THE RSPO SUPPLY CHAIN CERTIFICATION STANDARD 2020 AUDIT CHECKL

Purpose

Following the endorsement of the RSPO SCC Standard 2020, the RSPO Secretariat has taken the initiative to
audit checklist. The development of this audit checklist was made with the consultation with the accredited
Body (CB). The objective of this document is to ensure that the assessments carried out by the RSPO accred
consistent and objectively driven. It provide a list of questions to be checked by the auditors.

This document will be updated from time to time by the RSPO Secretariat to reflect any additional or latest req
further clarification is required, please contact the RSPO Secretariat.

Created by:
Assurance Department
RSPO Secretariat
29 December 2020
CHECKLIST FOR AUDIT AGAINST RSPO SCC STANDARD 2020
CLAUSE

REQUIREMENTS

*ALL OR5. General chain of custody requirements for the supply chain
*ALL OR5.1 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
*ALL OR be a member of the RSPO and shall register on the RSPO IT platform.
*ALL OR

*ALL OR
5.1.2 Processing aids do not need to be included within an organisation’s scope of
certification.
*ALL OR
*ALL OR

*ALL OR
5.1.3 For multi-site and group certification, additional requirements in Annexes 2 and
3 shall be complied.
*ALL OR
*ALL OR5.2 Supply chain model
5.2.1 The site can only use the same supply chain model as its supplier or go to a less
*ALL OR strict system in the following order: Identity Preserved -> Segregated -> Mass
*ALL OR Balance.

*ALL OR
5.2.2 The site can use one (1) or a combination of supply chain models (e.g. Identity
Preserved, Segregated, Mass Balance) as audited and certified by the CB.
*ALL OR
*ALL OR
*ALL OR5.3 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. These shall include at a minimum the following:
*ALL OR a) Complete and up-to-date procedures covering the implementation of all the
elements of the supply chain model requirements.
b) Complete and up-to-date records and reports that demonstrate compliance
*ALL OR with the supply chain model requirements.
c) Identification of the role of the person(s) having responsibility for and
*ALL OR authority over the implementation of these requirements and compliance with
all applicable requirements. This person(s) shall be able to demonstrate an
awareness of the organization’s procedures for the implementation of this
standard.
*ALL OR

*ALL OR
5.3.2 The site shall have a written procedure to conduct an annual internal audit to
determine whether the organisation;
*ALL OR a) conforms to the requirements in the RSPO Supply Chain Certification
Standard and the RSPO Market Communications and Claims Documents.
*ALL OR b) effectively implements and maintains the standard requirements within its
*ALL OR organisation.

*ALL OR

*ALL OR
5.3.3 The organisation shall ensure that:
a) Internal audits are conducted by personnel knowledgeable in the
*ALL OR requirements of this standard;
b) Internal auditors do not audit their own work;
c) Any non-conformities found during internal audit shall be issued corrective
*ALL OR action and actions shall be taken in a timely and appropriate manner.
*ALL OR

*ALL OR

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

*ALL OR
*ALL OR5.3.5 The organisation shall maintain the internal audit records and reports.

*ALL OR
*ALL OR5.4 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 license 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:
*ALL OR 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;
*ALL OR g) Any related transport documentation;
h) Supply Chain Certificate number of the seller;
i) A unique identification number(s).

*ALL OR
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).
*ALL OR
5.4.3 The site receiving RSPO certified oil palm products shall ensure that the
products are verified as being RSPO certified by:
*ALL OR a) checking the validity of the Supply Chain Certification of suppliers via the list
of RSPO Supply Chain Certified sites on the RSPO website (www.rspo.org) on
monthly basis; or
*ALL OR b) 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
c) through the RSPO IT Platform by confirmation of (shipping) announcements.
*ALL OR
 monthly basis; or
b) 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
c) through the RSPO IT Platform by confirmation of (shipping) announcements.

*ALL OR

*ALL OR
5.4.4 The site shall have a mechanism in place for handling non-conforming oil palm
products and/or documents.
*ALL OR
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-
*ALL OR certified). The list shall include mill name, GPS coordinates, parent company,
country, and the 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
*ALL OR conventional sources' list in the RSPO IT Platform. The list shall be updated on a
six monthly basis and shall be made publicly available.

*ALL OR
*ALL OR
*ALL OR
5.4.6 For independent mill, the mill shall inform the CB immediately if there is a
projected overproduction of certified tonnage.
*ALL OR
*ALL OR
*ALL OR5.5 Outsourcing activities
5.5.1 In cases where an operation seeking or holding certification outsources its
activities to independent third parties (e.g. subcontractors for storage,
transport, or other outsourced activities), the operation seeking or holding
*ALL OR certification shall ensure that the independent third party complies with the
requirements of the RSPO Supply Chain Certification Standard.

*ALL OR
5.5.2 Sites that include outsourcing within the scope of their RSPO Supply Chain
certificate shall ensure the following:
a) The site has legal ownership of all input material to be included in
*ALL OR outsourced processes;
b) 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.
c) The site has a documented control system with explicit procedures for the
outsourced process which is communicated to the relevant contractor.
 5.5.2 Sites that include outsourcing within the scope of their RSPO Supply Chain
certificate shall ensure the following:
a) The site has legal ownership of all input material to be included in
outsourced processes;
b) 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.
c) The site has a documented control system with explicit procedures for the
*ALL OR outsourced process which is communicated to the relevant contractor.
d) 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,
*ALL OR systems, and any and all information, when this is announced in advance.

*ALL OR
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.
*ALL OR
*ALL OR
5.5.4 The site shall inform its CB in advance prior to conduct 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.
*ALL OR
*ALL OR5.6 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:
a) The name and address of the buyer;
b) The name and address of the seller;
*ALL OR c) The loading or shipment / delivery date;
d) The date on 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;
*ALL OR h) Supply Chain Certificate number of the seller;
i) A unique identification number(s).

*ALL OR
 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).
*ALL OR
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.
*ALL OR
*ALL OR5.7 Registration of transactions
5.7.1 Supply chain actors who:
a) are mills, traders, crushers, and refineries; and
*ALL OR b) 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
*ALL OR (Figure 2 and Figure 3, Annex 1) shall register their transaction in the RSPO IT
platform and confirm upon receipt where applicable.

*ALL OR
5.7.2 The involved supply chain actors mentioned in 5.7.1 shall do the following
actions in the RSPO IT Platform:
a) 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 dispactch with the dispatch date being the
date recorded on the Bill of Lading or the dispatch documentation.
b) Confirm on Shipping Announcement: Shall be carried out by refineries,
crushers, and traders within three months of the issue of the Shipping
Announcement.
*ALL OR c) 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.
d) Confirm on Announcement: Shall be carried out by refineries and traders
within three months of receipt of the certified products.
e) 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.
*ALL OR Tracing triggers the generation of a trace document with a unique traceability
number. Tracing can be done in a consolidated way.
f) 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 licence period.
 within three months of receipt of the certified products.
e) 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.
f) 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 licence period.

*ALL OR
*ALL OR5.8 Training
5.8.1 The organisation shall have a training plan on RSPO Supply Chain Standard
requirements, which is subject to annual review and is supported by records of
*ALL OR the training provided to staff.
*ALL OR
*ALL OR
*ALL OR
5.8.2 Appropriate training shall be provided by the organisation for personnel carrying
out the tasks critical to the effective implementation of the supply chain
*ALL OR certification standard requirements. Training shall be specific and relevant to
the task(s) performed.
*ALL OR

*ALL OR
5.8.3 Training records shall be maintained.
*ALL OR
*ALL OR5.9 Record keeping
5.9.1 The organisation shall maintain accurate, complete, up-to-date, and accessible
records and reports covering all aspects of these RSPO Supply Chain
Certification Standard requirements.
*ALL OR

*ALL OR
5.9.2 Retention period 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
*ALL OR the certified status of raw materials or products held in stock.
*ALL OR
 5.9.3 Where exact quantities are not available, the organisation 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 organisation 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 1 (ASA1). This record is required for audit purposes.

*ALL OR
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
*ALL OR produced shall then be recorded in each subsequent annual surveillance report.

*ALL OR
*ALL OR5.10 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. Organisations may determine and set their own conversion rates which
shall be based upon past experience, documented, and applied consistently.
*ALL OR 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.

*ALL OR
5.10.2 Conversion rates shall be periodically updated to ensure accuracy against actual
performance or industry average if appropriate.
*ALL OR
*ALL OR5.11 Claims
5.11.1 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.
*ALL OR

*ALL OR

*ALL OR
*ALL OR
*ALL OR5.12 Complaints
5.12.1 The organisation shall establish and maintain documented procedures for
receiving and resolving stakeholder complaints.
*ALL OR

*ALL OR
*ALL OR
*ALL OR5.13 Management review
5.13.1 The organisation shall conduct annual management reviews at planned
*ALL OR intervals, appropriate to the scale and nature of the activities undertaken.

*ALL OR
5.13.2 The input to management review shall include information on:
a) Follow-up actions from previous management reviews.
b) Results of internal audits covering RSPO Supply Chain Certification Standard.
*ALL OR c) Stakeholders' feedback.
d) Status of preventive and corrective actions.
e) Changes that could affect the management system.
f) Recommendations for improvement.

*ALL OR
5.13.3 The output from the management review shall include any decisions and actions
related to:
a) Improvement of the effectiveness of the management system and its
*ALL OR processes.
b) Resources needed for effective implementation of the system.

*ALL OR
ALL - IP Module A – Identity Preserved (IP)
ALL - IP A.2 Supply chain requirements
A.2.1 The site shall ensure that the RSPO IP oil palm product is kept physically isolated
from all other palm oil sources and is uniquely identifiable to a single RSPO
ALL - IP certified mill and its certified supply base.
 A.2.1 The site shall ensure that the RSPO IP oil palm product is kept physically isolated
from all other palm oil sources and is uniquely identifiable to a single RSPO
certified mill and its certified supply base.

ALL - IP
ALL - IP A.3 Processing
A.3.1 The site shall assure and verify through documented procedures and record
keeping that the RSPO certified oil palm product is kept separate from non-
certified oil palm products and oil palm products from other certified mills,
ALL - IP including during transport and storage to strive for 100% separation.

ALL - IP
ALL - SG Module B – Segregated (SG)
ALL - SG B.2 Supply chain requirements
B.2.1 The Segregated approach requires that the RSPO certified oil palm products are
kept separate from non-RSPO certified oil palm products at every stage of
ALL - SG production, processing, refining and manufacturing throughout the supply
chain. This model allows mixing of any RSPO IP and/or SG certified oil palm
products from various certified sources. Physical certified oil palm products
delivered to the end user will be traceable to a list of RSPO certified mills.

