplywithall requirements foreach individual smallholders.Therefore it is required that a minimum of 100 hectares of potential smallholders are assessed anddocumentedtogether.Itisessentialthatthesesmallholdersaresituatedrelativelyclosetooneanother,e.g.withinonewatershed,sothattheycanbegroupedwithinoneassessment.Thefollowingtablesummarizestheinchronologicalordertheassessmentstobecarriedoutandtheresponsibility:
Table1:Summaryofassessmentsrequiredtobeconductedforeachnewplanting
Assessment Objective Typeofverification Responsibility
Preliminaryassessment Decidewhethertoproceedornotbasedonaccessibility,slopeandcurrentlandcoverusingvegetationasaproxyforHCSandHCV.
Internal SmallholderAffairs,Sustainability
Soilsuitabilitystudy Ensurenofragile,peatorothersoilsnotsuitable
Internal Sustainability,TechnicalServiceDepartment
Landusechangeanalysis ToestablishlandcoverandlandusechangeasofNovember2015
Internal Sustainability,TechnicalServiceDepartment
HighCarbonStockAssessment
Toestimatethecarbonstockofthelandcoverontheproposednewdevelopmentarea
External Sustainability
HighConservationValueAssessment
IdentifyandmanagetomaintainorenhanceHCVswithinproposednewdevelopment
External ALS,
Sustainability
SiteSpecificSocialEnvironmentalImpactAssessment
Identifyandmanagesocialimpactoftheproposednewdevelopment
Internal Sustainability
GreenhouseGasAssessment ModelthepossibleemissionsofdevelopmentoptionstakingHCVandHCSintoconsideration
External RSPO,Sustainability
1•Definitionofproposednewoilpalmdevelopment•Responsibility:SmallholderAffairs
2•StakeholderengagementandFPICprocessinitiated•Responsibility:SmallholderAffairs,Sustainability
3•Conductassessments:SEIA,HCVassessment,LUCanalysis,soilsuitabilityandtopographicsurveyandGHGassessment•Responsibility:Sustainability
4•Developmentofmanagementplans•Responsibility:SmallholderAffairs,Sustainability
5•ReportingandverificationofNPPreport•Responsibility:GrowerandCertificationBody
6•Publicnotificationandcommentperiod•Responsibility:Grower,CertificationBodyandRSPOSecretariat
7•Resolutionandcompletion•Responsibility:Commenter,GrowerandRSPOSecretariat
•Finalinspections(CLUA,PAF)andissuanceofseedlings,toolsetc
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
Allof theseassessmentswillhavetobesubmittedtoaCertificationBody (CB) to theRSPOtopostontheirNew Planting s Notification website for a period of 30 days prior to the start of the new planting. Thedocumentationissummarizedtocontainthefollowing:
• NPPnotificationstatement• Summaryofassessmentreports(SEIA,HCV,soilandtopography,LUC,GHG)• Summaryofmanagementplans
TheexactformatofthedocumentationisoutlinedintheRSPONewPlantingProcedure(Annex1)andmustbeaccompaniedbyastatementofverificationfromtheCBaswellasalltheexternalassessorsutilizedincarryingoutandproducingthebaseassessments.
NBPOLrecognizesthecomplexityofthisprocessandtheeffectitwillhaveonallowingnewsmallholdersintoour supply chains. Because of the importance ofmaintaining our integrity as a 100% certified sustainableproducer it is of utmost importance that the complexities of this requirement is duly communicated to allrelevantstakeholders.SpecialemphasisandresourcesarenecessarytocommunicatekeymessagestoOPIC,GrowersAssociationsandthesmallholdersthemselvestodistilthisinapalatableformat.
Administration
Once a new smallholder has been approved it is important that adequate technical support is provided toensurethatplantingsarewithintheapprovedareasandconductedaspertheagronomicstandardsrequired.Eachnewsmallholder is issuedauniqueblocknumberagainstwhichagronomicandfinancial information iskept.ThisincludesbankaccountdetailstoissuepaymentsforFFB.OnceablocknumberhasbeenapprovedtheSmallholderAffairsManagercanissueinstructionsforseedlingsandotherinputs(ie/tools,fertilizer)tobedeliveredtothesmallholder. TheseedlingsareplantedundersupervisionoftheSmallholderAffairsstafftoensure they are planted within the approved area. All inputs are provided as interest free loans to berecoveredataratenomorethan50%ofthesubsequentFFBsales.DuringthisprocessthesmallholdersareprovidedthetechnicalsupporttocomplywithRSPOstandards.
MaintainingcertifiedsmallholdersOnce a smallholder has entered into our certified supply base they are required to comply with RSPOstandards as relevant. As per the guidance provided by the RSPOManagement System Requirements andGuidance forGroupCertificationofFFBProduction (March2016), the smallholdersare included inourownP&C certificate. As such these growers are subject to our standards as well as both internal and externalaudits. Operating Units are required to provide the technical support which will ensure compliance to ourstandardsandhaveaprocedureforinternalauditsandnon-conformances.
SelectionandTrainingofAuditors
SustainabilityDepartmentpersonnelaretrainedasauditorstoenableeffective,impartialauditstobecarriedoutonalldepartmentsandactivitiesinthescopeoftheSustainabilityManagementSystemonaregularbasis.Auditorsmayincludepeoplewithknowledgeofprocessesandlegalrequirementswhilstconductingaudits.
Internal Auditorsmay be permanent employees of NBPOL, employees of other companieswithin the SimeDarbyGroup,orexternalindividualsorcompaniesappointedfromtimetotimeforinternalauditsofgeneralorspecificpurposes.
TheSMidentifiestheneedforaudittraining,conducts internaltrainingandwherepossiblecooperateswiththe TrainingDepartment to arrange training by an appropriate external training organization. At least twoauditorsarerequiredtobequalifiedforSustainabilityManagementSystemsauditing.Theseauditorsprovidecanadditionalon-the-jobtrainingforothermembersoftheSustainabilityTeam.
PlanningofIntegratedAuditSchedules
Auditsarenormallyplannedonthebasisofdepartmentstoenableallproceduresandcontrolsapplicabletothatdepartment tobecheckedduringeachaudit. Eachoperating location isauditedeverysixmonthsasaminimum.
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
Additionalauditsmaybescheduledforareasofhighenvironmentalriskorhighincidenceofnonconformance.Thesechanges toaudit frequencyareat thediscretionof theSustainabilityManagerwhoconsultswith therespectiveDepartmentManagerstoagreewhentoincrease,ordecrease,auditfrequency.
The SustainabilityManager shall compile an annual schedule of audits on the Internal Audit Schedule andprovidescopiestoallDepartmentManagers.AnnualAuditschedulemustbecompiledandissuedtwomonthspriortothestartoftheyearlyauditschedule.
