rspo supply chain certification systems checklist ... · no claims at the time of the audit....

TÜV NORD INTEGRA bvba

Certification in agriculture and food

Statiestraat 164, 2600 Berchem, Belgium

Phone: +32 3 287 37 60

Fax. +32 3 287 37 61

www.tuv-nord-integra.com

[email protected]

Company:

TÜV NORD INTEGRA no:

RSPO Member number 9-0361-13-000-00

Company name:

Name responsible:

Address:

Type of company for certification: Individual

Audit:

Auditor: Oliver Eck

Date of audit: 11/09/2013

Audit type: Initial Certification (IC)

Time of arrival: 09:45

Time of departure: 13:00

Audit program (items and places inspected):

Attendants during audit:

Name Function Present at closing meeting

Mr. Oliver Eck Lead Auditor x

Mr. Jürgen Fortmann Head of production x

RSPO Supply Chain Certification Systems

Checklist & Certification report (preliminary)Version November 2011

wertkreis Gütersloh gGmbH

Herr Klimmek

- Quality management (complaint management, procedures, training)

- Receiving goods area

- production site (bakery area)

- storage area

Hans-Böckler-Straße 53, D-33334 Gütersloh

int.rspo.cld.clr - v4-15/04/2013 p. 1/16

http://www.tuv-nord-integra.com/

Scope

Detailed scope description:

Supply Chain Model : Mass Balance

Subcontracting :

No

If yes, name of subcontractor, address and subcontracted activity:

Signature responsible Signature auditor

Mister Klimmek Mister Eck

The auditor declares that he/she neither has any family/personal relationships with people within the organization, nor has been

employed in or by the organization being assessed, nor undertaking any consultancy activities or other service provision except

for certification or verification activities over the past three years.

The undersigned responsible declares to have read the complete checklist and fully agrees with the content of this

audit report.

Herstellung von Knäckebrot mit Palm Öl.

Production of crisp bread containing palm oil.

Notice: the findings of the auditor are tentative pending review and decision making by the duly designated representatives of

the certification body.

Is any activity concerning the processing or production of RSPO certified palm oil or palm oil products outsourced?


Requirements

Score

(Yes/ No/

NA)

Comments (obliged for non-

conformity or NA)Deadline

Description corrective

action (CA) Da

te

accep

t

an

ce

CA

1. Applicability of the general Chain of Custody system

requirements for the supply chain

1.1. The General CoC system requirements of the RSPO Supply

Chain Standard shall apply to any organization throughout the supply

chain that take legal ownership of and physically handle (incl. receipt

into storage tanks) RSPO certified sustainable oil palm products.

Yes

1.2. Either the operator at facility level or its parents company seeking

certification shall be a member of the RSPO. Users of the RSPO

Book & Claim system (GreenPalm) also need to be members of

RSPO or GreenPalm.

No No eTrace registration now. 11/12/2013registration email sent by

RSPO01/10/2013

2. Documented procedures

2.1. The facility shall have written procedures and/or work instructions

to ensure the implementation of all the elements specified in these

requirements. This shall include at minimum the following:

No

Process description "Purchasing"

(issue date 03.09.2013). This

descriptions doesn't contain all

relevant criteria relating the check of

incoming goods.

11/12/2013

Process description

created

(Verfahrensanweisung

Dokument QS-VA-091

Datum 26.09.2013 Rev.:

00) 30/09/2013

a) Complete and up-to-date procedures covering the implementation

of all the elements in these requirements.Yes

b) Complete and up-to-date records and reports that demonstrate

compliance with these requirements.Yes

c) The name 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 facility's procedures for the

implementation of this standard.

YesImplemented in HACCP concept.