ALL - SG
ALL - SG B.3 Processing
B.3.1 The site shall assure and verify through clear procedures and record keeping
that the RSPO certified oil palm product is kept segregated from non-certified oil
palm products including during transport and storage to strive for 100%
ALL - SG separation.

ALL - SG

ALL - SG
ALL - M Module C – Mass Balance (MB)
ALL - M C.2 Supply chain requirements
 C.2.1 The basis of the supply chain requirements for Mass Balance shall consist of
reconciliation between the quantity of RSPO certified oil palm products bought
and the quantity of RSPO certified oil palm products sold. This includes control
of purchases and sales of RSPO certified oil palm products and its derivatives,
which shall be independently verified. There are no requirements for separate
storage, transportation, or controls in the production process.

ALL - M
ALL - M C.3 Processing
C.3.1 The site shall ensure that the quantity of physical RSPO Mass Balance oil palm
product inputs and outputs (volume or weight) at the physical site are
monitored.
ALL - M
C.3.2 The site shall ensure that the output of RSPO mass balance oil palm product
supplied to customers from the physical site does not exceed the input of RSPO
certified oil palm products received at the physical site. The site shall establish
only one accounting system at a time.
ALL - M
ALL - M
ALL - M
ALL - M C.4 Accounting system
C.4.1 Continuous Accounting system:
a) Where a continuous accounting system is in operation, the organisation shall
ensure that the quantity of physical RSPO Mass Balance oil palm product inputs
and outputs at the physical site are monitored on a real-time basis.
b) Where a continuous accounting system is in operation, the organisation shall
ALL - M ensure that the material accounting system is never overdrawn. Only RSPO data
that has been recorded in the material accounting system shall be allocated to
outputs supplied by the organisation.

ALL - M
C.4.2 Fixed inventory periods:
a) Where a fixed inventory period is in operation, the organisation shall ensure
that the quantity of RSPO Mass Balance oil palm product inputs and outputs
(volume or weight) are balanced within a fixed inventory period, which does not
exceed three (3) months.
ALL - M b) Where a fixed inventory period is in operation, the organisation may
overdraw data when there is evidence that RSPO Mass Balance oil palm product
purchases for delivery within the inventory period cover the RSPO output
quantity supplied.
c) Where a fixed inventory period is in operation, unused volume can be carried
over and recorded in the material accounting system for the following inventory
period.
d) Where a fixed inventory period is in operation, the organisation shall ensure
that the material accounting system is not overdrawn at the end of inventory
period.
 a) Where a fixed inventory period is in operation, the organisation shall ensure
that the quantity of RSPO Mass Balance oil palm product inputs and outputs
(volume or weight) are balanced within a fixed inventory period, which does not
exceed three (3) months.
b) Where a fixed inventory period is in operation, the organisation may
overdraw data when there is evidence that RSPO Mass Balance oil palm product
purchases for delivery within the inventory period cover the RSPO output
quantity supplied.
ALL - M c) Where a fixed inventory period is in operation, unused volume can be carried
over and recorded in the material accounting system for the following inventory
period.
d) Where a fixed inventory period is in operation, the organisation shall ensure
that the material accounting system is not overdrawn at the end of inventory
ALL - M period.

ALL - M
C.4.3 Only RSPO data that has been recorded in the material accounting system
within the inventory period (including data carried over from the previous
period as per C.4.2.c) shall be allocated to outputs supplied within the inventory
period.
ALL - M
ALL - M C.5 Conversion ratios
C.5.1 All volumes of palm oil and palm kernel oil fractions and derivatives that are
delivered are deducted from the material accounting system according to the
conversion ratios as set out by RSPO (see section 5.10), with the exception of
the option detailed in C.5.3.
ALL - M
C.5.2 Production losses are neglected for the sake of simplicity in the Mass Balance
system.
ALL - M
C.5.3 Sites can purchase a certain volume or weight of Identity Preserved (IP) or
Segregated (SG) RSPO certified palm oil and palm kernel products and use it to
match the sales of equal volumes of oil palm product derivatives that then carry
a Mass Balance claim without requiring a physical or chemical link between the
ALL - M acquired Identity Preserved or Segregated product and the derivative that is
sold under Mass Balance (see Figure 1). The conversion from Identity Preserved
or Segregated products to Mass Balance is allowed upwards, sideways and
ALL - M downwards in the same product tree.

ALL - M
Annex 1Annex 1 - Supply Chain Yield Schemes
Annex 11. Palm Oil Yield Scheme
 1.1 The values shown in the palm oil yield scheme below are fixed and cannot be
Annex 1 modified. Organisations may use their own actual yields provided that these can
be justified during the audit.
Annex 1
Annex 12. Palm Kernel Oil Yield Scheme
Annex 12.1 The values shown in the palm kernel oil yield scheme below are fixed and
cannot be modified. Organisations may use their own actual yields provided that
these can be justified during the audit.
Annex 1
Annex 2Annex
- 2 - Multi-site Certification
Annex 21.
- Explanation
1.1 The organisation shall define the geographic area, the number and identity of
sites, the supply chain model and the types of operations covered by the scope
Annex 2 - of their multi-site chain of custody system. (Note: Mass Balance accounting can
only be implemented at site level.

Annex 2 -

Annex 2 -
1.2 The Central Office acting as ICS office is considered a participating site.

Annex 2 -
1.3 Central Office that also has a production site is counted as one site.

Annex 2 -
Annex 22.
- Responsibilities
2.1 The operational units shall demonstrate that there is a contractual link between
Annex 2 - them.
Annex 2 -
2.2 The Central Office shall justify the grouping of operational units into sets
Annex 2 - according to activities undertaken.
Annex 2 -
2.3 The Central Office shall have a centrally administered and documented ICS for
the management and implementation of the RSPO Chain of Custody
Requirements.
Annex 2 -
 2.4 The Central Office shall appoint a management representative with overall
responsibility for ensuring that all operational units comply with the RSPO Chain
Annex 2 - of Custody Requirements.

Annex 2 -
2.5 The Central Office shall have a procedure for raising non-conformities when it is
found that an operation unit is not in compliance with the RSPO supply chain
certification requirements.
Annex 2 -
Annex 2 -
2.6 The Central Office shall have the authority to remove participating sites from
the scope of the multi-site system if the requirements of participation, or any
Annex 2 - non- conformities issued by the CB or by the company itself, are not addressed
by the participating site(s).
Annex 2 -
Annex 23.
- Training
3.1 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
Annex 2 - chain of custody.
Annex 2 -
Annex 2 -
Annex 2 -
Annex 24.
- Record Keeping
4.1 The Central Office shall maintain centralised accurate, complete, up-to-date,
and accessible records for all participating sites and shall be responsible for
Annex 2 - maintaining reports covering all aspects of the RSPO multi-site requirements.

Annex 2 -
4.2 The ICS shall determine and prepare the common management documents that
Annex 2 - are applicable to all operational units.

Annex 2 -
4.3 The ICS shall determine the site-specific documents that are required at each
operational unit.
Annex 2 -
 4.4 The ICS shall keep all documents and records for a minimum period of two (2)
years and shall comply with the legal and regulatory requirements and be able
to confirm the certified status of raw materials or products held in stock.
Annex 2 -
Annex 25.
- Internal audits
5.1 The Central Office shall conduct at least annual internal audits of each
Annex 2 - participating site to determine whether the supply chain certification system:
a) Conforms to the planned arrangements, the requirements of the RSPO
Supply Chain Certification Standard, and the RSPO Rules on Market
Communications and Claims, and any other requirements established by the
organisation;
b) Is effectively implemented and maintained.
Annex 2 -

Annex 2 -
5.2 Any non-conformities found during internal audit shall be issued corrective
action and actions shall be taken in a timely and appropriate manner.
Annex 2 -
5.3 The results of the internal audits and all actions taken to correct non-
conformities shall be available to the CB upon request.
Annex 2 -
5.4 The results of the internal audit and all actions taken to correct non-
conformities shall be subject to management review at least annually.
Annex 2 -

Annex 2 -
5.5 An audit programme shall be planned, taking into consideration the status and
importance of the processes and areas to be audited, as well as the results of
Annex 2 - the previous audits. The audit criteria, scope, frequency, and methods shall be
defined. The selection of auditors and conduct of audits shall ensure objectivity
and impartiality of the audit process. Auditors shall not audit their own work.
Annex 2 - a) A documented procedure shall be established to define the responsibilities
and requirements for planning and conducting audits, establishing records, and
reporting results.
Annex 2 - b) Records of the audits and their results shall be maintained.
c) The management responsible for the area being audited shall ensure that
Annex 2 - any necessary corrections and corrective actions are taken to eliminate detected
nonconformities and their causes.

Annex 2 -
 any necessary corrections and corrective actions are taken to eliminate detected
nonconformities and their causes.

Annex 2 -
Annex 26.
- Claims
6.1 The ICS shall be responsible for ensuring that all uses of the RSPO Trademark
and all RSPO claims regarding the end product are in accordance with RSPO
Rules on Market Communications and Claims requirements through its central
Annex 2 - control point.

Annex 2 -

Annex 2 -
Annex 2 -
Annex 2 -
Annex 3Annex 3 - Supply Chain Group Certification Scheme
Annex 31. Explanation
1.1 The Group Manager shall define the geographic area, the number and identity
of the group members, the supply chain model, and the types of operation
Annex 3 covered by the scope of the group certification scheme.

Annex 3

Annex 3
Annex 32. Group Certification Membership requirements
2.1 The Group Certification Membership is restricted to those companies that:
Annex 3 a) Are separate legal entities.
b) Use up to 500 MT of oil palm products per year individually (see 2.4 below
for mill requirements).
Annex 3
2.2 The Group Certification is not restricted to a single country and can be
performed across borders.
Annex 3
2.3 The group shall consist of group members who have formally agreed to join the
group and have demonstrated compliance with the requirements of this Group
Annex 3 Certification Scheme and the rules of the group. Group membership is
voluntary. Micro users can be a part of the group membership.
 2.3 The group shall consist of group members who have formally agreed to join the
group and have demonstrated compliance with the requirements of this Group
Certification Scheme and the rules of the group. Group membership is
voluntary. Micro users can be a part of the group membership.

Annex 3

Annex 3
2.4 Palm oil mills cannot join a group, with the exception of independent palm oil
mills without their own supply base and producing up to 5000 MT palm oil
Annex 3 products per year.

Annex 3
2.5 Group members shall sign a declaration of intent that:
a) Acknowledges and agrees to the requirements and responsibilities of group
membership.
b) Acknowledges their compliance with the RSPO supply chain certification
requirements.
c) Authorises the Group Manager to apply for certification on the member's
behalf.
d) Agrees to allow representatives of the Group Manager, the CB, and
representatives of RSPO Secretariat access to their premises and records
pertaining to RSPO products at any time.
e) Agrees to supply the Group Manager and their personnel with up-to-date
contact details.

