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Transcript of Oilpalm.wildasia.org RSPO SCCS The Certification Audit Requirements PROFESSIONAL TRAINING SERIES...
oilpalm.wildasia.org
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: [email protected]: [email protected]: oilpalm.wildasia.orgW: oilpalm.wildasia.org