AuditChecklists
AuditChecklistsarepreparedinadvanceoftheAudittoallowtheauditortopreparefortheaudit.Standardchecklistsarepreparedforstandardlocations.However,sitespecific;ortopicspecificchecklistsmayalsobepreparedasandwhenrequired.AnauditchecklistforsmallholdersisprovidedinAnnex3oftheseGuidelines.
PerformanceandReportingofAudits
TheSustainabilityManagerselectseitherasingleauditororteamofauditorstoconducttheinternalaudit.Amemberoftheteamisappointedtobeleadauditor.Theleadauditorisresponsiblefordirectingtheworkofthe team members, agreeing the scope of the audit with the manager of the department being audited,resolving any dispute or uncertainty in audit findings and conclusions, coordinating the findings andrecommendations of the audit team and reporting the audit results to the Department Manager andSustainabilityManager.
Auditorsconducttheauditsbyanappropriatecombinationof:• interviewingkeypersonnel• examiningdocumentation,includingproceduresandrecords• observingphysicaloperations
TheinternalauditmonitorscompliancewiththerequirementsofISOandlegalandregulatoryrequirements.Priorityinauditsisgiventocheckinglegalcomplianceandtheeffectivenessofcorrectiveactiononpreviousnonconformance. Beforeeachaudit theSustainabilityManagerensures that theauditorsareawareof thelegalrequirementsoftheactivitytobeaudited.
It is essential to record factual data and information as evidence of an effective audit and to enable thedepartmentpersonneltolocateandunderstandproblemsforcorrectiveaction.
The findings of audits are recorded on a Quality Improvement Plan. A copy of each completed record isprovidedfortherespectiveDepartmentManager.
Theauditidentifiesandrecordsallareasof:• Majornonconformancewithcriteria• Minornonconformancewithcriteria• Observationsforimprovementduetoweaknessesincontrols
ActualandpotentialnonconformanceisreportedandcorrectedusingtheQIPworksheet.Ifanonconformanceisdiscoveredduringtheaudit,theleadauditorraisesaNonconformanceandCorrectiveActionRecord.
VerificationofCorrectiveAction
Followingeachaudit it is theresponsibilityoftherespectiveDepartmentManagertodecideand implementappropriatecorrectiveandpreventiveactionand timeframes inagreementwith theSustainabilityManager.The Sustainability Manager monitors the progress of corrective and preventive action and signs off whencompleted.
SuspensionorexclusioncriteriaCriteria for thesuspensionorexclusionof smallholdershavebeen taken fromtheNational Interpretationofthe RSPO Principles and Criteria provided by the PNG National Interpretation Task Force. The NationalInterpretation has been prepared by the PNGNI Task Forcewhich has been assembledwith representationfrom the Palm Oil Industry, Smallholders, the Government of PNG, NGOs and the Financial Sector. IndevelopingthisNational Interpretation, theTaskForcewasveryconsciousofnotdiminishing inanywaythehighstandardssetforpalmoilproductionbythegenericPrinciplesandCriteriaandbelievesthatinsomeareasthis document is even more stringent. The Task Force has, however, been very conscious of the unique
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
structure of the Industry in PNG and has taken great care to recognise the geographical and infrastructurelimitations that result in geographically associated Smallholders often effectively having only one possiblecustomer.
As adeveloping countrywith longestablishedandveryeffective customarymechanisms for recognising theright to use the land, a government that is still developing its ability tomaintain “western” land ownershipsystemsand literacy levelsthatare lowerthanmoredevelopedcountries,PNGhaspresentedachallengetotheTaskForce.WebelievethatwehaveestablishedarobustapproachtodemonstratingcomplianceutilisingthemosteffectiveofcustomaryandlegislatedrequirementsandhaveverifiedthisapproachthroughextensiveconsultationwithSmallholdersandlocalpeoples.
InrecognitionofspecificcompliancerequirementsthatSmallholdersmustaddress,thisNationalInterpretationmakes clear the obligations on Smallholders for those indicators that are directly applicable to them andprovidesguidancetothemforverificationofcompliance.WherenoguidanceforSmallholdersisprovided,therequirementsapplytoproducercompaniesonly.
ThePNGOilPalmIndustryCorporation(OPIC)isalevyfundedagencyofthePNGGovernmentresponsibleforarangeofindustrysupportactivitiesincludingprovidingadvice,disseminatinginformationandeducatingsmall-holdersregardingoilpalmproductionmethods.
ThefollowinglistcomprisesallofthekeyCriteriatowhichsmallholdersmustbecompliant.ThosethatareinredtextareCriticalandmustbecompliedwith.NotethatGuidanceasprovidedintheNationalInterpretationhasbeenleftoutofthisdocumentforpurposesofbrevitybutshouldbeusedbytheManagerasrequired.
No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE1:COMMITMENTTOTRANSPARENCY
1.2 Managementdocumentsarepubliclyavailable,exceptwherethisispreventedbycommercialconfidentialityorwheredisclosureofinformationwouldresultinnegativeenvironmentalorsocialoutcomes.
AssociatedSmallholderRequirement:
OilPalmIndustryCorporation(OPIC)toholdrelevantdocumentsandmakeavailabletointerestedpartiesonrequest.
1.3 Growersandmillerscommittoethicalconductinallbusinessoperationsandtransactions.
AssociatedSmallholderRequirement:
OilPalmIndustryCorporation(OPIC)requiredtohaveawrittenpolicycommittingtoacodeofethicalconductandintegrityinalloperationsandtransactions
No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE2:COMPLIANCEWITHAPPLICABLELAWSANDREGULATIONS
2.1 Thereiscompliancewithallapplicablelocal,nationalandratifiedinternationallawsandregulations.
AssociatedSmallholderRequirement:
2.1.1 AssociatedSmallholdersaretocomplywithallapplicablePNGlegalrequirements.
2.1.2 DoesnotapplytoindividualassociatedSmallholdershoweverOPICtoprovideinformationaspartoftheirextensionactivities.
2.1.3 OPICandCompaniestomonitorcomplianceduringextensionactivities.Blockinspectionreportstoprovideevidenceofcompliance.
2.1.4 OPICtodisseminateinformationonlegalchangestoassociatedSmallholders.CompanySmallholderdepartmentstodisseminatethisinformationinlocationswhereOPICisnot
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No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE1:COMMITMENTTOTRANSPARENCY
represented.
2.2 Therighttousethelandisdemonstrated,andisnotlegitimatelycontestedbylocalpeoplewhocandemonstratethattheyhavelegal,customaryoruserrights.
AssociatedSmallholderRequirement:
2.2.1 ForassociatedSmallholders,evidenceofthe“Righttousetheland”willbedemonstratedbycompliancewiththefollowing:
a)LandtitleorleaseORuncontestedoccupancywhere
• boundarieshavebeendefinedbyaregisteredsurveyorandportionnumbersallocatedbytheSurveyorGeneralorboundarieshavebeendefinedbytraditionalmeansandagreedbetweenneighborswithcommonboundariesandotherinterestedparties;AND
• thereisnosignificantdisputeovertenure(see2.2.4);
2.2.2 ForSmallholderallotments,boundariesmaybeidentifiedbytraditionalmeansprovidedthatboundarylocationsareagreedbyallneighbouringpartiesthatsharecommonboundaries.