Annex 3
2.6 Group members shall demonstrate that they can implement the chosen supply
chain model(s) prior to acceptance as a member and continue to do so after
acceptance as a member.
Annex 3
2.7 Each group member shall utilise the group certificate number and their subcode
in all documents as required by the RSPO SCC Standard when buying and selling
RSPO products, including reference to the supply chain model (e.g.: IP/SG/MB).
Annex 3
 2.8 Should the use of oil palm products be expected to exceed 500 MT per year
after acceptance as a member of the group, the group member shall inform the
Group Manager about leaving the group before the next anniversary of group
membership. That member shall make arrangements for individual certification
by an RSPO SCC accredited CB before the next anniversary of group
membership.

Annex 3
2.9 RSPO Supply Chain Associate Membership shall be borne by the group entity at
the rate published by the RSPO. The group entity can volunteer to join RSPO
Ordinary Membership should they wish to enjoy additional benefits, such as
voting rights at General Assembly (GA).
Annex 3
Annex 33. Group entity reponsibilities
3.1 The group entity shall be:
a) A legally registered entity under the laws of the country of origin.
Annex 3 b) A member of the RSPO.

Annex 3
Annex 3
3.2 The group entity shall:
a) Have a contract with the accredited CB.
Annex 3 b) Appoint an individual as the Group Manager who is responsible for the
preparation and implementation of the ICS.
Annex 3
3.3 The group members shall demonstrate that they are part of the group scheme.
All group members shall have a legal and/or contractual relationship with the
Annex 3 group entity.

Annex 3
3.4 The group shall have a centrally administered and documented ICS for the
Annex 3 management and implementation of the RSPO Supply Chain Standard
requirements.

Annex 3

Annex 3
3.5 A group shall have a Group Manager, who is the appointed management
representative for the group members and the Supply Chain Group certification.
Annex 3
 3.6 The RSPO Supply Chain Certification Standard requirements shall be
implemented by each group member. The group scheme manager has overall
responsibility for ensuring that all group members comply with the RSPO Supply
Chain Standard requirements.
Annex 3
3.7 The group scheme shall have a procedure for raising corrective actions when it
is found that a group member is not in compliance with the RSPO Supply Chain
Certification Standard.
Annex 3

Annex 3
3.8 The Group Manager shall have the authority to remove group members from
the group scheme if the requirements of participation are not met, or if any
non- conformities issued by the CB or the Group Manager are not complied with
Annex 3 by the participating group member.

Annex 3
Annex 34. Group Manager responsibilities
4.1 The Group Manager shall be:
a) Responsible for ensuring the group entity’s compliance with the applicable
standards and manages the group procedures and documentation, which
collectively is known as the ICS.
b) Given full authority to manage the group.
c) Responsible for defining the geographic area covered by the group scheme,
the number and identity of sites, the supply chain model, and the types of
operations covered by the scope of the group scheme.
d) Responsible for collating and paying membership fees due to the RSPO.
e) Responsible for ensuring that any conditions on which certification is
dependent, including any corrective actions raised by the CB, are fully
implemented.

Annex 3
4.2 The Group Manager shall:
a) Have a documented system that sets out its mission and objectives, policies,
Annex 3 and procedures for operational management and decision making in order to
demonstrate its ability to manage the group in a systematic and effective
manner.
b) Prepare and maintain the rules of the group.
c) Prepare and maintain a group management structure showing the
responsibilities of all individuals employed by the Group Manager for the
running of the group.
d) Demonstrate sufficient resources – i.e. human, physical, and other relevant
resources – to enable effective and impartial technical and administrative
 4.2 The Group Manager shall:
a) Have a documented system that sets out its mission and objectives, policies,
and procedures for operational management and decision making in order to
demonstrate its ability to manage the group in a systematic and effective
manner.
b) Prepare and maintain the rules of the group.
c) Prepare and maintain a group management structure showing the
Annex 3 responsibilities of all individuals employed by the Group Manager for the
running of the group.
d) Demonstrate sufficient resources – i.e. human, physical, and other relevant
resources – to enable effective and impartial technical and administrative
Annex 3 management of the group.
e) Shall not issue documents relating to their certification that is not endorsed
by the CB.
Annex 3 f) Be able to demonstrate appropriate knowledge of the requirements of oil
palm production, the RSPO Supply Chain Certification Systems and Standard,
and internal group procedures and policies.
g) Not have any conflict of interest that will likely affect their work.

Annex 3

Annex 3
4.3 The Group Manager and/or their personnel shall be able to communicate in the
local and/or English Language.
Annex 3
Annex 35. Group Scheme operation
5.1 The Group Manager applies for certification from an RSPO SCC accredited CB on
behalf of all the members and the CB conducts an audit of the ICS in accordance
Annex 3 with the requirements of the RSPO supply chain certification. The CB shall
verified the capabilities of the Group Manager in managing the group size. The
CB shall issue the certificate and certificate number shared by all group
Annex 3 members with each member having a unique identification code.

Annex 3
5.2 RSPO Supply Chain Certification is applied at group level and all members of the
group who intend to trade or further process and sell semi-finished and finished
Annex 3 products that contain RSPO certified products shall demonstrate full compliance
to the relevant RSPO Supply Chain Standard modules as applicable to their
operations.

Annex 3
5.3 For RSPO IT platform, only the group entity needs to register and have a
Member ID. All RSPO IT platform registrations and transactions shall be
performed by the Group Manager.
Annex 3
 5.4 Group members can only use Identity Preserved (IP), Segregated (SG), or Mass
Balance (MB) at site level (and not at group level).
Annex 3
Annex 36. Group management procedures
6.1 The Group Manager’s responsibilities with respect to managing the group shall
be clearly defined and documented, including procedures for new members to
join the certified group after a certificate has been awarded.
a) Providing information and/or training for potential and existing group
members.
Annex 3 b) Carrying out an initial audit of potential group members to ensure that they
comply with the certification requirements for the applicable supply chain
model(s) and group rules prior to membership.
c) Informing the CB of any changes in group membership within one month of
the change.
d) Carrying out annual internal audit of all group members to ensure continuing
compliance with the certification requirements for the applicable supply chain
Annex 3 model(s).
e) For group members to inform the Group Manager if expected use of oil palm
products will exceed 500 MT over a 12-month period from any anniversary of
joining the group.
f) The removal of group members from the scope of the certificate if the
Annex 3 requirements of group membership or any corrective action requested by the
Group Manager or by the CB is not complied with.
g) Ensuring that any use of the RSPO Trademark or claim is in accordance with
the RSPO Rules on Market Communications and Claims.
h) Keeping a central database of a summary of the movements of inputs and
outputs in gross quantities of RSPO products for each group member.

Annex 3

Annex 3
 6.2 Group Manager shall provide group members the following documents and
explanations:
a) A copy of the RSPO Supply Chain Certification Standard to which the group is
committed.
b) A copy of the RSPO Rules on Market Communications and Claims.
c) An explanation of the certification process.
d) An explanation of the Group Manager’s needs and the rights of the CB to
access the group members’ documentation and implementation of Supply Chain
Certification Standard for the purposes of evaluation and monitoring.
e) An explanation of the CB and RSPO requirements with respect to public
information.
f) An explanation of any obligations with respect to group membership, such as:
i. Maintenance of information for monitoring purposes;
ii. Use of systems for tracking and tracing RSPO products, such as RSPO IT
Annex 3 platform, if applicable;
iii. Requirement to conform to conditions or corrective actions issued by the CB;
iv. Any special requirements related to marketing or sales of products covered
by the certificate;
v. Use of the RSPO Trademark and product claims;
vi. Proper use of RSPO SCC certificate number and unique identification code;
vii. Other obligations of group membership; and
viii. Explanation of any costs associated with group membership.

Annex 3
Annex 37. Training
7.1 As part of the ICS, the Group Manager shall establish and implement training for
scheme members to cover all applicable requirements of the RSPO Chain of
Annex 3 Custody.
Annex 3
Annex 3
Annex 3
Annex 38. Record keeping
8.1 The Group Manager shall maintain centralised accurate, complete, up-to-date
and accessible records for all participating sites and shall be responsible for
Annex 3 maintaining reports covering all aspects of the supply chain group certification
requirements.
 8.1 The Group Manager shall maintain centralised accurate, complete, up-to-date
and accessible records for all participating sites and shall be responsible for
maintaining reports covering all aspects of the supply chain group certification
requirements.
Annex 3
8.2 The group management documentation shall include:
a) The documenting and monitoring of all the individual group members for
Annex 3 membership status, production processes, and other relevant aspects to ensure
compliance with the relevant RSPO Standard for Sustainable Oil Palm
Production and the supply chain group certification requirements.
b) The maximum number of members that can be supported by the current
Annex 3 management system and the human resource and technical capacities of the
Group Manager.
c) Provision of clear policies and procedures for communication between the
Annex 3 Group Manager and group members.

Annex 3
8.3 The following central records and reports shall be maintained and kept up to
date at all times for each group member:
a) List of names and addresses
b) Full contact details
c) Date of membership
d) Unique identification code assigned to follow the group certificate number
e) The date that the member signed the declaration of intent as stated in the
group membership requirements
f) Date of leaving the group, if applicable, and the reasons why
Annex 3 g) A summary of all RSPO oil palm products purchased and sold
h) The supply chain models applicable
i) The projected use of oil palm products in metric tonnes per annum
j) Gross quantity of RSPO certified products processed or manufactured
annually
k) Uses of the RSPO trademark and claims
l) Initial audit conducted prior to acceptance as a group member
m) Annual records of certified quantity purchased and claimed (RSPO Supply
Annex 3 Chain Certification Systems – Annex 1).
n) Any non-conformities raised and actions taken to meet the requirements for
compliance
o) The member’s dedicated RSPO procedure manual

Annex 3
 8.4 The Group Manager shall determine and prepare the common management
documents that are applicable to group members.
Annex 3
8.5 The Group Manager shall determine the site-specific documents that are
required for each group member.
Annex 3
8.6 Group members shall keep an up to date RSPO procedure manual detailing all
aspects of their operations in relation to the RSPO SCC Standard requirements.
Annex 3
8.7 The Group Manager shall keep all documents and records for a minimum period
of two (2) years, shall comply with the legal and regulatory requirements, and
be able to confirm the certified status of raw materials or products held in stock.