Responsible Head of QM, Mr. KlimmekBeauftragung

3. Purchasing and goods in

3.1. The facility shall ensure that purchases of RSPO certified palm oil

and palm oil products are in compliance with the following:Yes

1 supplier:

1) Royale Lacroix BMT-RSPO-000011,

certificate valid until 8.2.2017; RSPO

Member Number 4-0097-10-00-00)

a) The facility shall have documentation (e.g. purchase orders,

material specifications, contracts) that purchases are made to the

material category (IP, SG or MB) agreed with their supplier.

Yes only MB

Criteria list


b) The facility receiving RSPO certified oil palm products shall ensure

that the products are verified as being RSPO certified.No

The delivered product itself doesn't

contain the MB label nor the article

number (only AP70), only a lot

number. So it is not clear if the

rawmaterial (incl. lot number) and the

material named in the delivery paper is

the same. Delivery paper are correct

issued.

11/12/2013Email relating product

status (Korrektur 2).

30/09/2013

c) For facilities that are required to announce and confirm trades in

the RSPO IT system (all facilities up to the final refinery and excl.

traders) this shall include making Shipping Announcements and

Shipping Confirmations in the RSPO IT system on the level of each

shipment.

NA No trade of products

d) For all facilities that are SCCS certified a check of validity of the

Supply Chain Certification of suppliers is required. This shall be

checked via the list of RSPO Supply Chain Certified facilities on the

RSPO website (www.rspo.org) or the RSPO IT system within a

reasonable timeframe.

NoYearly check of the certificates. Not

documented in the description yet. 11/12/2013

Process description

created

(Verfahrensanweisung

Dokument QS-VA-091

Datum 26.09.2013 Rev.:

00) 30/09/2013

3.2. The facility shall have a mechanism in place for handling non-

conforming material/documents. This mechanism should also be used

to take appropriate steps when the Supply Chain certification of a

supplier is found to be invalid.

Yes

Process description "correcitve action

management" QS-VA007

("Sperrzettel" incl. root cause analysis

and non conformity report "Fehler-

Ausschussmeldung" QS-F-008).

4. Outsourcing activities

4.1. The operation seeking/holding certification shall ensure that the

subcontractor complies with the intent and requirements of the RSPO

Supply Chain Standard.

NA No outsourcing acitivies

4.2. Facilities that wish to include outsourcing within the scope of their

RSPO Supply Chain certificate shall ensure the following:NA No outsourcing acitivies

a) The facility has legal ownership of all input material to be included

in outsourced processes.NA No outsourcing acitivies

b) The facility does not relinquish legal ownership of the materials

during outsourced processing.NA No outsourcing acitivies

c) The facility has an agreement/contract covering the outsourced

process with each contractor through either a signed and enforceable

agreement with the subcontractor. The responsibility is on the facility

to ensure that certification bodies have access to the outsourcing

contractor/operation if an audit is deemed necessary.


d) The facility has a documented control system with explicit

procedures for the outsourced process that are shared with the

relevant contractor.



e) The facility seeking/holding certification shall ensure that

subcontractors engaged provide unrestricted access to their

operations, systems and other information to the certification bodies

when this is announced in advance.


4.3. The facility shall record the names and contact details of all

contractors used for processing or production of RSPO certified

materials.


4.4. The facility shall inform its certification body about the names and

contact details of any new contractor used for the processing or

production of RSPO certified materials.


5. Sales and goods out

5.1. The facility shall ensure that all sales invoices or relevant

documents issued for RSPO certified palm oil delivered include the

following information:

Delivery Paper. All necessary inputs

mentioned.

a) The name and address of the buyer Yes

b) The name and address of the seller Yes

c) The loading or delivery date Yes

d) The date on which the invoice was issued Yes

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

model (IP, SG or MB)NA

Not certified yet. The customer has

shown an example of the invoice and

delivery paper.

f) The quantity of the products delivered Yes

g) Any related transport documentation Yes

h) Supply chain certification reference number NA see 5.1. e

6. Registration

6.1. Supply chain actors who take legal ownership of and physically

handle RSPO certified sustainable oil palm products and who are part

of the supply chain of RSPO certified sustainable oil palm products

before and up to the (final) refinery need to register their transaction

in the RSPO IT system upon the moment of physical shipment. Actors

who must register include mills and refineries. Actors who must not

register include traders and all operators after the final refinery.