2.2.3 ForSmallholderland,agreementofresolutionofdisputesshallbedemonstratedbyappropriatedocumentationorbydemonstratedagreementofinterestedparties.
2.2.1 Thereshallbeanabsenceofsignificantlandconflict,unlessrequirementsforacceptableconflictresolutionprocesses(seeCriteria6.3and6.4)areimplementedandacceptedbythepartiesinvolved.[Major]
2.2.5 Foranyconflictordisputeovertheland,theextentofthedisputedareashallbemappedoutinaparticipatorywaywithinvolvementofaffectedparties(includingneighboringcommunitieswhereapplicable).[Minor]
2.2.6 To avoid escalation of conflict, there shall be noevidence that palm oil operations have instigatedviolenceinmaintainingpeaceandorderintheircurrentandplannedoperations.[Major]
2.3 Useofthelandforoilpalmdoesnotdiminishthelegal,customaryoruser
Indicators:
2.3.1 Mapsofanappropriatescaleshowingtheextentof
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No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE1:COMMITMENTTOTRANSPARENCY
rightsofotheruserswithouttheirfree,priorandinformedconsent.
recognisedlegal,customaryoruserrights(Criteria2.2,7.5and7.6)shallbedevelopedthroughparticipatorymappinginvolvingaffectedparties(includingneighbouringcommunitieswhereapplicable,andrelevantauthorities).[Major]
No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE4:USEOFAPPROPRIATEBESTPRACTICESBYGROWERSANDMILLERS
4.1 Operatingproceduresareappropriatelydocumented,consistently
implementedandmonitored.
AssociatedSmallholderRequirement:
4.1.2 OPICandCompaniestomaintainproductionrecordsandfielddayattendancerecordsasevidenceofimprovedperformance.
4.2 Practicesmaintainsoilfertilityat,orwherepossibleimprovesoilfertilityto,alevelthatensuresoptimalandsustainedyield.
AssociatedSmallholderRequirement:
4.2.1AssociatedSmallholderstoimplementgoodagriculturepracticesascommunicatedthroughextensionservicesdeliveredbyOPICandCompanySmallholderdepartments.
4.2.2OPICand/orCompanySmallholderDepartmentstomaintainrecordsoffertiliserdistribution.
4.2.3OilPalmResearchAssociation(OPRA)totaketissuesamplesfromrepresentativeAssociatedSmallholdersannually
.
4.4 Practicesmaintainthequalityandavailabilityofsurfaceandgroundwater.
AssociatedSmallholderRequirement:
4.4.2Smallholdersmustprotectwatercoursesandwetlandsbynotpollutingwithrubbishorotherwaste.
4.5 Pests,diseases,weedsandinvasiveintroducedspeciesareeffectivelymanagedusingappropriateIntegratedPestManagementtechniques.
AssociatedSmallholderRequirement:
4.5.1CompaniestomanageIPMprogramforAssociatedSmallholders.
4.5.2CompaniestomanageIPMforAssociatedSmallholders
4.6 Pesticidesareusedinwaysthatdonotendangerhealthortheenvironment
AssociatedSmallholderRequirement:
4.6.2CompanytomaintainrecordsofherbicideissuetoAssociatedSmallholders.
4.6.3CompanytomanageIPMforAssociatedSmallholders.
4.6.4AppliestoassociatedSmallholders.
4.6.5AssociatedSmallholdersusingand/orstoringpesticidesmustdemonstrateknowledgeofthecorrecthandling,storage,applicationanddisposalrequirements.
4.6.1 StorageofallpesticidesshallbeaccordingtoSafetyDataSheetrequirementsandrecognisedbestpractices.
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No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE1:COMMITMENTTOTRANSPARENCY
Usedherbicidecontainersmay,aftertriplerinsing,beusedfortransportingpre-mixedherbicidetosprayingoperationsintheplantation.Attheendoftheirusefullives,theyshallbeproperlydisposedofandnotusedforotherpurposes(seeCriterion5.3).[Major]
4.6.2 Applicationofpesticidesshallbebyprovenmethodsthatminimiseriskandimpacts.[Minor]
4.6.9 MaintenanceofemployeeandassociatedSmallholderknowledgeandskillsonpesticidehandlingshallbedemonstrated,includingprovisionofappropriateinformationmaterials(seeCriterion4.8).[Minor]
4.6.10 Properdisposalofwastematerial,accordingtoproceduresthatarefullyunderstoodbyworkersandmanagersshallbedemonstrated(seeCriterion5.3).[Minor]
4.6.11 Specificannualmedicalsurveillanceforpesticideoperators, and documented action to treatrelated health conditions, shall bedemonstrated.[Major]
4.6.12 Noworkwithpesticidesshallbeundertakenbypregnantorbreast-feedingwomen.[Major]
4.7 Anoccupationalhealthandsafetyplanisdocumented,effectivelycommunicatedandimplemented.
AssociatedSmallholderRequirement:
4.7.2OPICand/orCompanySmallholderDepartmentstoprovideadviceandtrainingonidentificationandcontrolofrisksthroughextensionactivities.
4.8 All staff, workers, Smallholdersand contract workers areappropriatelytrained.
AssociatedSmallholderRequirement:
4.8.1OPICandCompanySmallholderdepartmentstoprovideadviceandongoingsupporttoassociatedSmallholdersthroughfielddaysandvisitstoSmallholderblocks.
No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE5:ENVIRONMENTALRESPONSIBILITYANDCONSERVATIONOFNATURALRESOURCESANDBIODIVERSITY
5.1 Aspectsofplantationandmillmanagement,includingreplanting,thathaveenvironmentalimpactsareidentified,andplanstomitigatethenegativeimpactsandpromotethepositiveonesaremade,implementedandmonitored,todemonstratecontinualimprovement.
AssociatedSmallholderRequirement:
5.1.2Improvementssuggestedatthepre-plantinginspectionshouldbenotedontheinspectionform.
5.1.3EnvironmentalmanagementimprovementssuggestedbyOPICand/orCompanySmallholderDepartmentsduringroutineblockinspectionsshallbeimplementedaspracticable.
5.2 Thestatusofrare,threatenedorendangeredspeciesandotherHighConservationValuehabitats,ifany,
AssociatedSmallholderRequirement:
5.2.3OPICandCompanySmallholderdepartmentstoprovide
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No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE1:COMMITMENTTOTRANSPARENCY
thatexistintheplantationorthatcouldbeaffectedbyplantationormillmanagement,shallbeidentifiedandoperationsmanagedtobestensurethattheyaremaintainedand/orenhanced.
adviceandsupporttoassociatedSmallholdersthroughfielddaysandvisitstoSmallholderblocksaspartoftheirroutineextensionactivities.