Annex 3
8.8 Group members shall keep up to date and accurate records of all inputs and
outputs of RSPO products and shall be able to reconcile the quantities at any
Annex 3 time as requested by the Group Manager. Reconciliation shall take into account
any unavoidable contamination or wastage, the production and manufacturing
processes, and any recipes used.
Annex 3
8.9 As applicable, the Group Manager shall keep a full and accessible record of the
movement of RSPO products registered through the RSPO IT platform.

Annex 3
8.1 Group members shall keep photographic and written records of any use of the
RSPO trademark and claims.
Annex 3
Annex 39. Internal audits
9.1 The Group Manager shall conduct at least annual internal audits of each
Annex 3 participating site to ensure compliance with the group scheme of Supply Chain
Certification Standard requirements.
Annex 3
9.2 Any non-conformities found during internal audit shall be issued corrective
action and actions shall be taken in a timely and appropriate manner.
Annex 3
9.3 The results of the internal audits and all actions taken to correct non-
conformities shall be available to the CB upon request.
Annex 3
Annex 310. Claims
 10.1 The Group Manager shall be responsible for ensuring that all uses of the RSPO
trademark and claims regarding the end product are in accordance with RSPO
requirements through its ICS.
Annex 3

Annex 3

Annex 3
Annex 3
Annex 5Annex 5 - RSPO Supply Chain Certification for Micro Users
Annex 51. Introduction
1 Palm oil micro users is an organisation that use a very low volume of oil palm
products, i.e. less than 1000 kg of oil palm products per annum. This is the total
volume of all oil palm products (certified and non-certified).
Annex 5
Annex 52. Options
Annex 52.1 Individual Supply Chain Certification for micro users
2.1 Initial certification audits and recertification audits shall take place on-site.
Annual surveillance audits may be replaced by remote audits by certification
bodies.

The certified company shall provide the following information prior to the audit
Annex 5 by the accredited CB:
a) A list of all purchases of conventional and certified oil palm products (should
be confirmation of total volumes less than 1000 kg) in the last year before
certification or since the last audit.
b) A list of all MB, SG, and IP sales since the last audit in Excel or as extract from
internal system.
c) A list of valid certificate and/or licence of RSPO certified supplier that has
Annex 5 been verified through RSPO website.
d) At least one invoice from RSPO certified supplier that contains supply chain
certificate number and SC model of the seller.

The auditor is to verify this information, apply for licence renewal in the RSPO IT
platform and upload the certificate and audit report.
Annex 5
When a micro user changes production procedures or uses more than 1000 kg,
it shall be audited onsite.
 certificate number and SC model of the seller.

The auditor is to verify this information, apply for licence renewal in the RSPO IT
platform and upload the certificate and audit report.

When a micro user changes production procedures or uses more than 1000 kg,
it shall be audited onsite.

Annex 5
Annex 52.2 Supply Chain Group Certification for micro users
2.2 Micro users can join a group under the conditions specified in the Annex 3 for
Supply Chain Group Certification scheme.

Initial certification audits, surveillance audits, and recertification audits shall

Annex 5 take place on-site. However, annual surveillance audits shall be carried out at
the Group Manager level without sampling of the micro user.

The Group Manager carries out an audit of potential group members to ensure
that they comply with the certification requirements of the applicable supply
chain model(s) and group rules prior to membership (part of clause 6.1).
Annex 5
An exemption will be made for the annual internal audit as defined in 9.1:
a) The Group Manager shall conduct at least annual internal audits of each
participating site to ensure compliance with the group scheme of Supply chain
certification standard requirements.
b) This shall be done through a remote audit by the Group Manager.
c) When a micro user changes production procedures, or uses more than 1000
Annex 5 kg, it shall be included in the group as a regular group member.

Annex 5
Annex 6Annex 6 - RSPO Rules for Oleochemicals and Its Derivatives
Annex 63. Scope
Annex 63.1 Raw materials in scope
3.1 The scope of this annex is limited to the major Primary Oleochemicals and
Secondary Oleoderivatives (see definition in chapter 2, illustrated in graph 1 and
listed in table 1). The principle however, may serve as a guidance for other
downstream secondary derivatives. Whether palm oil, palm kernel oil, or its
fractions are the basic oil feedstock shall be determined based on the MPOB
carbon chain length guideline (see table 2). In case of interchangeability of
Annex 6 feedstocks to produce the same derivative, the choice of feedstock in the actual
process route shall be made transparent to the certification bodies. In the case
of MB products made from mixed palm oil and palm kernel oil, the oil coverage
may be based on the major oil component of the product.
 listed in table 1). The principle however, may serve as a guidance for other
downstream secondary derivatives. Whether palm oil, palm kernel oil, or its
fractions are the basic oil feedstock shall be determined based on the MPOB
carbon chain length guideline (see table 2). In case of interchangeability of
feedstocks to produce the same derivative, the choice of feedstock in the actual
process route shall be made transparent to the certification bodies. In the case
of MB products made from mixed palm oil and palm kernel oil, the oil coverage
may be based on the major oil component of the product.

Annex 6
Annex 63.2 RSPO Supply Chain module in scope
3.2 This annex covers the RSPO Supply Chain module Identity Preserved (IP),
Segregated (SG), Mass Balance (MB), and Book and Claim schemes.
Annex 6
Annex 64. General Guideline for Calculation
4 The calculation factors focus on derivatives containing a majority of C6 - C18 C-
chains. Not in scope of this annex are:
• products with dominant >C18 C-chains. They will not be derived from palm oil
or palm kernel oil.
• crude and refined (RBD) oils,their fractions, distillates, and refining residues
(e.g. PFAD); following the yield scheme in Annex 1.

Annex 6
Annex 64.1 Segregated (SG) / Identity Preserved (IP) Scheme
4.1.1 SG/IP products are obtained through proper segregation requirements
throughout the manufacturing and handling process.

Annex 6
4.1.2 The calculation for Primary Oleochemicals in scope (see graph 1) shall use
distinct factors that are based on the actual oil requirement (yield factors); the
Annex 6 yield factors in this document (table 3) are for guidance only and manufacturers
must document supply chain activities for auditor’s scrutiny. Manufacturers
shall apply the yield-based factors for Primary Oleochemicals (see table 3).
Annex 6
4.1.3 Manufacturers of Secondary Oleoderivatives (see graph 1) shall apply the
standard conversion factors for Secondary Oleoderivatives as given in table 4 as
a guideline (non - mandatory) with possibility of using specific yields based on
specific in-house data.
Annex 6
4.1.4 In the case where a Secondary Oleoderivative product conversion factor is not
(yet) covered in the existing document or will be calculated based on specific in-
house data, the guidelines for calculation under 4.4. (see graph 9) shall apply.
Annex 6
Annex 64.2 Mass Balance (MB) Scheme
Annex 64.2.1 1:1 rule
4.2.1 For Primary Oleochemicals from palm kernel oil, its fractions, distillates, or
residue products in scope, the 1:1 rule shall apply (see graph 2) as their
molecular weight does not differ significantly from the precursor oil. For
glycerin, not having a precursor identity nor a C-chain reference, the 1:1 rule
shall apply as well.

For Secondary Oleoderivatives in scope, the 1:1 rule shall apply followed by the
product calculation factors based on the molecular weight based conversion
factors as guidelines (non - mandatory) with the possibility of using specific
yields based on specific in-house data (see table 4). In the case where a
Secondary Oleoderivative product conversion factor is not (yet) covered in the
existing document, the guidelines under 4.4. shall apply.

Primary and Secondary Oleoderivatives made from palm oil, its fractions,
distillates, or residue products (see graph 3) are limited due to carbon chain
length pre-conditions (see table 2), nevertheless the same logic shall apply.

In the case of soap base (made either from oil saponification or fatty acid
neutralisation), oil requirement should be based largely on the total fatty matter
content, which is affected by the soap noodles’ moisture content. The
conversion factor is that for soap noodles with moisture content 18% and
below, a conversion factor of 0.7 should be applied; and for soap noodles with
moisture content above 18%, a conversion factor of 0.6 should be applied.

Annex 6
Annex 64.2.2 MB claim transfer downstream/upstream
4.2.2 For Primary Oleochemicals and Secondary Oleoderivatives made from palm
kernel oil, its fractions, distillates, or residue products in scope, an MB claim
transfer can only be applied downstream (see graph 4).The same rule applies for
Primary Oleochemicals and Secondary Oleoderivatives made from palm oil (see
Annex 6 graph 5). For example, a downstream MB-claim transfer from, for instance a
fatty acid to a betaine, shall be allowed. An MB-claim transfer upstream from,
for instance fatty alcohol back to palm kernel oil or from a betaine upstream to
a fatty acid, shall not be allowed.

Annex 6
Annex 64.2.3 MB claim transfer cross referencing
 4.2.3 The transfer of an MB claim inside a specified section as marked in red (see
graph 6) is allowed. For example, from a fatty acid to a fatty alcohol or from a
sodium laureth - 2 sulfate to a betaine, shall be allowed. Glycerin is excluded
from cross-referencing as glycerin neither has a precursor identity nor a C-chain
Annex 6 reference.

The same rule applies for Primary Oleochemicals and Secondary

Oleoderivatives made from palm oil (see graph 7).

Annex 6
Annex 64.3 RSPO Credits / Book and Claim
4.3 The B&C calculation for Primary Oleochemicals and Secondary Oleoderivatives
in scope (see graph 1) shall use the standard conversion factors as given in table
4 as guidance (non - mandatory) with the possibility of using specific yields
based on specific in-house data.
Annex 6
In the case where a Secondary Oleoderivative product conversion factor is not
(yet) covered in the existing document, the guidelines for calculation under 4.4.
(see graph 9) shall apply.

Annex 6
Annex 64.4 Guiding principle to calculate Secondary Oleoderivative conversion factors
4.4 All calculated product conversion factors can be found in table 4.

In case a Secondary Oleochemical conversion factor is not (yet) covered in table

4, the guiding structure as shown in graph 9 shall apply to establish the correct
conversion factor.

Annex 6 The conversion factors may act as guidelines in the case of SG products where
the actual physical yield will be used.

The conversion factor (e.g. 1 = 100% PO/PKO content) of a product indicates

the amount of PO/PKO which is present in the final product independent from
processed amount of material.

Annex 6
Annex 7Annex 7 - Guidance for RSPO Supply Chain Certification of Food Service Company/Companies
Annex 73. Process requirements
Annex 73.1 For single food service company
 3.1.1 For a single food service company, module A/B/C of the RSPO Supply Chain
Certification Standard applies.
Annex 7
3.1.2 The audit regime for a single food service company shall be treated the same as
any RSPO Supply Chain Certification audit. The audit involves site visits for initial
certification, surveillance audits, and recertification.
Annex 7
3.1.3 In the case where the food service company uses less than 1000 kg of oil palm
products* annually, a remote audit by the CB is allowed for surveillance audits.
However, the initial certification and recertification audits shall involve onsite
audits.
Annex 7
Annex 73.2 For multi-site food service companies
3.2.1 Multi-site food service companies are those with franchises or with minimum of
Annex 7 two participating sites, including a Central Office.