NA No registration necessary

7. Training

7.1. The facility shall have a defined training plan, which is subject to

on-going review and supported by training records.Yes

Attendance sheet (incl. signature of

employees) 17.07.2013 (codex,

standard and its requirements,

incoming goods) and 10.09.2013

(sales and goods out).

7.2. The facility shall provide the training for all staff as required to

implement the requirements of the Supply Chain Certification

Systems.

Yes


7.3. The facility shall keep records of the training provided to staff in

relation to implementation of these requirements.Yes

8. Claims

8.1. The facility shall only make claims regarding the use of or support

of RSPO certified palm oil that are in compliance with the RSPO

Guidelines for Communication and Claims.

yes

No claims at the time of the audit.

Examples within the delivery papers

checked during the audit.

9. Processing

For Identity Preserved, Segregation and Mass Balance

9.1. The facility can only use the same supply chain model as its

supplier or go to a less strict system. Declassification/downgrading

can only be done in the following order: IP -> SG -> MB -> Non RSPO

Certified Palm Oil.

Yes Only MB rawmaterial.

For Identity Preserved and Segregation

9.2. The facility shall assure and verify through clear procedures and

record keeping that the RSPO certified palm oil is kept segregated

from non certified material including during transport and storage and

be able to demonstrate that is has taken all reasonable measures to

ensure that contamination is avoided. The objective is for 100%

segregated material to be reached. The systems should guarantee

the minimum standard of 95 % segregated physical material; up to

5% contamination is allowed.

NA Only MB

For Identity Preserved

9.3. The facility shall assure that the RSPO certified palm oil is

uniquely identifiable to a single mill and its supply base and is kept

physically isolated from all other oil palm sources in its facility. The

systems shall guarantee the minimum standard of 95 % segregated

physical material.

NA Only MB

10. Record keeping

10.1. The facility shall maintain accurate, complete, up-to-date and

accessible records and reports covering all aspects of these

requirements.

Yes

10.2. Retention times for all records and reports shall be at least five

(5) years.Yes Retention time 10 Years. Documented.

10.3. The following trade names should be used and specified in

relevant documents e.g. 'product name'/IP or Identity Preserved,

'product name'/SG or segregation, 'product name'/MB or mass

balance. The supply chain model used should be clearly indicated.

Yes

For Identity Preserved


10.4. The facility shall provide documented proof that the RSPO

certified palm oil can be traced back entirely to the palm oil mill.NA Only MB

For Segregation

10.5. The facility shall provide documented proof that the RSPO

certified palm oil can be traced back entirely to only certified

segregated material.

NA Only MB

11. Mass balancing system (For Mass Balance only)

11.1. The facility shall ensure that the quantity of physical RSPO

mass balance material inputs and outputs (volumes or weights) at the

physical site are monitored on a real-time base.

Yes

All relevant information possible by the

internal IT system. Like organic

certification.

11.2. The facility shall ensure that the internal material accounting

system complies with the following:

- a facility can only deliver MB sales from a positive stock;

- facility is allowed to sell short (i.e. product can be sold before it is in

stock).

Yes

Only MB rawmaterial. There is no

conventional raw material of the same

raw material group.

11.3. RSPO data is valid from the date it was first recorded in the

material accounting system. The RSPO data shall always be valid

until the data has been allocated to outputs supplied by the

organization. Facilities allocate mass balance claims to products

going out, ensuring that the input matches the output, as specified in

Annex 3 of the standard.

Yes

11.4. All volumes of palm oil fractions and derivates that are delivered

are deducted from the material accounting system according to

conversion ratios stated by RSPO, with the exception of the option

details in 11.5. Palm Fatty Acid Distillate and other refining losses are

neglected for the sake of simplicity in the MB system.

