RSPO Standard SCC Checklist

RSPO SUPPLY CHAIN CERTIFICATIONS CHECKLIST

CUC references

Project reference # PRJ:

Units inspected: PRCs:

Audit Date:

Lead Auditor:

For multi-sites, similar operational units within the multi-site certification will be grouped into “Sets” with an internal control system (ICS) for each “set”. The ICS will be assessed for compliance against criterion 10.

RSPO SCC Scope

Actual quantities of RSPO certified CPO and PKO in the products purchased over the previous 12 month period.  (Not applicable to Main assessments)

Period (last 12months):

<<<from day/month/year to day/month/year>>

Product names for all incoming RSPO certified products. CPO or PK and their derivatives or fractions.

CU Code

<<Name eg PO, or KPO, o CPO or KPO, Olein, stearin, or oleochemical such as  Glycerin

Model  (IP, MB,SG)

Quantity (Mt, or kg)

Actual quantities of RSPO certified CPO and PKO in the products produced / sold over the previous 12 month period. (Not applicable to Main assessments)

Period (last 12months):

<<<from day/month/year to day/month/year>>

Product names for all incoming RSPO certified products. CPO or PK and their derivatives or fractions.

CU Code

<<Name eg PO, or KPO, o CPO or KPO, Olein, stearin, or oleochemical such as  Glycerin

Model  (IP, MB,SG)

Quantity (Mt, or kg)

Actual quantities of Other schemes PO and PKO in the products produced / sold over the previous 12 month period.  All quantities are in metric tonnes. Use separate tables if more than one model is used. (Not applicable to Main assessments)

*For Audits done in Malaysia and Indonesia*

Period (last 12months):

<<<from day/month/year to day/month/year>>

Product names for all incoming other schemes products. PO or PK and their derivatives or fractions.

CU Code

<<Name eg PO, or KPO, o CPO or KPO, Olein, stearin, or oleochemical such as  Glycerin

Model  (IP, MB,SG)

Quantity (Mt, or kg)

Membership Category

SUPPLY CHAIN ASSOCIATE

For organisations that have business activities along the palm oil supply chain but limited to purchasing, using, or trading not more than 500 metric tonnes of palm oil and palm oil products annually.

ORDINARY members

For organisations directly involved within the palm oil supply chain but limited to purchasing, using, or trading more than 500 metric tonnes of palm oil and palm oil products annually.

Not applicable to Main assessments, it needs to be checked at ASA audits.

Category:

Correct category Y/N:

NAMES AND AFFILIATIONS OF PEOPLE CONSULTED

Name:

Affiliation / Title:

EXPLANATION OF THE CHECKLIST (FOR AUDITORS UNDERSTANDING)

Requirement

Evidence

Compliance

No

Details of the requirement that the company must be able to demonstrate compliance with.

Summary of the findings and evidence that enabled the lead auditor to conclude if compliance was found or not.

Yes

No or

N/A

Full compliance found.

Yes

Non-compliance found. NC raised.

No

Not applicable to this client.

N/A

Criterion 1. General chain of custody requirements for the supply chain

5.1 Applicability of the general chain of custody requirements for the supply chain

Requirement

Evidence (Specify means of verification. In principle cross- verification is required for all findings)

Compliance

5.1 Applicability of the general chain of custody requirements for the supply chain

5.1.1

Either the operator at site level or its parent company seeking certification shall be a member of the RSPO and shall register on the RSPO IT platform.

• Write the membership number
• Check the PO ID PT number

5.1.2

Processing aids do not need to be included within an organization’s scope of certification.

5.1.3

Note: For multi-site and group certification, additional requirements in Annexes 2 and 3 shall be complied.

5.2 Supply chain model:

5.2.1

The site can only use the same supply chain model as its supplier or go to a less strict system in the following order: Identity Preserved > Segregated > Mass Balance.

• Identify and explain about the model

e.g. the sites purchase SG and downgrade to MB

5.2.2

The site can use one (1) or a combination of supply chain models as audited and certified by the CB.

The site is certified for both SG and MB models. Or The site is certified for MB even when purchases SG

5.3 Documented procedures

5.3.1

The site shall have written procedures and/or work instructions or equivalent to ensure the implementation of all elements of the applicable supply chain model specified. This shall include at a minimum the following:

1. Complete and up to date procedures covering the implementation of all the elements of the supply chain model requirements.
2. Complete and up to date records and reports that demonstrate compliance with the supply chain model requirements (including training records).
3. Identification of the role of the person having overall responsibility for and authority over the implementation of these requirements and compliance with all applicable requirements. This person shall be able to demonstrate awareness of the organization’s procedures for the implementation of this standard.