Annex 7
3.2.2 For the purpose of certification, the multi-site companies shall comply with
module A/B/C of the RSPO Supply Chain Certification Standard.
Annex 7
3.2.3 The audit shall involve site visits to the Central Office and all purchasing facilities
for initial certification, surveillance audits, and recertification. In the case where
Annex 7 all the purchases are controlled through strict protocol centrally by the Central
Office, then only the Central Office shall be audited through a site visit, with the
regional purchasing office audited remotely, if deemed necessary.
Annex 7
3.2.4 The sample audit formula as mentioned in A.2.4 of the RSPO Supply Chain
Systems document, which includes onsite audits of the sampled participating
sites are not required for this multi-site food service companies. However,
during surveillance audits, the sample audit formula shall be used to carry out
remote audit sampling of participating sites’ documentation during the site visit
Annex 7 audit at the Central Office. The CB will determine which participating sites
documentation is to be reviewed during the remote audit every year. The
Central Office is then required to provide relevant information and
documentation of the sampled participating sites to the auditor.

Annex 7
3.2.5 The Central Office shall carry out annual internal audits of all participating sites /
Annex 7 franchises ensuring that all sites are covered within the period of five years. The
sample formula can be used to determine the number of participating sites /
franchises that need to be audited within a year. The internal audit shall ensure
that all participating sites / franchises of the food service companies comply to
the RSPO Supply Chain Certification Standard, the RSPO Rules on Market
Communications and Claims, as well as any other relevant requirements.
 3.2.5 The Central Office shall carry out annual internal audits of all participating sites /
franchises ensuring that all sites are covered within the period of five years. The
sample formula can be used to determine the number of participating sites /
franchises that need to be audited within a year. The internal audit shall ensure
Annex 7 that all participating sites / franchises of the food service companies comply to
the RSPO Supply Chain Certification Standard, the RSPO Rules on Market
Communications and Claims, as well as any other relevant requirements.
Annex 7
Annex 7
3.2.6 The Central Office shall ensure all responsibilities of the Central Office as defined
in Annex 2 (Multi-site Certification), i.e. training, usage of claims, record
Annex 7 keeping, and others are implemented.
Annex 7

Annex 7
Annex 7

Annex 7

Annex 7
Annex 7
Annex 7

Annex 7

Annex 7
Annex 7

Annex 7

Annex 7
Annex 7
Annex 73.3 For supply chain group certification food service companies
3.3.1 Group membership for food service companies are only for separate legal
Annex 7 entities that use up to 500 MT of oil palm products per year individually. The
Group Manager applies for RSPO Supply Chain Certification on behalf of all
group members following the module A/B/C of the RSPO Supply Chain
Annex 7 Certification Standard.
Annex 7
3.3.2 The audit shall involve site visit of the Group Manager (who has overall
Annex 7 responsibility for maintaining the ICS during initial certification, surveillance
audits, and recertification.
Annex 7
3.3.3 Sample audit formula mentioned in A.3.4 of the RSPO Supply Chain Certification
Systems document, which includes onsite audits of the sampled group
members’ sites, are not required for this group certification food service
companies. However, the sample audit formula shall be used to carry out
Annex 7 remote audit of the group members during surveillance audits. The CB will
determine which group members’ documentation to be reviewed during the
remote audit every year.

Annex 7
3.3.4 The Group Manager shall demonstrate that the management systems are in
place and to provide relevant information and documentation of the group
members to the CB, that was collected during the internal audit carried out
according to the requirement of Annex 3 of the RSPO Supply Chain Certification
Standard.
Annex 7
3.3.5 The Group Manager shall carry out annual internal audits of each participating
sites to ensure compliance with the Group Scheme chain of custody ensuring
Annex 7 that all sites are covered within the period of five (5) years. The sample formula
can be used to determine the number of participating sites / franchises that
need to be audited within a year. The internal audit shall ensure that all
participating sites comply to the RSPO Supply Chain Certification Standard, the
Annex 7 RSPO Rules on Market Communications and Claims, and any other relevant
requirements.

Annex 7
 3.3.6 Relevant information from group members that needs to be collected and
maintained by the Group Manager are all of these but not limited to; a summary
of all RSPO oil palm products purchased and sold, supply chain models
applicable, projected use of oil palm products in metric tonnes per annum, and
gross quantity of RSPO certified products processed or manufactured annually.

Annex 7
3.3.7 The Group Manager shall ensure all responsibilities of the Central Office as
defined in Annex 3 (Group Certification), i.e. training, usage of claims, record
Annex 7 keeping, and others are implemented.
Annex 7

Annex 7
Annex 7

Annex 7

Annex 7
Annex 7
Annex 7

Annex 7

Annex 7
Annex 7

Annex 7
Annex 7

Annex 7
 CHECKLIST COMMENTS BY AUDITOR(S)

chain
a. Is the company or its parent a member of RSPO?
b. Has the company registered in the RSPO IT platform?
c. To verify the company name registered in RSPO IT Platform is
consistent with their RSPO Membership.

a. Did the organisation declared the use of the processing aids in

the production?

b. If yes, verify whether it is indeed processing aids.

c. If yes, the processing aids shall be excluded from the scope of
certification.
a. For multi-site and group certification, has the compliance to
Annex 2 and Annex 3 been verified?

a. What supply chain models are sourced from their supplier(s)?

b. What are the supply chain models of the products sold?
c. If multiple supply chain models are sold, has the downgrading
been done in correct order?
a. What are the supply chain models used by the company for
their products?
b. Have the respectives modules verified?
a. Does the site have complete and up to date written procedures
and/or work instructions on implementation of all the elements
of the supply chain model requirements?

b. Does the site have records and reports demonstrating

compliance with the supply chain model requirements?
c. Are the records complete and up-to-date?
d. Has the site identify personnel having overall responsibility for
and authority over the implementation of these requirements
and compliance with all applicable requirements?

e. Are the personnel knowledgeable of the site's procedures for

the implementation of the standard?
a. Has the site established a written procedure for conducting
internal audit?
b. What is the frequency and scope of the audit?
c. When was the latest internal audit carried out?
d. Has the internal audit assessed the site conformance to the
requirements in the RSPO Supply Chain Certification Standard
and the RSPO Market Communications and Claims Documents?

e. Has the internal audit assessed the effectiveness of the

standard implementation in the site?
a. Did the competencies criteria of the internal auditors include
knowledge of the RSPO SCC Standard?
b. Are the internal auditors knowledgeable about the SCC
requirements?
c. Did the internal auditors audit their own works?
d. Were there any non-conformities raised during the internal
audit? How many?
e. Have the corrective actions for the non-conformities been
implemented timely?
a. When was the last management review?
b. Has the results of the internal audit and action taken been
reported in the management review?

a. Has the internal audit records and reports been maintained?

b. What are the audit records and reports maintained by the
organisation?

a. Does the site able to demonstrates that purchases of RSPO

certified oil palm products coming from valid Supply Chain
license?

b. What are the documents accompany purchased and goods in

for RSPO certified oil palm products?

c. Which documents indicate information relating to (a) to (i) of

this clause?

a. Is the information in purchase and goods in documents

complete to include a) to i) of clause 5.4.1?

a. How the site check validity of the Supply Chain Certification

license of their suppliers?
b. How the site check validity of the license for trader and
distributors of their suppliers?
c. Is the records for checking of license validity conducted within
monthly basis?
d. Are transactions being confirmed in RSPO IT Platform for the
relevant actors in 5.7.1?
e. Are the products being verified as RSPO certified by confirming
(shipping) announcements through RSPO IT Platform?

a. What mechanism is established to handle non-conforming

material and or documents?
a. Is this site involve in Primary Procurement (refinery/trader/
crusher)?
b. If yes, did the site maintain the list of supplying mills (certified
and non-certified)?
c. Did the infromation include mill name, GPS coordinates, parent
company, country, and the identity of the mill in the Universal
Mill List (UML ID1) (if applicable)?

d. How the site make the list publicly available?

e. When was the list updated?
a. Do the site has procedure to deal if there is any
overproduction?
b. Is there any case of overproduction?

a. Does the site engage independent third parties for its

outsources activities? If yes, list down the outsource activities and
its independent third parties.

b. Has the site taken any action to ensure that the engaged third
party complies with the requirements of the RSPO Supply Chain
Certification Standard?

a. Are there enforceable agreement or contract covering the

outsourced process signed with each contractor?
b. Does the contractual agreement included the requirement that
the CB can have access to the outsources facility operations,
systems and information?

c. Has the site established documented procedure for the

outsourced process?

d. What is the evidence that the procedure has been

communicated to their outsourced contractor?

a. Has the site established a list of all contractors for the

processing or physical handling of the RSPO certified products?

b. What is the information in the list?

a. Is there any new contractor used for the physical handling of
RSPO certified products? If yes, has CB been informed in
advance?

a. Describe the system or mechanism used by site for

documenting goods out.

b. What are the documents accompany sales and goods out for
RSPO certified products?

c. Which documents indicate information relating to (a) to (i) of

this clause ?
a. Is the information in sales and goods out documents complete
to include a) to i) of clause 5.6.1?

a. Is this site perform trades in RSPO IT Platform?

a. What is the type of business that the site registered in RSPO IT

Platform?

b. What are the type of products that the organization handles?

c. For oil palm products that are available in the yield

scheme(Annex 1), has the site register their transaction in the
RSPO IT Platform?

a. Does the site perform a) to d) in RSPO IT Platform correctly

within the stipulated time frame?

b. Did the site perform any Trace function in RSPO IT Platform

within three months after physical delivery?
c. Have the site Remove the stocks if it is sold under different
schemes or conventional? This can also include for
underproduction and damage.

a. Does the organisation have a defined training plan for RSPO

Supply Chain Standard?
b. When is the last reviewed of training plan?
c. Are there records of trainings conducted for the staff?
d. When was the last training conducted?
a. Is the training appropriate, specific and relevant to the task(s)
performed?
b. Are the training effective?

c. Is there any training for personel handling RSPO IT Platform?

a. What type of training records has been maintained?

a. How is the organisation maintained accurate, complete and

up-to-date records and reports covering all aspects of these RSPO
Supply Chain Certification Standard requirements?

b. Are records and reports accessible?

a. What is the retention period of all records related to RSPO

Supply Chain Certification Standard?

b. Are there any evidences of records and reports archived ?