5.3 Wasteisreduced,recycled,re-usedanddisposedofinanenvironmentallyandsociallyresponsiblemanner.
Indicators:
AssociatedSmallholderRequirement:
5.3.2AllchemicalsandtheircontainersshallbedisposedofinaccordancewiththerequirementsoftheapplicableSafetyDataSheet.Ataminimum,containersshallbetriplerinsedwithcleanwaterandpuncturedtopreventre-useforliquidstorage.Wheretriplerinsingisdemonstratedtoeliminatearisktosafetyortheenvironment,re-usemaybepermittedforcarryingpre-mixtothefield,cuttingdownandusingaswastebinsandevenusingnon-pesticidecontainersfornon-potablewaterstorage.[Major]
5.3.3Smallholdersmustdemonstrateplannedwastemanagementanddisposalbydisposingofwasteproductsinadesignatedwastepit.
5.5 Useoffireforpreparinglandorreplantingisavoided,exceptinspecificsituationsasidentifiedintheASEANguidelinesorotherregionalbestpractice.
AssociatedSmallholderRequirement:
5.5.1 Thereshallbenolandpreparationbyburning.[Major]
5.5.2 Fireshallnotbeusedforpreparinglandforreplanting.(Major)
No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE6:RESPONSIBLECONSIDERATIONOFEMPLOYEESANDOFINDIVIDUALSANDCOMMUNITIESAFFECTEDBYGROWERSANDMILLERS
6.7 Childrenarenotemployedorexploited.
Indicators:
6.7.1Thereshallbedocumentaryevidencethatminimumagerequirementsaremet.[Major]
6.9 Thereisnoharassmentorabuseintheworkplace,andreproductiverightsareprotected.
AssociatedSmallholderRequirement:
6.9.1AssociatedSmallholdersmustbeabletoverballyexplainthattheyunderstandandobservethisrequirement.
6.9.2AssociatedSmallholdersmustbeabletoverballyexplainthattheyunderstandandobservethisrequirement
6.10 GrowersandmillersdealfairlyandtransparentlywithSmallholdersandotherlocalbusinesses.
AssociatedSmallholderRequirement:
6.10.3AssociatedSmallholdersmustbeabletoverballyexplainthattheyunderstandandobservetheirobligationsandtheobligationsoftheCompanytowhomtheyaresellingtheirfruit.
6.11 Growersandmillerscontributetolocal AssociatedSmallholderRequirement:
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE1:COMMITMENTTOTRANSPARENCY
sustainabledevelopmentwhereappropriate.
6.11.2AssociatedSmallholdershouldparticipateinFielddaysandotherextensionactivitiesdeliveredbyOPICandCompanySmallholderdepartments.CompaniesshallmaintainrecordsofSmallholderproductivity.
6.12 Noformsofforcedortraffickedlabourareused.
AssociatedSmallholderRequirement:
6.12.1AssociatedSmallholdersmustbeabletoverballyexplainthattheyunderstandandobservethisrequirement.
No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE7:RESPONSIBLEDEVELOPMENTOFNEWPLANTINGS
7.2 Soilsurveysandtopographicinformationareusedforsiteplanningintheestablishmentofnewplantings,andtheresultsareincorporatedintoplansandoperations.
Indicators:
7.2.1 Soilsuitabilitymapsorsoilsurveysadequatetoestablishthelong-termsuitabilityoflandforoilpalmcultivationshallbeavailableandtakenintoaccountinplansandoperations.[Major]
7.2.2 Topographicinformationadequatetoguidetheplanningofdrainageandirrigationsystems,roadsandotherinfrastructureshallbeavailableandtakenintoaccountinplansandoperations.[Minor]
7.3 NewplantingssinceNovember2005havenotreplacedprimaryforestoranyarearequiredtomaintainorenhanceoneormoreHighConservationValues.
Indicators:
7.3.1 Thereshallbeevidencethatnonewplantingshavereplacedprimaryforest,oranyarearequiredtomaintainorenhanceoneormoreHighConservationValues(HCVs),sinceNovember2005.NewplantingsshallbeplannedandmanagedtobestensuretheHCVsidentifiedaremaintainedand/orenhanced(seeCriterion5.2).[Major]
7.3.2 AcomprehensiveHCVassessment,includingstakeholderconsultation,shallbeconductedpriortoanyconversionornewplanting.ThisshallincludealandusechangeanalysistodeterminechangestothevegetationsinceNovember2005.Thisanalysisshallbeused,withproxies,toindicatechangestoHCVstatus.[Major]
7.4 Extensiveplantingonsteepterrain,and/ormarginalandfragilesoils,includingpeat,isavoided.
Indicators:
7.4.1 Mapsidentifyingmarginalandfragilesoils,includingexcessivegradientsandpeatsoils,shallbeavailableandusedtoidentifyareastobeavoided.[Minor]
7.4.2 Where limited planting on fragile and marginal soils,including peat, is proposed, plans shall be developedand implemented to protect them without incurringadverseimpacts.[Major]
7.6 Whereitcanbedemonstratedthatlocalpeopleshavelegal,
Indicators:
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
No. PRINCIPLESANDCRITERIA INDICATORS/GUIDANCE
PRINCIPLE1:COMMITMENTTOTRANSPARENCY
customaryoruserrights,theyarecompensatedforanyagreedlandacquisitionsandrelinquishmentof
rights,subjecttotheirfree,priorandinformedconsentandnegotiatedagreements.
7.6.1 Documentedidentificationandassessmentofdemonstrablelegal,customaryanduserrightsshallbeavailable.[Major]
7.6.2 AsystemforidentifyingpeoplewhoaretherightfulcustomaryownerswithinthePNGlegalsystem,shallbeinplace.[Major]
7.6.3 Asystemforcalculatinganddistributingfairpayment(monetaryorotherwise)shallbeestablishedandimplemented,monitoredshallbeinplace.Thissystemshalltakeintoaccount:genderdifferencesinthepowertoclaimrights,localcommunitycustomaryownershipofland,accesstolandforcustomarypurposesandtherequirementsofthePNGGovernment’s“ValuerGeneral’sGuide”.TheprocedureshouldrecognisedifferentmechanismsforagreementontherighttousethelandrangingfromoutrightpurchasetoleasesandCLUAsofvaryingdurations.Paymentsmayincludearoyaltycomponentbasedonproductionandthemeansofdistributionmustalsobedefined[Major]
7.7 Nouseoffireinthepreparationofnewplantingsotherthaninspecificsituations,asidentifiedintheASEANguidelinesorotherregionalbestpractice.
AssociatedSmallholderRequirement:
7.7.1AssociatedSmallholdersmustbeabletoverballyexplainthattheyunderstandandobservethisrequirement
7.7.2AssociatedSmallholdersmustbeabletoverballyexplainthattheyunderstandandobservethisrequirementforassociatedSmallholdersmaybenecessary.