NA No conversion in place

11.5. Facilities can purchase a certain volume of segregated

sustainable palm and palm kernel products and use it to match the

sales of equal volumes of palm products derivates that then carry a

MB claim without requiring a physical or chemical link between the

acquired segregated product and the derivative that is sold under MB.

Note: segregated palm oil products cannot be used to offset MB

claims on palm kernel products or vice versa. Note: this is not

acceptable practice for EU biofuels.

NA No purchase of such materials in place


12. Multi-site certification

12.1. The company shall define the geographic area, the number and

identity facilities, the supply chain model and the types of operations

covered by the scope of their multi-site chain of custody system. Mass

balance accounting can only be done at facility level.

NA No multi site

12.2. The operational units shall demonstrate that they are part of the

same Central Office.NA No multi site

12.3. The Central Office shall justify the grouping of operational units

into sets.NA No multi site

12.4. The Central Office shall have a centrally administered and

documented Internal Control System (ICS) for the management and

implementation of the RSPO Chain of Custody requirements.

NA No multi site

12.5. The Central Office shall appoint a management representative

with overall responsibility for ensuring that all operational units comply

with the RSPO Chain of Custody requirements.

NA No multi site

12.6. The Central Office will have a procedure for raising corrective

actions when it is found that an operation unit is not in compliance

with the RSPO SCCS.

NA No multi site

12.7. The Central Office shall have the authority to remove

participating sites from the scope of the multi-site system if the

requirements of participations, or any corrective actions issued by the

certification body or by the company itself, are not complied with by

the participating site(s).

NA No multi site

12.8. As part of the ICS, the Central office shall establish and

implement training for participating sites to cover all applicable

requirements of the RSPO multi-site Chain of Custody.

NA No multi site

12.9. The Central Office shall maintain centralized accurate,

complete, up-to-date and accessible records for all participating sites

and shall be responsible for maintaining reports covering all aspects

of the RSPO multi-sites requirements.

NA No multi site

12.10. The ICS shall determine and prepare which common

management documents are applicable to all operational units.NA No multi site

12.11. The ICS shall determine which site specific documents are

required at each operational unit.NA No multi site

The ICS shall keep all documents and records for a minimum period

of 5 years.NA No multi site


12.12. The Central Office shall conduct at least annual internal audits

of each participating site to ensure compliance with the multi-site

Chain of Custody requirements.

NA No multi site

12.13. Non-conformances found as part of the internal audit shall be

issued corrective action requests.NA No multi site

12.14. The results of the internal audits and all actions taken to

correct non-compliance will be available to the certification body upon

request.

NA No multi site

12.15. The outcomes of the internal audit programme shall be subject

to review by top management at least annually.NA No multi site

12.16. The ICS shall be responsible for ensuring that all uses of the

RSPO logo and all RSPO claims regarding the end product are in

accordance with RSPO requirements through its central control point.

NA No multi site

13. Complaints

13.1 The facility shall:

a) keep a record of all complaints made known to the facility

relating to a product’s compliance with requirements of the

RSPO SCCS and make these records available to the

certification body when requested

Yes

Complaint management (template

"Fehler-Auschuss-Meldung" QS-F-

008). One contact person relating the

relevant product group.

b) take appropriate action with respect to such complaints and

any deficiencies found in products or services that affect

compliance with the requirements for certification;

Yes

c) document the actions taken. Yes Input in template


Records of raw material purchased/received:

Name supplier

RSPO

Certificate

No.

Name of product UTZ No.

Royale Lacroix

BMT-

RSPO-

000011 baking fat (magerine)

Records of palm oil products sold:

Name buyer

RSPO

Certificate

No.

Name of productUTZ No. (if

applicable)

no sold products yet

Volume

(ton)

Data check

Volume

(ton)

0.5


SCCS CERTIFICATION : REPORT SUMMARY ( to be filled by CB on SC actors after Final Refinery*)Note : Final Refinery * - as per SCC std Nov 2011 , RSPO eTrace will trace until final refinery , after which all traceability records will be monitored by respective CBs.