• Describe with name of the written procedures, and also check that all the information for point a,b, c is in place and give a little description for each points.
• Point C, Mention the following:

• Role of the person. Where was it mentioned, and give evidence of the knowledge : e.g.  Certificates , trainings etc , or verbal evidence…

5.3.2

The site shall have a written procedure to conduct annual internal audit to determine whether the organization;

1. Conforms to the requirements in the RSPO Supply Chain Certification Standard and the RSPO Market Communications and Claims Documents.
2. Effectively implements and maintains the standard requirements within its organization.

• Mention the name of the procedure of internal audit

• Provide a description of the annual internal audit: e.g date ,when is planned .. etc.

• Check and give info of each point a and b

5.3.3

The organization shall ensure that:

1. Internal audits are conducted by personnel knowledgeable in the requirements of this standard;
2. Internal auditors do not audit their own work;
3. Any non-conformities found during internal audit shall be issued corrective action and actions shall be taken in a timely and appropriate manner.

• Give the name of the auditors, date of the internal audit

• Check and describe evidence of compliance for point b and C e.g give number of no-conformities and comment if they are closed correctly.

5.3.4

The results of the internal audit and all actions taken to correct non-conformities shall be subject to management review at least annually.

Comment if the NC are evaluated in the  management review

5.3.5

The organization shall maintain the internal audit records and reports.

Identify and write the name of the doc or where the records are being kept

5.4 Purchasing and goods in

5.4.1

The receiving site shall ensure that the purchases of RSPO certified oil palm products are in compliance (checking the valid Supply Chain licence of the supplier to trade the products as RSPO certified products) and the following minimum information for RSPO certified products is made available by the supplier in document form:

a) The name and address of the buyer;

b) The name and address of the seller;

c) The loading or shipment / delivery date;

d) The date in which the documents were issued;

e) A description of the product, including the applicable supply chain model (Identity

Preserved, Segregated, Mass Balance, or the approved abbreviations);

f) The quantity of the products delivered;

g) Any related transport documentation;

h) Supply Chain Certificate number of the seller;

i) A unique identification number(s).

• Check the license, verify it and state each evidence as per the highlighted requirement.        
• Give at least 3 examples

• When there are more than 10 products, check more than 3 examples.

• When it is only one or two products, mention the product here and give examples

Sales contract:

Name and address of buyer:

Name and address of seller:

Date:

Product Description/Model:

Quantity:

Transport mode: Vessel name or etc.

Contract/date:

RSPO Certificate No.:

Identification Number (invoice etc.):

5.4.2

Information shall be complete and can be presented either on a single document or across a range of documents issued for RSPO certified oil palm products (for example, delivery notes, shipping documents and specification documentation).

 Comment in which document is the information e.g.   invoice, CMR, other.

5.4.3

The site receiving RSPO certified oil palm products shall ensure that the products are verified as being RSPO certified by:

1. checking the validity of the Supply Chain Certification of the suppliers via the list of RSPO Supply Chain Certified sites on the RSPO website (www.rspo.org) on monthly basis; or
2. checking the validity of license for traders and distributors via the list of License Holder on the RSPO website (www.rspo.org) on monthly basis; or
3. through the RSPO IT Platform by confirmation of (shipping) announcements.

• Please check and give description on how the company verify this.
• Describe the case of either a/b/c, or all if applicable.

5.4.4

The site shall have a mechanism in place for handling non-conforming oil palm products and/or documents.

Please describe (briefly) the procedure or mechanism they use e.g name of procedure on noncompliance product.

5.4.5

For refineries/traders involved in primary procurement (i.e. purchasing directly from a mill), the site shall maintain a list of all supplying mills (certified and non-certified). The list shall include:

• Mill name
• GPS coordinates
• Parent company
• Country
• Identity of the mill in the Universal Mill List (UML ID1) (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 six (6) monthly basis and shall be made publicly available.

Only For refineries/traders involved in primary procurement (i.e. purchasing directly from a mill) ,

• Please check the list and identify how they made it public

• Describe it briefly 

5.4.6

For independent mill, the mill shall inform the CB immediately if there is a projected overproduction of certified tonnage.