a. Does the organisation keep an up-to-date record of RSPO
certified oil palm products purchased and claimed?

a. Are the information about the estimated tonnage of CPO and

PK products, supply chain certificate, and public summary audit
report has been included in the RSPO IT platform (during license
request)?

b. Is the actual tonnage produced been recorded in the audit

report was justified?

a. Does the conversion rate applied by the organisation provide a

reliable estimate for the amount of certified output?

b. How are the organisation determine and set their own

conversion rates?

a. Has the organisation carried out a periodical review of the

conversion rates?

a. What type of claims made by the organisation (General

Corporate Communication, Business to business and/or Business
to consumer)?

b. Are the claims made by the site in compliance with the RSPO
Rules on Market Communications & Claims?
c. Which public claims does the site make regarding the use or
support of RSPO certified oil palm products?
d. Does the site obtain the RSPO Trademark number?

a. Does the organisation have documented procedures for

receiving and resolving stakeholder complaints?

b. How many stakeholder complaints has the organisation

received since the last audit?

c. Are the complaints documented and resolved?

a. When was the latest management review carried out?

b. What is the frequency and does the scope of the management
review appropritae to the scale and nature of organisation?

a. Does the input to the management review include a) to f)?

b. Other than a) to f), are there any issues being discussed during
the management review?

a. Was there any output from the last management review that
requires decisions and actions?

b. Is there any minutes of meeting recorded?

a. How are the RSPO IP oil palm product kept physically isolated
from all other palm oil sources?
b. Can the site ensure that the RSPO IP oil palm product is
uniquely identifiable to a single RSPO certified mill and its
certified supply base?

a. Are the documented procedures and records able to ensure

that the RSPO certified oil palm product is kept separate from
non-certified material and material from other certified mills?

b. Does this documented procedures and records cover

transportation and storage?

a. Are the RSPO oil palm products kept physically separate from
non-RSPO certified oil palm products?

b. How does the site demonstrate the physically separation from

non RSPO oil palm products at every stage of production,
processing, refining and manufacturing?

a. Are the site establish documented procedures and records to

ensure that the RSPO certified oil palm product is kept separate
from non-certified oil palm products?

b. Does this documented procedures and records include

transportation and storage?

c. How does the site demonstrate the implementation of the

procedure and strive for 100% separation?
a. How does the site monitor and balance the quantity of RSPO
material bought and the quantity of RSPO material sold?

a. How the site monitor the quantity of physical RSPO Mass

Balance oil palm product inputs and outputs (volume or weight)?

a. How the site ensure that the output of RSPO mass balance
material supplied to customers from the physical site does not
exceed the input of RSPO certified material received at the
physical site?

b. What is the accounting systems that the site used?

c. Does the site only use one accounting system at a time?

a. Does the organisation monitor the quantity of physical RSPO

mass balance material inputs and outputs at the physical site on a
real-time basis?

b. Did the organisation ever have overdrawn materials?

a. Does this organisation monitor and balance the quantity of

RSPO Mass Balance material inputs and outputs (volume or
weight) within a fixed inventory period which does not exceed
three (3) months?
b. If the organisation overdraws data, are they able to provide
evidence that RSPO Mass Balance purchases for delivery within
the inventory period cover the RSPO output quantity supplied?

c. Does the organisation carry over and record the unused

volume in the material accounting system for the following
inventory period?

d. Did the organisation has overdrawn materials at the end of

inventory period?

a. Does the site recorded data in the material accounting system

correctly?

a. Does the organisation deliver all of palm oil fractions and

derivatives from the material accounting system according to the
conversion ratios as set out by RSPO, with the exception of the
option detailed in C.5.3?

a. Are the production losses included in the Mass Balance

system?
a. Does the site purchase (volume or weight) IP or SG palm oil
and palm kernel products and uses it to match sales of equal
(volume or weight) of palm product derivatives that carries a MB
claim?

b. Does the conversion being perform within the same product

tree?
c. For Refinery and Crusher, based on the processing activities
what is the appropriate conversion right should be given during
the license request in PalmTrace.
a. What is the actual yield used by the organisation?
b. If the actual yield is different from the yield scheme, is there
any justification for the use of organisation actual yield?

a. What is the actual yield used by the organisation?

b. If the actual yield is different from the yield scheme, is there
any justification for the use of organisation actual yield?

a. What are the geographic area, the number and identity of

sites?

b. What are the Supply Chain Model used for each participating
site?

c. What are the types of operation covered by the scope e.g.

storage, processing?

a. Does the Central Office acts as ICS office is considered a

participating site?

a. Does the Central Office that has a production site is considered

as one site?

a. Are there any contractual links between the operational units?

b. Does the site has evidence to prove the contractual links?
a. Are there any grouping of operational units into sets?
b. Can the Central Office justify the grouping of sets?
a. Does the Central Office have a centrally administered and
documented ICS for the management and implementation of the
RSPO Chain of Custody Requirements?
a. Who is the management representative appointed by the
Central Office?

b. Does the management representative aware on his/her

responsibilities?

a. Is there a procedure establish by the Central Office for raising

non-conformities against RSPO supply chain certification
requirements to their participating sites?

b. Is participating sites aware of the procedure?

a. Does the Central Office implement their authority in ensuring
compliance against RSPO SCC?
b. Does the participating sites been informed with the authority
of Central Office?

a. Does the Central Office have a defined training plan for their
participating sites?

b. When is the last reviewed of training plan?

c. What are the trainings conducted for their participating sites?
d. When was the last training conducted?

a. How does the Central Office maintain accurate, complete, and

up-to-date records for all participating sites?
b. How the Central Office can access the supply chain related
records of participating sites?
a. What type of management documents are available?
b. Are the management documents available to all operational
unit?
a. Has the ICS determines the site-specific documents that are
required at each operational unit.
a. Are all relevant documents available over the last two years to
confirm the certified status of raw materials and/or products held
in stock?

a. When was the last internal audit conducted?

b. Is there a documented procedure to ensure the RSPO SCC

Standard, RSPO Rules on Market Communications and Claims,
and any other requirements are established by the organisation?

c. What were the outcomes of the last internal audit?

a. Are the corrective actions taken appropriate and timely?

a. Are the internal audit results and corrective actions taken

accessible to the CB?

a. When was the last review of the internal audit results by the
management?

b. Is there any evidence on follow-up taken by the management

on the internal audit outcome?

a. What is the consideration taken in establishing the internal

audit programme?

b. Are the internal audit criteria, scope, frequency, and methods

clearly defined by the Central Office?

c. Did the audit program sufficient to cover all participating sites?

d. Was the internal audit team impartial?

e. Is there a Standard Operating Procedure that defines the
responsibilities and requirements for planning and conducting
audits, establishing records and reporting results?
f. Does the Central Office maintains the internal audit records?

a. What type of claims made by the organisation (General

Corporate Communication, Business to business and/or Business
to consumer)?

b. Are the claims made by the site in compliance with the RSPO
Rules on Market Communications & Claims?

c. Which public claims does the site make regarding the use or
support of RSPO certified oil palm products?

d. Does the site obtain the Trademark number?

e. If yes, what is the trademark license number?

a. What are the geographic area, the number and identity of

sites?
b. What are the Supply Chain Model used for each group
members?
c. What are the types of operation covered by the group
certification scheme?

a. Does each of the group members hold separate entities?

b. How much the use of oil palm products per year by individual
group members?

a. Where are the location of each group members?

a. Does the group members have formally agreed to join the

Group Certification Scheme?
b. What are the evidences that the group members have
demonstrate compliance with the requirements of this Group
Certification Scheme and the rules of the group?

c. Are there any micro users (use less than 1000kg of oil palm
products per annum) as a part of the group members?

a. Are there any palm oil mills with their own supply base as a
part of the group members?

b. Are there any independent palm oil mills producing more than
5000 MT palm oil products per year as a part of the group
members?

a. Are there any evidence that the Group members sign a

declaration of intent that includes requirements laid out in a) to
e) ?

a. How each member demonstrated that they were able to

implement the chosen supply chain model(s) correctly and
continue to do so after acceptance as a member?

a. Do all purchasing and sales documents of members include the

certificate number, subcode, and supply chain model?
a. Are the group members aware that if they exceed 500 MT per
year, they need to inform the Group Manager and apply for
individual certification?

a. What is the RSPO Membership category for the group entity?

a. Did the group entity has been legally registered under the law
of the country of origin?
b. What is the RSPO Membership number? Eg: 9-3600-14-000-00

c. Is the membership available on RSPO Website?

a. Did the contract between group entity and accredited CB
available and cover all the scope of their group certification?
b. Who is the group manager appointed by group entity?

a. How are the legal and/or contractual relationships being

managed?

b. How are they maintained?

a. Does the group have a centrally administered ICS?

b. How does the ICS manage and implement the RSPO SCCS
requirement for the group?

c. How does the ICS manage the group documentation?

a. Who is the appointed management representative for the

group members and the Supply Chain Group certification?
a. How the Group manager ensures that all Group members
comply with the RSPO SCCS requirements.

a. Is there a procedure for raising coorective actions when it is

found that a group member is not in compliance with the RSPO
Supply Chain Certification Standard?

b. Are there any records of corrective actions taken by group

members?
a. Does the Group Manager has the authority to remove
participating group members from the scope of the group supply
chain certification?

b. Does the Group Manager have documentation proving their

authority over the participating members in the form of written
concept by participating members?

a. What are the evidences that the Group Manager fulfills his/her
responsibilities laid out in a) to e) ?

a. How does the Group Manager demonstrates compliance

against requirement a) to g) ?
b. Is there evidence of the Group management structure,
showing responsibilities of all individuals participating in running
the group?

c. Is the resources sufficient to manage the group based on its

size and scope?

d. Is there any related training provided to Group Members to

improve their knowledge?

f. Is the Group Manager knowledgeable on key areas of standard

requirements, oil palm production, and group procedures and
policies?

g. Is there any conflict of interest in performing Group Manager's

task?

a. Can the Group Manager speak, read, and write in local and/or
English?

a. Has the Group manager been in contact with the CB to

determine the group size?
b. Is there any justification that the Group Manager is able to
manage the identified group size?
c. Did each of the Group Member receives the certificate issued
by CB?
a. Based on the sample of group members, how do they
demonstrate compliance against the RSPO SCC?

b. If the last internal audit showed non-compliances, can the

group manager show proper evidence that corrective actions
were taken?

a. Did the group entity has registered in RSPO IT Platform and

what is their Member ID (e.g PalmTrace ID:
RSPO_PO10000____?)
a. What is the evidence that the Group Member can only use the
applicable supply chain model at a site level not at group level?

a. Describe the procedures used for onboarding new members

after a certificate has been awarded.