7.8 Newplantationdevelopmentsaredesignedtominimisenetgreenhousegasemissions.
Indicators:
7.8.1 Thecarbonstockoftheproposeddevelopmentareaandmajor potential sources of emissions that may resultdirectly from the development shall be identified andestimated.[Major]
7.8.2 ThereshallbeaplantominimisenetGHGemissionswhichtakesintoaccountavoidanceoflandareaswithhighcarbonstocksand/orsequestrationoptions.[Minor]
SanctionsIf a smallholder is found non-compliant to a critical criteria then they are to be sanctioned. Thismeanstheircropisnotpurchaseduntiltheycanprovetobecompliant.Ifasmallholderdevelopsanewplantingwithoutfollowingthedueprocesstheircropissanctionedforthreeyears.
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
Numberorpercentageofsuppliersassessedand/orengagedInordertomaintainoursegregatedRSPOcertifiedsupplychainallsmallholdersmustbeassessed.Inordertomaintaintheirvalidityinthegrouptheinternalauditsystemmustassesssampleofallofthesmallholders.Thesampleiscalculatedutilizingthefollowingformulas:
Numberof
groupmembers=y
Minimum(baseline)
=0.8√y
Level1-Lowrisk
=(0.8√y)x(1)
Level2-Mediumrisk
=(0.8√y)x(1.2)
Level3-Highrisk
=(0.8√y)x(1.4)
TherisklevelisdeterminedbytheSustainabilityManagerandtheSmallholderAffairsManager.Thesmallholders may be stratified as per Divisions so as to minimize auditing where variable risk isperceived.Thefollowingcriteriaisutilizedtoassessrisklevel.
LowriskDivisionsarethosewheretheDivisionisrelativelyhomogeneousi.e.geographicallyaswellassocioeconomically,andwheretherearenocurrentreplantingactivities,nocurrentexpansion,nonewmembers,theDivisionanditsmanagerarewellestablishedand,forsubsequentassessments,havenohistoryofnon-conformities.
MediumriskDivisionsarethosewherethereissomehomogeneitybutitisnotuniformacrosstheGroup.ThereisnoreplantingandorexpansionbuttheDivisionmanagementhasahistoryofnon-conformities.
High risk Divisions are those where there is considerable heterogeneity in the Division (e.g.geographicallyor jurisdictionally separated, verydifferent terrain,different levelsofexperienceofoil palm cultivation, very diverse sizes of plantation, different socioeconomic situations amongstmembers, etc.), where there is recent expansion or replanting, and/or where the Groupmanagementhasrecentlyundergonechanges.
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
Annex1PlantingApprovalForm
OILPALMNEWPLANTINGAPPROVALFORM
1. RegistrationofInterest
CircleYesorNo
1.1 HastheapplicantapproachedSHAtoregisterhis/herinterest?
Yes No
1.2 Hastheapplicantbeenadvisednottocommenceclearinguntiltheareahasbeeninspectedandapproved?
Yes No
2. LandOwnership
CircleYesorNo
2.1 DoestheapplicanthaveaClanLandUsageAgreement(CLUA)forthisblock?
Yes* No
2.2 CLUA/LandTitleNo.
*Evidenceneedstobeprovidedasproofoflandownershipforthisblock.AcopyoftheCLUAshouldbeattachedtothisform.
Pleasecircleoneofthefollowing;
New/Additional/NBPOLAdvance/OtherfundingSource
3. RoadNetwork
Tickoneonly
NameofRoad
3.1 Noexistingtrackorroadconnectingthisblock n/a
3.2 Track,nongraveled,newareawithnoexistingblocks n/a
3.3 NongraveledroadnowusedforsmallholderFFB
APPLICANT’SDETAILS
DIVISION AREA/VILLAGE
SECTION
APPLICANT’SNAME BLOCKNo.
DATEINSPECTED INSPECTING
OFFICER GPSCoordinates
AlongRoad
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
collectionandtransport3.4 GraveledroadnowusedforsmallholderFFBcollection
andtransport
3.5 OroExpansionincompleteroad(exPNGIF)withexistingblocks
NOTE:Iftheapplicanthasresponded“No”toquestion2.1orifeitherquestions3.1or3.2are ticked,pleaseadvise theapplicant that theyareNOTELIGIBLE FORNEWPLANTINGunderthenewplantingandexplainwhy. Ifthe inspectingofficer isattheblocksitetheofficer should requestpermission togatheradditionaldataand ifpermission is grantedtheofficerwillcompletethesketchmap.STOPtheapprovalprocesshere.Dateandsignsection11.
Otherwisecontinuefillingtheform.
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
Sketchofproposedblock
Usingthegridbelowprovideasmuchdetailonthemainfeaturesoftheapplicantsblock.Eachsquareisequivalentto0.1haor10mx10m.
Slopedarea
RiverorCreek
Road Forest XXX
XXXGardens
^^^
^^^
Existing
Palms
hh
hh
Regrowth ***
***
PoisonedPalms
N
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
4.Topography
NatureofTerrain
Area(ha)
%oftotalarea
PlantingGuidelines
4.1 Flat
4.2Sloping Slopebetween5oand15o[risingbetween0.5mand2mverticallyforevery7.5mhorizontally]
Liningofrowstobelaidouttominimizeerosionfromrunoffonceblockisapprovedforplanting
Slopebetween15oand25o[rising2mverticallyforevery7.5mhorizontally]
Benchestobecut,inspectedandcover
cropestablishedpriortoplanting.Rowsdesignedtominimizerunofferosion.
4.3Gullied Slopebetween15oand25o[risingbetween2mand2.5mverticallyforevery7.5mhorizontally]
Benchestobecut,inspectedandcover
cropestablishedpriortoplantingRowsdesignedtominimizerunofferosion.
Slopemorethan25o[risingmorethan2.5mverticallyforevery7.5mhorizontally]
NOTALLOWEDTOBEPLANTED
4.4 Steep Slopemorethan25o[risingmorethan2.5mverticallyforevery7.5mhorizontally]
NOTALLOWEDTOBEPLANTED
5.Vegetation
Area(ha)
%oftotalarea
PlantingGuidelines
5.1 PrimaryForest
AreaeitherhasneverbeenloggedorhasnotbeenloggedafterNovember2005(RSPOP&C)orthereareatleast5treesperhectaremeasuringgreaterthan50cmdbhandnograssesunderneaththecanopyfor50metresfromtheforestedge.
NOTALLOWEDTOBEPLANTED
5.2 RegeneratingForest
Areamayhavebeenselectivelylogged,hasadenseundergrowthoftrees,
NOTALLOWEDTOBEPLANTED
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
analmostcontinuouscanopyandwouldnotbeusedforanyotherpurposeandisregeneratingbacktoprimaryforest.
5.3 ImpactedForest
Areamayhavebeenloggedbutwillinthefutureregenerate.Tobe“impacted”theareamayhaveloggedstumps,rottinglogs,disturbedlogdumpsitesetc,andwithoutoilpalmdevelopmentwouldnotbeusedforanyotherpurposeandwillregenerate.