Only for independent mills, check this and give here the Info and what they did

5.5 Outsourcing activities

5.5.1

In cases where an operation seeking or holding certification outsources activities to independent third parties (e.g. subcontractors for storage, transport or other outsourced activities), the operation seeking or holding certification shall ensure that the independent third party complies with the requirements of the RSPO Supply Chain Certification Standard.

Provide a brief explanation on which procedures, contracts or how the outsourcing companies complies with the RSPO standard

5.5.2

Sites that  include outsourcing within the scope of their RSPO Supply Chain certificate shall ensure the following:

1. The site has legal ownership of all input material to be included in outsourced processes;
2. The site has an agreement or contract covering the outsourced process with each contractor through a signed and enforceable agreement with the contractor. The responsibility is on the site to ensure that certification bodies (CBs) have access to the outsourcing contractor or operation if an audit is deemed necessary.
3. The site has a documented control system with explicit procedures for the outsourced process which is communicated to the relevant contractor.
4.  The site seeking or holding certification shall furthermore ensure (e.g. through contractual arrangements) that independent third parties engaged provide relevant access for duly accredited CBs to their respective operations, systems, and any and all information, when this is announced in advance.

Check all the points a,b,c,d for information one by one and Describe it briefly

5.5.3

The site shall record the names and contact details of all contractors used for the processing or physical handling of RSPO certified oil palm products.

Check the record and write where you found them

5.5.4

The site shall inform its CB in advance prior to conducts its next audit of the names and contact details of any new contractor used for the processing or physical handling of RSPO certified oil palm products.

Check the record and write where you found them

5.6 Sales and goods out

5.6.1

The supplying site shall ensure that the following minimum information for RSPO certified products is made available in document form:

1. The name and address of the buyer;
2. The name and address of the seller;
3. The loading or shipment / delivery date;
4. The date on which the documents were issued;
5. A description of the product, including the applicable supply chain model (Identity Preserved, Segregated, Mass Balance or the approved abbreviations);
6. The quantity of the products delivered;
7. Any related transport documentation;
8. Supply chain certificate number of the seller;
9. A unique identification number.

• Verify and state each evidence as per highlighted requirement.
• Please provide at least 3 examples

• If there are more than 10 products, please check more than 3 examples.

• When there are only one or two products, identify the situation and provide examples.

Sales contract:

Name and address of seller:

Name and address of buyer:

Date:

Product Description/Model:

Quantity:

Vessel name:

Contract/date:

RSPO Certificate No.:

Identification Number (invoice etc.):

5.6.2

Information shall be completed and can be presented either on a single document or across a range of documents issued for RSPO certified oil palm products (for example, delivery notes, shipping documents, and specification documentation).

Please comment where or in which document that the information is mainly found, that is related to the model and certificate

5.6.3

For sites that are required to announce and confirm trades in the RSPO IT platform, this shall include making Shipping Announcements/Announcements and Confirmations on the RSPO IT Platform per shipment or group of shipments. Refer to section 5.7.1 of this document for further guidance.

Provide examples of print shots of the announcements and shipments

*Confidential only for certifier to look at for review*

5.7 Registration of transactions

5.7.1

Supply chain actors who:

1.  are mills2, traders3, crushers and refineries; and
2.  take legal ownership and/or physically handle RSPO Certified Sustainable oil palm products that are available in the yield scheme of the RSPO IT Platform (Figure 2 and 3, refer Annex 1) shall register their transaction in the RSPO IT platform and confirm upon receipt where applicable.

• Provide examples of print shots of the transactions in PT

*Confidential only for certifier to look at for review*

• Check when the transaction is done. – Unique ID number from PT

5.7.2

The involved supply chain actors mentioned in 5.7.1 shall do the following actions in the RSPO IT Platform:

1. Shipping Announcement: Shall be carried out by the mills when RSPO certified products are sold as RSPO certified to refineries, crushers, and traders not more than three months after dispatch with the dispatch date being the date recorded on the Bill of Lading or the dispatch documentation.
2. Confirm on Shipping Announcement: Shall be carried out by refineries, crushers, and traders within three (3) months of the issue of the Shipping Announcement.
3. Announcement: Shall be carried out by refineries, crushers, and traders when RSPO certified products in the yield scheme (Figure 2 and Figure 3, Annex 1) is sold as RSPO certified. The announcement shall be carried out within three months of the physical delivery of the products.
4. Confirm on Announcement: Shall be carried out by refineries and traders within three months of receipt of the certified products.
5. Trace: Shall be carried out by the refineries and traders when RSPO certified products are sold as RSPO certified to actors in the supply chain beyond the refinery. The volume shall be traced within three months after physical delivery. Tracing triggers the generation of a trace document with a unique traceability number. Tracing can be done in a consolidated way.
6. Remove: RSPO certified volumes sold under other schemes or as conventional, or in case of underproduction, or lost or damaged shall be removed. The volume shall be removed within the license period.