b. How often is the training for new and existing members on the
RSPO standard? What does it include?

c. When was the last internal audit and what is the outcome?

e. What is the Group Members database maintain by the Group

Manager that includes the members profile and status, summary
of movement for the use of oil palm products, RSPO Trademark,
and request of corrective action?

f. Is this database reliable and up-to-date?

a. Are there any evidence that the Group Members receive the
documents in a) to f) ?

b. Did the group members understand the content of documents

provided to them?

a. Does the Group Manager have a defined training plan for their
Group Members?

b. When is the last reviewed of training plan?

c. What are the trainings conducted for their Group Members?
d. When was the last training conducted?

a. Does the Group Manager maintain accurate, complete, and up-

to-date for all participating sites?
b. How the Group Manager can access the supply chain related
records of all participating sites?
a. What are the monitoring system establish by the Group
Manager?

b. What type of management documents are available? State a

sample.

c. What is the maximum number of members which can be

supported by the current systems?

d. How does the group manager communicate with members?

a. Has the group manager demonstrated records and reports

which show all the points required in a) to o) ?

b. Are the records up to date?

c. Are the information recorded correctly?

a. What type of management documents that are available to
group members?
a. Has the Group Manager determined which site specific
documents are required at each operational unit?
a. Is there evidence of an up-to-date RSPO procedure manual in
position at member level?
a. Are all relevant documents available over the last two years to
confirm the certified status of raw materials and / or products in
stock?

a. Describe the record management system of all inputs and

outputs of RSPO products at the member level.

b. Does the reconciliation take into account contamination or

wastage?

a. Did the group members are one of the actors (mills, traders,
crushers, and refineries) which require to record transaction in
RSPO IT platform?

a. Are there any photographic and written records of the use of

RSPO trademark and claims?

a. When was the last internal audit conducted?

b. Is there an internal audit program and is it sufficient to cover
all group members?
a. Are the corrective actions taken appropriate and timely?

a. Are the internal audit results and corrective actions taken

accessible to the CB?
a. What type of claims made by the group member (General
Corporate Communication, Business to business and/or Business
to consumer)?

b. How the Group Manager ensure that the use of RSPO

trademark and claim made by the group member compliance
against RSPO Rules on Market Communication and Claims?

c. Which public claims does the site make regarding the use or
support of RSPO certified oil palm products?
d. What is the trademark license number?

a. How much the total volume of all oil palm products (certified
and non-certified) used per annum?

a. What type of audit conducted?

b. Did the audit conducted on-site or by remote audits?

c. Is the information a) to d) available and verified?

d. What is the procedure when a micro user changes production
procedures or uses more than 1000 kg?

a. Is the micro users join any Supply Chain Group Certification

scheme?

b. Did the audit conducted on-site or by remote audits?

c. Did Group Manager conduct audit to the group members to

ensure the group members comply with certification
requirements?

d. Any evidence to show exemption from a) to c) implements?

a. Does the site use raw materials from Primary Oleochemicals

and Secondary Oleoderivatives?
b. What is the raw materials use by the organisation?

a. What are the supply chain model for the site?

a. Is there any evidence that the certified derivatives come from

majority of C6 - C18 C-chains?

a. How the site ensure that the RSPO certified oil palm product is
kept separate from non-certified oil palm products throughtout
the manufacturing and handling process?

a. What are the yield factors use by the site for calculation of
Primary Oleochemicals?

b. What are the relevant documents related to the supply chain

activity verified by the auditors?

a. What are the standard conversion factors use by the site for
calculation of Secondary Oleoderivatives?

b. Did the site establish any specific in-house data to calculate the
Secondary Oleoderivative?
a. Does the site comply to the 1:1 rule? Is there any
documentation/records to support the compliance?

a. Does the site comply to the MB transfer for

downstream/upstream?

b. Is there any documentation/records to support the

compliance?
 a. Does the site comply to the MB transfer cross referencing?

b. Is there any documentation/records to support the

compliance?

a. Did the site purchase RSPO Credits?

b. What is the conversion factors used to calculate the claim?

rs
a. Is the product conversion factors available in table 4?

b. If no, does the site use graph 9 to determine conversion

factors?

pany/Companies
a. What are the supply chain models of the products sold?

a. Did the audit conducted on-site or by remote audits?

a. How much the total volume of all oil palm products (certified
and non-certified) used annually?

a. Does the food service companies have any franchises?

b. How many is the participating sites and where are the
locations?
a. What are the supply chain models of the products sold for each
participating sites?

a. Is there any procedure to handle the purchase of certified oil

palm products?

b. How the purchase of certified oil palm products managed by

the participating sites?

a. Is there any information and documentation about

participating sites maintained by Central Office?

b. Does the information being used as a basis to calculate the

audit sampling?

a. When was the last internal audit conducted?

b. How the Central Office ensure that all participating
sites/franchises will be audited within the period of five years?
c. Is there a documented procedure to ensure the RSPO SCC
Standard, RSPO Rules on Market Communications and Claims,
and any other requirements are established by the organisation?

d. What were the outcomes of the last internal audit?

a. Does the Central Office have a defined training plan for their
participating sites/franchises?
b. When is the last reviewed of training plan?
c. What are the trainings conducted for their participating
sites/franchises?
d. When was the last training conducted?
e. Are the claims made by the participating site/franchises in
compliance with the RSPO Rules on Market Communications &
Claims?

f. Which public claims does the site make regarding the use or
support of RSPO certified oil palm products?
g. Does the site obtain the Trademark number?
h. If yes, what is the trademark license number?
i. Does the Central Office maintain accurate, complete, and up-to-
date records for all participating sites/franchises?
j. How the Central Office can access the supply chain related
records of participating sites/franchises?
k. What type of management documents are available?
l. Are the management documents available to all operational
unit?
m. Has the Central Office determines the site-specific documents
that are required at each operational unit?
n. Are all relevant documents available over the last two years to
confirm the certified status of raw materials and/or products held
in stock?

a. Does each of the group members hold separate entities?

b. How much the use of oil palm products per year by individual
group members?

c. What are the supply chain models of the products sold?

a. Is the Group Manager available during the audit?
a. What are the evidences that the Group Manager has overall
responsibilities for maintaining the ICS?
a. Is there any information and documentation about
participating sites/franchises maintained by Central Office?

b. Does the information being used as a basis to calculate the

audit sampling?

a. What are the information and documentation maintained by

the Group Manager to demonstrate that the management
systems are in place?

a. When was the last internal audit conducted?

b. How the Group Manager ensure that all participating

sites/franchises will be audited within the period of five years?

c. What were the outcomes of the last internal audit?

a. How does the Group Manager demonstrates that information
about participating sites/franchises are maintained and up to
date? Example of the information:
i) summary of all RSPO oil palm products purchased and sold,
ii) supply chain models applicable,
iii) projected use of oil palm products in metric tonnes per
annum,
iv) gross quantity of RSPO certified products processed or
manufactured annually

a. Does the Central Office have a defined training plan for their
participating sites/franchises?
b. When is the last reviewed of training plan?
c. What are the trainings conducted for their participating
sites/franchises?
d. When was the last training conducted?
e. Are the claims made by the participating site/franchises in
compliance with the RSPO Rules on Market Communications &
Claims?

f. Which public claims does the site make regarding the use or
support of RSPO certified oil palm products?
g. Does the site obtain the Trademark number?
h. If yes, what is the trademark license number?
i. Does the Central Office maintain accurate, complete, and up-to-
date records for all participating sites/franchises?
j. How the Central Office can access the supply chain related
records of participating sites/franchises?
k. What type of management documents are available?
l. Are the management documents available to all operational
unit?
m. Has the Central Office determines the site-specific documents
that are required at each operational unit?
n. Are all relevant documents available over the last two years to
confirm the certified status of raw materials and/or products held
in stock?
CHECKLIST FOR AUDIT AGAINST RSPO RULES ON MARKET COMMUNICATIONS AND CLAIMS (JANUARY 2019)
CLAUSE

REQUIREMENTS

*ALL ORGeneral Corporate Communications

*ALL 4.1 A corporate communication is one made by any RSPO member that highlights
ORGAN its membership of the RSPO and/or its commitment to the principles of the
ISATIO RSPO. Corporate communication is an ‘off-product’ claim.
NS
4.2 In corporate communications a member is allowed to:
a. display its RSPO membership status
b. display the RSPO web address (www.rspo.org)
c. state that the member supports the work of the RSPO
d. state the member’s history with regard to the RSPO
e. use the RSPO Trademark to promote its membership of the RSPO.

Additionally, where an RSPO member displays the RSPO trademark in digital

format this must be accompanied by the text ‘Check our progress at
*ALL www.rspo.org’ where the link must lead to the member’s profile page.
ORGAN
ISATIO
NS
*ALL 4.3 In corporate communications, RSPO members must not make any statement
ORGAN that may lead consumers to believe that RSPO membership by itself implies the
ISATIO selling of RSPO certified oil palm products.
NS
*ALL 4.4 Members must ensure that all communication is consistent, clear and cannot
ORGAN mislead consumers or other stakeholders as to the certified content of oil palm
ISATIO products in the member’s own products.
*ALL
NS
ORGAN
*ALL 4.5 Members are not allowed to use the RSPO corporate logo as shown below. This
ISATIO
ORGAN is for the sole use of the RSPO Secretariat.
NS
ISATIO
NS Business to Business Communications
*ALL 5.1 Business to business communication relates to RSPO members in the supply
ORGAN chain selling to and/or communicating with other organisations in the supply
ISATIO chain about the use of certified sustainable oil palm products.
NS
*ALL 5.2 When confirming the sale of certified oil palm products, members must adhere
ORGAN to the requirements of the RSPO SCCS. This includes stating the supply chain
ISATIO model and certificate number under which the claim is being made.
NS
5.3 Where a distributor or wholesaler takes title to products containing certified
sustainable oil palm products, the requirements of the RSPO SCCS can follow
either of two options:

A. If the distributor or wholesaler holds only a Distributor license, it may only

communicate RSPO-certified oil palm products by linking the product to the
manufacturer using the manufacturer’s SCCS certificate number. This covers
both brand and own brand products. However, in the case of own brand
products it is essential that customers are aware that the product has been
made on behalf of the distributor or wholesaler, with specific evidence either
through on-pack claims or documentation.

B. If the distributor or wholesaler is supply chain-certified they should follow

the requirements outlined in section 5.2.
*ALL
ORGAN
ISATIO
NS
5.4 A certified member can provide information to its customers detailing the
presence of certified palm oil contained within a product even if it is not eligible
for a product-specific under RSPO rules.

The end product must not be labelled as certified or sold in such a way that
implies RSPO certification.