NOTALLOWEDTOBEPLANTED
5.4 Impactedandnon-regenerating
Areais“otherthanforest”e.g.grassland,temporarygardens,mayhavebeenlogged,isnotregeneratingandwillnotregenerateinthefuture.
Allowedtobeplanted,subjecttosection7requirements
6.BufferZones
CircleYesorNo PlantingGuidelines
6.1 Arethereanypermanentstreamsand/orriversonthisorsurroundingblocks?
Yes*
No
6.2 Areanyofthestreamsorriversonthisblockessentialforcommunityfordrinkingwater?
Yes No If“yes”,aminimumbufferof50metersoneachsideofthewatercourseisrequired
6.3 ArethereanyClassIstreams[bedwidthisgreaterthan5m]onthisblock
Yes No If“yes”,aminimumbufferof50metersoneachsideofthewatercourseisrequired
6.4 ArethereanyClassIIstreams[bedwidthisgreaterthan1mandlessthan5m]onthisblock?
Yes No If“yes”,aminimumbufferof10metersoneachsideofthewatercourseisrequired
6.5 Arethereanycoastalshorelines,lakesorswampsonthisblock?
Yes No If“yes”,aminimumbufferof100metersisrequired
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
6.6
Arethereanyprotectedareas,wildlifemanagementareasorareasofculturalsignificancewithinorincloseproximity(100m)totheproposedplantingarea?
Yes
No
If“yes”aminimumbufferof100metresisrequired
*Streamsand/orriversshouldbeclearlyindicatedonthesketchpads
7.FoodGardens
CircleYesorNo
7.1 Doestheapplicantusethisblockforfoodgardens?
Yes No
7.2 Hasthesmallholderagreednottocreatenewgardensinforestedareasorcriticalhabitats?
Yes No
Iftheapplicanthasresponded“No”toquestion7.2,pleaseadvisetheapplicantthattheyareNOTELIGIBLEFORINFILLPLANTINGundertheSADPandSTOPtheapprovalprocesshere.Dateandsignsection11.
7.3 If7.1is“yes”complete7.3,otherwiseskipto8.
7.3a Doestheapplicanthaveanotherblockwhichcouldbeusedforfoodgardensofasimilarsize?
Yes No
7.3b Doestheapplicanthaveotherfoodgardensthatalreadyprovidefortheentirehouseholdsconsumptionneeds?
Yes No
Iftheapplicanthasresponded“No”toquestions7.3aand7.3b,pleaseadvisetheapplicantthattheyareNOTELIGIBLEFORINFILLPLANTINGundertheSADPandSTOPtheapprovalprocesshere.Dateandsignsection11.
7.4 IfyouansweredyestoQuestion7.3brieflydescribethisotherblockandwhereitislocated,andprovideevidenceasproofoflandownershipofthisblock
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
8.Biodiversity
CircleYesorNo
8.1 ArethereanythreatenedspeciesaslistedontheDECprovidedlistwhichcouldbeconsideredunderthreatfromthedevelopmentofthisapplicant’slandforoilpalm?
Yes No
8.2 IfyouansweredyestoQuestion8.1brieflydescribebelowthethreatenedspecies
Iftheansweris“Yes”toquestion8.1,pleaseadvisetheapplicantthattheyareNOTELIGIBLEFORINFILLPLANTINGundertheSADPandSTOPtheapprovalprocesshere.Dateandsignsection11.9.Roadworks CircleYesorNo
9.1 Isthisblocklocatedonaroadthatisingoodconditionandtrafficableinallseasons
Yes No
9.2 If9.1is“Yes”skiptosection10.If9.1is“No”,hasaroadworkstenderbeenissuedfortheroadunderSADP
Yes No
9.3 If9.2is“Yes”skiptosection10.If9.2is“No”,advisetheapplicantthattheapprovaltoproceedwithclearingtheinspectedblockwillnotbegivenunlessaroadworks.SHAofficersshouldskiptosection11andsignanddatethesection.Section11willneedtobesignedanddatedagainbytheEnvironmentofficeroncethefullscreeningprocessiscompletedatalaterdate.
10.Readiness
CircleYesorNo
10.1 Hastheapplicantagreedtopoisonallcoconutpalmswithintheplantableareainordertopreventganodermainfectionofoilpalms?
Yes No
10.2 HastheapplicantattendedanOPICgrowerworkshopandbeeninformedofthepositiveandnegativeimpactsofgrowingoilpalm?
Yes* No
*Evidenceneedstobeprovidedasproofofattendance
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
11.Approvaltoproceedwithclearingoftheblock
11.1HastheapplicantbeenapprovedtoclearandplanttheproposedblockbytherelevantSmallholderAffairsDepartment?
Yes No
11.2Hastheapplicantbeengrantedpermissiontoparticipateinnewplantingandproceedwithclearingtheinspectedblock?
Yes No
11.3IfYesin11.1and11.2,thetotalaretobeclearedis(hectares)
11.4 Iftheanswerto11.1is“yes”,sketchtheapprovedplantablearea,otherwiseskipto12.
Usingthegridbelowshadeintheapprovedplantablearea.Eachsquareisequivalentto0.1ha
or10mx10m.
N
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
SignaturesofProjectofficers
11.4SignatureofSHADevelopmentOfficer______________________________________
Date______________________________
11.5SignatureofOPICLandsOfficer_____________________________________
Date______________________________
11.6SignatureofSustainabilityDept.EnvironmentOfficer_____________________________________
Date_______________________________
11.7SignatureofHeadofSmallholderAffairs______________________________________
Date_______________________________
12.ClearingoftheBlock
12.1 Buffers
CircleYesorNo
12.1.1 Hastheapplicantretainedtherequiredbufferzoneswithinandaroundtheblockarea?
Yes No
12.1.2 Hastherebeenminimaldisturbance/damagetothebufferzonesduetotheclearingoftheblock?
Yes No
12.2 Ganoderma
CircleYesorNo
12.2.1 Hastheapplicantpoisonedallcoconutpalmswithintheplantableareainordertopreventganodermainfectionofoilpalms?
Yes No
12.3 Drainage
CircleYesorNo
12.3.1 Haveadequatedrainagechannelsbeenproperlyconstructedandlinedasappropriate?
Yes No
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
13. APPROVALTOPROCEEDWITHPLANTING
13.1Hastheapplicantbeengrantedpermissiontoproceedwithplanting
Yes No
13.2IfYesin13.1,thetotalareatobeplantedtooilpalmis(hectares)
13.3SIGNATUREOFSHADEVELOPMENTOFFICER……………………………………………………………………DATE:…../…./20…
13.4SIGNATUREOFOPICLANDSOFFICER……………………………………………………………………DATE:…../…./20…
13.5SIGNATUREOFHEADOFSMALLHOLDERAFFAIRS…………………………………………………………………….DATE:…./…./20…
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
Annex2ClanLandUseAgreement
CLANLANDUSEAGREEMENT(CLUA)TONEWBRITAINPALMOILLIMITED(NBPOL)ANDTHEOILPALMINDUSTRYCORPORATION.