Initial Certification (IC)

No: Date (dd/mm/yyyy) Description of Product RSPO certified Palm (MT)

1 06/09/2013 baking fat (magerine) 500

2

3

4

5

6

7

8

note:

No: Date (dd/mm/yyyy) Description of Product

Units of

Measurement

Total Palm Content in Product

Pack

no RSPO product yet

0

0

Purpose of Audit :Trace Records (IN)

pls add on more rows if insufficient rows provided

Trace Records (OUT)


SCCS CERTIFICATION : REPORT SUMMARY ( to be filled by CB on SC actors after Final Refinery*) SCC Template for RSPO CBs ver 1.0

Note : Final Refinery * - as per SCC std Nov 2011 , RSPO eTrace will trace until final refinery , after which all traceability records will be monitored by respective CBs.

Audit Date (dd/mm/yyyy) 11/09/2013

RSPO certified

Palm in Product

Pack

Non-RSPO

certified Palm

in Product

Pack

% RSPO /total

palm

Total RSPO certified

Palm Used Remarks

0 0 #DIV/0!

0 0 #DIV/0!

Trace Records (IN)

Remarks

pls add on more rows if insufficient rows provided

Trace Records (OUT)


For CBs : To obtain from SC actors after final refinery SCC Template for RSPO CBs ver 1.0

PLEASE INSERT THE PHOTO OF PRODUCT PACK CONTAINING RSPO CERTIFIED SUSTAINABLE PALM if RSPO Trademark is seen , pls show in photo attached

eg: KB xxxxxx (front) eg: KB xxxxxx (back)


SCC Template for RSPO CBs ver 1.0

PLEASE INSERT THE PHOTO OF PRODUCT PACK CONTAINING RSPO CERTIFIED SUSTAINABLE PALM


2. List of actions taken by the organization to ensure compliance:

3. List of key attention points for the coming year of certification

4. Certified volume purchased and claimed

Control of the annual certified volume of RSPO certified palm oil for the period: na

Compliant No

Certification

Recommendations

Conclusion

Certificate details

Certificate number: 58680

Validity of certificate starts: 18/10/2013

Description of the company’s systems1. Description of the organizational systems, management systems and operational systems to

ensure compliance with the RSPO Supply Chain Certification Systems:The company wertkreis Gütersloh gGmbH, based in Gütersloh Germany, is based in a 1981 builed and

2007 renovated production site. The company employs all in all about app. 1800 employees, in the bakery

area 35 employees. A huge amount of the employees are handycaped people.

- Processes: incoming goods, storage, mixing, forming, sprinkling, baking, packaging, storage, sales,

distribution, transport

- No trading

- Employees bakery: 35 (13 Fulltime, 7 semi time, 15 shift)

- No sub contractor

- Plant size 700sqm

- 1 production line

- Further certificates ISO 9001:2008, OHSAS, Organic

There is only one palm fat product (baking fat). Because there is no conventionally palm oil product in place,

the cross contamination of misuse is not possible.

Within the receiving goods check, the status of RSPO is checked with supplier documents and within every

delivery, the current status of the supplier is checked.

No further key attention points.

An auditor of TÜV NORD INTEGRA bvba visited you for an audit following the RSPO standard. Based

on this audit, and any corrective actions, TÜV NORD INTEGRA bvba has decided that you comply

with the RSPO standard.

Previous audits

Summary of previous certification assessments and conclusion, with recommendations or non-

conformances:

Initial audit


Validity of certificate ends: 17/10/2018

Date of first RSPO Supply Chain certification: 18/10/2013

Certification body details

CB Certificate number:

Date of approval by RSPO: 25/06/2012

Auditor Oliver Eck

Lead auditor Marleen Delanoy


rspo supply chain certification systems checklist ... · no claims at the time of the audit....

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