Only in cases for the 5.7.1 actors: Check and provide evidence of compliance on point a, b, c,d,e,f

*Confidential only for certifier to look at for review*

5.8 Training

5.8.1

The organization shall have a training plan on RSPO Supply Chain Standards requirements, which is subject to annual review and is supported by records of the training provided to staff.

• Name the procedure of the plan
• How frequent are the  reviews Date of the training and review

5.8.2

Appropriate training shall be provided by the organization for personnel carrying out the tasks critical to the effective implementation of the supply chain certification standard requirements. Training shall be specific and relevant to the task(s) performed.

Check and describe what are the training material that is used for training

5.8.3

Training records shall be maintained.

Check the training records: e.g attendance list .

5.9 Record keeping

5.9.1

The organization shall maintain accurate, complete, up-to-date and accessible records and reports covering all aspects of these RSPO Supply Chain Certification Standard requirements.

Write the name of the record that covers all aspect of the RSPO SCC standard.

E.g Quality Manual v 4.prt3

5.9.2

Retention times for all records and reports shall be a minimum of two (2) years and shall comply with legal and regulatory requirements and be able to confirm the certified status of raw materials or products held in stock.

• Please provide information on how long they retained the quality document
• Please provide the name of the document used for records that were being kept

5.9.3

Where exact quantities are not available, the organization shall provide a calculated approximate of the aggregated volume of palm oil / palm kernel oil content (separate categories) used in the RSPO certified oil palm products, as shown in the table below. The organization shall keep an up-to-date record of the volume purchased (input) and actual or estimated claimed (output) over a period of twelve (12) months, except for the period prior to Annual Surveillance Audit 14 (ASA1). This record is required for audit purposes.

⁴ As ASA1 shall be conducted between 8 to 12 months of the certificate issued date, the period will be less than 12 months.

Please use Annex 1: Excel sheet

[pic 1]

5.9.4

For an independent mill, the estimated tonnage of CPO and PK products shall be included in the RSPO IT Platform, supply chain certificate, and public summary audit report. This volume represents the total certified volume of CPO and PK that the certified mill is allowed to deliver in a year. The actual tonnage produced shall then be recorded in each subsequent annual surveillance report.

Please use Annex 1: Excel sheet

[pic 2]

5.10 Conversion factors

5.10.1

Where applicable a conversion rate shall be applied to provide a reliable estimate for the amount of certified output available from the associated inputs. Organizations may determine and set their own conversion rates which shall be based upon past experience, documented and applied consistently.

Guidance on conversion rates is available in the RSPO Rules for Oleochemicals and its Derivatives. This is relevant for derivatives of Palm Oil and Palm Kernel Oil, as used in the oleochemical and personal care industries.

What is the percentage of Olein/Refined palm oil/stearin/ Fatty acid

5.10.2

Conversion rates shall be periodically updated to ensure accuracy against actual performance or industry average if appropriate.

How often do they do the conversion

5.11 Claims

5.11.1

Note: The site shall only make claims regarding the use of or support of RSPO certified oil palm products that are in compliance with the RSPO Rules on Market Communications and Claims.

(Please refer to Annex 6 – Rules on Market Communications and Claims, 2022)

5.12 Complaints

5.12.1

The organization shall establish and maintain documented procedures for receiving and resolving stakeholder complaints.

Identify and write the document name of the complaints procedure that the company have

5.13 Management review

5.13.1

The organization shall conduct annual management reviews at planned intervals, appropriate to the scale and nature of the activities undertaken.

Provide the name of the doc.

• How often do they plan the management review

5.13.2

The input to management review shall include information on:

1. Follow-up actions from previous management reviews
2. Results of internal audits covering RSPO Supply Chain Certification Standard.
3. Stakeholders’ feedback.
4. Status of preventive and corrective actions.
5. Changes that could affect the management system.
6. Recommendations for improvement.

Please describe briefly describe if management review complies from a to f

5.13.3

The output from the management review shall include any decisions and actions related to:

1. Improvement of the effectiveness of the management system and its processes.
2. Resources needed for effective implementation of the system.

Provide an example of what are the improvements and resources from the Management review