Wetheundersigned,beingrepresentativeofthe............................................................Clanherebyacknowledge
that.....................................................................................................has/have1therightundernativelawandcustom
fortheperiodof.......................years/forthewholeofhis/her1lifetimetousethelandknown
as.......................................................andwhichhasbeenallocatedtheVillageOilPalmBlockNo....................of
the.................................................VillageOilPalmarea(andwhichismoreparticularlydescribedintheplanatthebackpage)forthepurposeofplantingoilpalmandwiththerighttoreceivetheproceedsofcrops,treesandpalmsgrown,livestockgrazedand/orbusinessonthedescribedlandprovidedthefollowingconditionsarecompliedwith.
(a)Theoccupantactuallyplantsatleast2haofoilpalm
(b)TheoccupantatalltimesmaintainsandappliesfertilisertotheseplantingstothestandardrequiredbyOPICandNBPOL.
(c)TheoccupantharvestregularlyandsellstheFFBinhis/herownnameandblocknumbertoHigaturu/NBPOL.
Iftheseconditionsarenotcompliedwith,wereservetherighttoreallocatethelandtoanotherclanmemberorpersonwhowillalsobeboundbetheseconditionsorfailingthatweagreethatNBPOLwillhavetherighttonominateacontractortoworktheblockuntilsuchtimeasanyandalloutstandingdebttoNBPOLisrepaidinfull.WefurtheragreethatduringthecurrencyoftheperiodwhiledebtforinputremainsinthefavourofNBPOLnomemberwillinterfereinanywaywhichwillaffectthesmoothrunningofthedevelopment.
Wecertifythatallmembersofthesaidclanagreetothisagreementandthatwearepersonsauthorisedbytheclantosignontheclans’behalf.
………………………………… ……………………………………. ……………………………………..
FullNameofClanLeader1 FullNameofClanLeader2 FullNameofClanLeader3
………………………………………… ……………………………………….. …………………………………………………..
Signature/MarkofClanLeader1 Signature/MarkofClanLeader2 Signature/MarkofClanLeader3
______________________ _______________________ ___________________________
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
FullNameofWitness1 FullNameofWitness2 FullNameofWitness3
……………………………………….. …………………………………………… ……………………………………………………
SignatureofWitness1 SignatureofWitness2 SignatureofWitness3
____/____/______ ____/____/_______ ____/____/_______
Date/Signed DateSigned DateSigned
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
Annex3InternalAuditForm
RSPO SAN Documentation ObjectiveEvidence Status
4.1.2 1.14 Amechanismtocheckconsistentimplementationofproceduresisinplace.
LastauditReportandQIPcopyonhand
4.1.3 1.6 Recordsformonitoringandactiontakenaremaintained
CorrectiveactionstakenonQIP,observationsclosedout,signedoffbyblockowner
RSPO SAN Legal ObjectiveEvidence Status
2.1.1 1.1 Evidenceofcompliancewithrelevantlegalrequirementsshallbeavailable.
Validleasetitle/CLUAavailable,orthetransmissionrecieptifintheprocessofchangingthenameonthetitle/CLUA.
2.3.1 1.1 ThereisaPlantationmapwhichindicatesboundaries,roads,infrastructure,productionplots,naturalecosystemsandabuttinglanduses
Amapoftheblock,eitherasketchmap,oronefromSHA,showingallfacilitiesi.e.housingarea,gardens,watersource,wastepits,ablutionareas,chemicalshedetc..
6.3.1 4.9 Thesystem,opentoallaffectedparties,shallresolvedisputesinaneffective,timelyandappropriatemanner,ensuringanonymityofcomplainantsandwhistleblowers,whererequested.[Major]
Nounresolved/pendingdisputesorgrievancestodowiththeblock.
5.1.1 1.4 Anenvironmentalimpactassessment(EIA)shallbedocumented.[Major]
CompliancetoallparametersasdocumentedwithinthePAF(inNewPlantingandReplantareas)
RSPO SAN Training ObjectiveEvidence Status
4.8.1 1.8 Aformaltrainingprogrammeshallbein-placethatcoversallaspectsoftheRSPOPrinciplesandCriteria,andthatincludesregularassessmentsoftrainingneedsanddocumentationoftheprogramme.
BlockownershaveattendedrelevanttrainingprogrammesrunbyNBPOL/OPRA/OPICaspertheirtrainingcalendars.ThisincludesFieldDays.
4.8.1 1.8 Aformaltrainingprogrammeshallbein-placethatcoversallaspectsoftheRSPOPrinciplesandCriteria,andthatincludesregularassessmentsoftrainingneedsanddocumentationoftheprogramme.
TraininghasbeenconductedbytheAreaSHASupervisorontheblockatleastonceayear.Confirmwithgrowerforattendance.
RSPO SAN Environmental ObjectiveEvidence Status
4.4.1 1.7 Animplementedwatermanagementplanshallbeinplace
Accesstocleanwaterfordrinking,cooking,washing,bathingetc..
4.1.1 1.7 Animplementedwatermanagementplanshallbeinplace
Nosignsofblatantdisregardtowastemanagementwhichmayhaveanimpactondownstreamusers.i.e.washingoutofchemicalcontainers,fertilizerbagsintowatercoursesetc.
5.3.3 3.37 Awastemanagementanddisposalplantoavoidorreducepollutionshallbedocumentedandimplemented.
Wastepitsforallwasteproducts,maintainedandsegregated.
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
4.4.2 3.18 Protectionofwatercoursesandwetlands,includingmaintainingandrestoringappropriateriparianandotherbufferzones(refertonationalbestpracticesandnationalguidelines)shallbedemonstrated.
Bufferzonesestablishedforrivers,streams,watercoursesontheblock.
4.3.2 3.8 Amanagementstrategyshallbeinplaceforplantingsonslopesaboveacertainlimit(thisneedstobesoilandclimatespecific)
Erosioncontrolpracticesareimplementedwhenplantingonslopes:terracingandfrondstackingtopreventrun-off,signsofgoodcovercrop
5.2.3 2.4 ThereshallbeaprogrammetoregularlyeducatetheworkforceaboutthestatusoftheseRTEspecies,andappropriatedisciplinarymeasuresshallbeinstigatedinaccordancewithcompanyrulesandnationallawifanyindividualworkingforthecompanyisfoundtocapture,harm,collectorkillthesespecies
NohuntingorkillingofRTEspecies,norshouldtheybekeptincaptivityontheblock.(RefertoRTEposterinbooklet)
5.2.2 2.11 Whererare,threatenedorendangered(RTE)species,orHCVs,arepresentoraffectedbyplantationormilloperations,appropriatemeasuresthatareexpectedtomaintainand/orenhancethemshallbeimplementedthroughamanagementplan.
Nocaptiveanimalsarekeptonfarms,exceptfornon-commercialpurposes.
5.5.1 3.9 Thereshallbenolandpreparationbyburning,otherthaninspecificsituationsasidentifiedinthe'GuidelinesfortheImplementationoftheASEANPolicyonZeroBurning'2003,orcomparableguidelinesinotherregions.
Zeroburningonblocks.
RSPO SAN PesticidesUse(ifdoingownSpraying) ObjectiveEvidence Status
4.6.2 3.25 Recordsofpesticideuseshallbeprovided RecordsofpesticideusagerecordedinSHbooklet
4.6.6 3.30 Storageofallpesticiesshallbeaccordingtorecognizedbestpractices.Allpesticidecontainersshallbeproperlydisposedofandnotusedforotherpurposes.
Pesticidesarestoredinalockedshed,withsignageputuptowarnofdangersandsafetyaspects.i.e.dangerousmaterialstorage,needtoweargloveswhenhandlingetc.
4.6.6 3.30 Storageofallpesticiesshallbeaccordingtorecognizedbestpractices.Allpesticidecontainersshallbeproperlydisposedofandnotusedforotherpurposes.
Pesticidecontainersarenotre-used/recycledforotherpurposes.i.e.storingdrinkingwater,fuelstorageetc..
4.6.10 3.33 Properdisposalofwastematerial,accordingtoproceduresthatareunderstoodbyworkersandmanagersshallbedemonstrated
Allpesticidescontainers/wastesaretriplepunchedanddisposedofinpesticidepit
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
4.6.5 1.8 Pesticidesshouldonlybehandled,usedorappliedbypersonswhohavecompletedthenecessarytrainingandshallalwaysbeappliedinaccordancewiththeproductlabel.Appropriatesafetyandapplicationequipmentshallbeprovidedandused.Allprecautionsattachedtotheproductsshallbeproperlyobserved,appliedandunderstoodbyworkers.
Pesticide/chemicalhandlershaveattendedChemicalHandler'sTrainingandhaveavalidcertificateonhand.
4.6.5 4.15 Pesticidesshouldonlybehandled,usedorappliedbypersonswhohavecompletedthenecessarytrainingandshallalwaysbeappliedinaccordancewiththeproductlabel.Appropriatesafetyandapplicationequipmentshallbeprovidedandused.Allprecautionsattachedtotheproductsshallbeproperlyobserved,appliedandunderstoodbyworkers.
AppropriatePPE(asperPPEguidelines)isbeingused
4.7.5 4.38 Accidentandemergencyprocedureshouldexistandbetestedat6monthsintervals.Instructionshouldbeclearlyunderstoodbyallworkers.Proceduresshouldbeavailableintheappropriatelanguageoftheworkforce.
SprayerhasreadandunderstandsemergencymeasuresinMSDSinbooklet.
4.6.11 4.36 Specificannualmedicalsurveillanceforpesticideoperators,anddocumentedactiontotreathealthrelatedconditions,shallbedemonstrated.
Allpesticidehandlersmustundergomedicalchecksevery6months.
4.7.2 4.17 Alloperationswherehealthandsafetyisanissuehavebeenriskassessedandproceduresandactionsaredocumentedandimplementedtoadresstheinfieldissues.Allprecautionattachedtoproductsshouldbeproperlyobservedandappliedtoworkers.
AllPPEusedbysprayermustbewashedseparately.Sprayermustalsowashdownwithsoapafterhandlingpesticides.
4.6.7 3.32 Applicationofpesticidesshallbebyprovenmethodsthatminimizeriskandimpacts.
Signsputuptoalert/warnneighbours,passersby,thatsprayingistakingplace.
4.6.12 4.18 Noworkwithpesticidesshallbeundertakenbypregnantorbreastfeedingwomen.
Nopesticidehandlingforpregnantorbreastfeedingwomen.
RSPO SAN BestManagementPractices ObjectiveEvidence Status
4.2.2 1.10 Recordsoffertilizerinputsshallbemaintained
Recordsofallfertilizerapplicationsarerecordedinbooklet.
4.6.3 3.26 Anyuseofpesticideshallbeminimisedaspartofaplan,andinaccordancewithIntegratedPestManagement(IPM)plans.Theroutineprophylacticuseofpesticidesisprohibitedunlessthereisalegalrequirementtodoso.
Weedinghasbeendone,withgoodcovercropgrowing.
4.2.1 1.7 Thereshallbeevidencethatgoodagriculturepractices,ascontainedinStandardOperatingProcedures(SOPs),arefollowedtomanagesoilfertilitytoalevelthatensuresoptimal
Slashingbetweenpalmshasbeendone.
ASSOCIATEDSMALLHOLDERSUPPLYCHAINPROCEDURE
andsustainedyield,wherepossible.
4.2.1 1.10 Thereshallbeevidencethatgoodagriculturepractices,ascontainedinStandardOperatingProcedures(SOPs),arefollowedtomanagesoilfertilitytoalevelthatensuresoptimalandsustainedyield,wherepossible.
Harvestingisbeingdoneasperschedule.Checkbooklet.
4.2.1 3.8 Thereshallbeevidencethatgoodagriculturepractices,ascontainedinStandardOperatingProcedures(SOPs),arefollowedtomanagesoilfertilitytoalevelthatensuresoptimalandsustainedyield,wherepossible.
Frondstackingdonearoundpalmtreestominimiserunoff.
6.10.4 1.10 Agreedpaymentsshallbemadeinatimelymanner
Growersloginbookletfilledoutaccordingtoblockactivities.
4.2.1 1.9 Thereshallbeevidencethatgoodagriculturepractices,ascontainedinStandardOperatingProcedures(SOPs),arefollowedtomanagesoilfertilitytoalevelthatensuresoptimalandsustainedyield,wherepossible.
GrowersFFBWeightSummarychartinbookletfilledout.
4.5.1 3.25 ImplementationofIntegratedPestManagement(IPM)plansshallbemonitored.
Seeifgrowerhasgoodunderstandingofrecognising,monitoringandmanagementofpests,asperOPRAtrainingsandinspections.
RSPO SAN Health&HygienePractices ObjectiveEvidence Status
6.7.1 4.6 Thereshallbedocumentaryevidencethatminimumagerequirementsaremet
Allschool-agedchildrenshouldbeinschoolduringschoolhours,andnotbefoundworkingontheblock.
5.3.3 3.41 Awastemanagementanddisposalplantoavoidorreducepollutionshallbedocumentedandimplemented.
Allrubbishandwastedisposedofinthewastepit.Norubbishleftlyingaroundthehousingarea.
6.5.3 3.37 Awastemanagementanddisposalplantoavoidorreducepollutionshallbedocumentedandimplemented.
Toiletsandwashingareasarenotsituatednearwatersourcesorlivingareaswhereitposesasafetyhazard
4.7.2 3.33 Chemicalcontainersarenotfoundinthecompound
NoemptyChemicalcontainersfound/beingreusedinthehousingarea.