For example, a retailer or food service company may require a breakdown of all
palm-based ingredients within an end product and the certified status of each.
This information may be provided by a certified RSPO member without
*ALL constituting a product specific claim.
ORGAN
*ALL
ISATIO
ORGAN
NS
ISATIO
NS Business to Consumer Communications
 6.1 Only RSPO members that have supply chain certification are allowed to make
business to consumer claims about the certified sustainable oil palm products
contained within product(s), which are known as ‘product-specific’ claims or on
pack claims.

*ALL Product-specific claims are voluntary, examples of claims which are deemed as
ORGAN product-specific market claims can be found on RSPO guidance documents.
ISATIO
NS
*ALL 6.2 Only RSPO members who have supply chain certification are authorised to use
ORGAN the RSPO Trademark and/or RSPO label, with the exception of RSPO Credits and
*ALL
ISATIO of retailers in accordance with 6.8 below.
ORGAN
NS
*ALL
ISATIO 6.3 When on-pack claims on RSPO-certified sustainable oil palm products are used,
ORGAN
NS the RSPO Trademark and associated identification number must be present.
ISATIO
NS
*ALL 6.4 Business to consumer communication shall not include information about the
ORGAN claimant’s RSPO membership status.
ISATIO
NS
*ALL
ORGAN 6.5 Members shall not communicate to consumers information about their
ISATIO suppliers’ RSPO membership status.
NS
*ALL 6.6 Use of the RSPO Trademark is restricted to claims about RSPO-certified
ORGAN sustainable palm oil products and it is not authorised for use in relation to any
ISATIO other ingredient.
NS
*ALL
ORGAN 6.7 Use of any other trademark or logo to highlight the presence of RSPO-certified
ISATIO sustainable oil palm products is an unauthorised product-specific claim.
NS
 6.8 RSPO members who are retailers or food service companies can apply for an
RSPO Trademark license for use in business to consumer communications,
provided they can demonstrate the validity of these claims to an RSPO-
accredited certification body (CB). This will be undertaken via a remote audit,
prior to the trademark use, during which the retailer or food service company
will need to demonstrate that the use of the trademark is in compliance with
the rules contained within this document and that the claim itself can be
supported through a certified supply chain. Any other palm oil claims, including
those highlighting the absence of palm oil, must be highlighted to the CB during
the audit to ensure that all claims comply with the requirements of these rules.
The CB will confirm the outcome of these audits, to be conducted annually, to
RSPO who may continue to grant a trademark license or withdraw permission
based upon the audit findings. This is in keeping with the rules applying to RSPO
supply chain certified members. The guidance document for audits is available
on www.rspo.org.
*ALL
ORGAN
ISATIO
NS
ALL - IP MODULE A – IDENTITY PRESERVED SPECIFIC RULES
ALL - IP Certified oil palm content (IP)
• Where there is any percentage of non-certified oil palm within the product,
the reason for this must be fully justified and an action plan for moving to fully
ALL - IP certified oil palm must be in place, in accordance with the requirements of the
RSPO SCCS. In addition, the volume of non-certified oil palm products must be
ALL - IP covered by the purchase of RSPO Credits of equivalent volume.

ALL - IP
ALL - IP Messaging (IP)
 Messaging ALLOWED in storytelling in product-related communications may
include some or all of the following elements:

• The oil palm products contained in this product have been certified to come
from RSPO sources. www.rspo.org
• By choosing this product, you are sure it contains RSPO-certified palm oil. For
more information: www.rspo.org
• RSPO-certified sustainable oil palm products were kept apart from other oil
palm products throughout the supply chain. www.rspo.org
• Certified sustainable oil palm products can be traced back to RSPO-certified
mills and plantations. www.rspo.org
• The entire supply chain is monitored by independent, RSPO-accredited
auditors. www.rspo.org
• RSPO-certified sustainable palm oil has been produced to stringent
environmental and social criteria. www.rspo.org
• References to (or images of) particular RSPO-certified production units, if the
relationship to those units can be shown by company records.

ALL - IP
ALL - IP Labelling and Trademark for On Pack Claims (IP)
Members are allowed to use the RSPO label in one of the following ways:

• RSPO Trademark which includes the tag ‘CERTIFIED’ or

• RSPO Trademark which includes the tag ‘This product contains certified
ALL - IP sustainable palm oil’.

Wherever the RSPO Trademark is displayed, the applicable trademark license

number must be shown immediately under or next to the trademark or the
‘statement’. Font must be Calibri, font size must be at least 4pt (1.4 mm or 0.06
inch).
ALL - IP
In on-pack communications, the RSPO Trademark can be printed anywhere on
the pack.

Further guidance on use of the trademark is provided in the RSPO Trademark

ALL - IP License Terms and Conditions and in Annex 1 of this document.
 In on-pack communications, the RSPO Trademark can be printed anywhere on
the pack.

Further guidance on use of the trademark is provided in the RSPO Trademark

License Terms and Conditions and in Annex 1 of this document.

ALL
ALL -- IP
SG MODULE A – SEGREGATED SPECIFIC RULES
ALL -
SG Certified oil palm content (SG)
• Where there is any percentage of non-certified oil palm within the product,
ALL - the reason for this must be fully justified and an action plan for moving to fully
SG certified oil palm must be in place, in accordance with the requirements of the
ALL - RSPO SCCS. In addition, the volume of non-certified oil palm products must be
SG covered by the purchase of RSPO Credits of equivalent volume.

ALL -
SG
ALL -
SG Messaging (SG)
Messaging ALLOWED in storytelling in product-related communications may
include some or all of the following elements:

• The oil palm products contained in this product have been certified to come
from RSPO sources. www.rspo.org
• By choosing this product, you are sure it contains RSPO-certified palm oil. For
more information: www.rspo.org
• RSPO-certified sustainable oil palm products were kept apart from other oil
palm products throughout the supply chain. www.rspo.org
• Certified sustainable oil palm products can be traced back to RSPO-certified
mills and plantations. www.rspo.org
• The entire supply chain is monitored by independent, RSPO-accredited
auditors. www.rspo.org
• RSPO-certified sustainable palm oil has been produced to stringent
environmental and social criteria. www.rspo.org
• References to (or images of) particular RSPO-certified production units, if the
relationship to those units can be shown by company records.

ALL -
SG
ALL -
SG Labelling and Trademark for On Pack Claims (SG)
 Members are allowed to use the RSPO label in one of the following ways:

• RSPO Trademark which includes the tag ‘CERTIFIED’ or

ALL - • RSPO Trademark which includes the tag ‘This product contains certified
SG sustainable palm oil’.

Wherever a RSPO Trademark is displayed, the applicable trademark license

number must be shown immediately under or next to the trademark or the
‘statement’. Font must be Calibri, font size must be at least 4 pt (1.4 mm or 0.06
inch).
ALL -
SG In on-pack communications, the RSPO Trademark can be printed anywhere on
the pack.

Further guidance on use of the trademark is provided in the RSPO Trademark

ALL - License Terms and Conditions and in Annex 1 of this document.
SG

ALL -
SG
ALL -
MB MODULE B – MASS BALANCE SPECIFIC RULES
ALL -
MB Minimum Mass Balance Content
• Where there is any percentage of non-certified oil palm within the product,
ALL - the reason for this must be fully justified and an action plan for moving to fully
MB certified oil palm must be in place, in accordance with the requirements of the
ALL - RSPO SCCS. In addition, the non-certified volume must be covered by equivalent
MB volume of RSPO Credits.
ALL -
MB
ALL -
MB Messaging (MB)
 Messaging ALLOWED in storytelling in product-related communications
includes:

• [Oil palm products]/[palm oil]/[palm kernel oil] from RSPO-certified mills and
plantations were mixed with non-certified oil palm products in the supply chain.
• The volume of [oil palm products][palm oil]/[palm kernel oil] in this product
reflects an equivalent volume of palm oil or palm kernel oil produced by RSPO
certified mills and plantations.

In off-product communications, reference to (or images of) particular-RSPO

certified production units, if the relationship to those units can be shown in
company records is allowed.

ALL -
MB
Messaging NOT ALLOWED in storytelling in product-related communications:

• Anything that can lead consumers to believe that RSPO-certified palm

ALL - products are (certified to be) part of the product.
MB
ALL -
MB Labelling and Trademark for On Pack Claims (MB)
 Members are allowed to use the RSPO label in one of the following ways:

• Surrounded by the text: ‘Certified Sustainable Palm Oil’.

• The RSPO label MUST contain the tag ‘MIXED’. The tag MIXED designates oil
palm products sourced under the Mass Balance (MB) supply chain system,
which administratively balances inputs and outputs of certain palm oil volumes.
The tag ‘MIXED’ on a product does not guarantee that the product itself
contains the certified material; some or all of it may reside in a product that
does not carry a claim.
• The RSPO label can also include the statement: ‘[The palm oil contained in
this product] contributes to the production of certified sustainable palm oil’.

Wherever the RSPO Trademark is displayed, the applicable trademark license

number must be shown immediately under or next to the trademark or the
‘statement’. Font must be Calibri, font size must be at least 4 pt (1.4 mm or 0.06
inch).

In on-pack communications, the RSPO Trademark can be printed anywhere on

the pack.

Further guidance on use of the trademark is provided in the RSPO Trademark

License Terms and Conditions and in Annex 1 of this document.

*ALL
ALL -
ORGAN
MB
ISATIO
NS MODULE C – PARTIAL ON PACK PRODUCT CLAIMS
 To increase awareness among consumers of the availability of sustainable oil
palm products and to help accelerate the uptake, it is permissible to make a
claim on product when the percentage of the oil palm content is less than 95%
certified, but only when the following conditions have been met:

• The member making the claim is the end product manufacturer, is an RSPO
member and is certified against the RSPO SCCS or is an RSPO retailer member
authorised to use the trademark by the RSPO.
• At least 50% of the oil palm content has been supplied through an RSPO
certified supply chain as IP, SG or MB.
• The remainder of the oil palm content that is not RSPO certified is covered by
the purchase of RSPO Credits to an equivalent volume.

The product-specific claim is limited to only the following phrase: ‘This product
contributes to the production of certified sustainable palm oil’.

The use of the RSPO label with this claim is mandatory and must include the tag
‘50% MIXED’. No other percentage is allowable within this claim.

*ALL
ORGAN
*ALL
ISATIO
ORGAN
NS
ISATIO
NS MODULE D – COMBINED SUPPLY CHAIN MODELS SPECIFIC RULES
Where a mixture of inputs supplied through different RSPO supply chain models
are present in a product, the following applies:

75% IP + 20% SG => 95% SG claim is made

65% SG + 30% MB => 95% MB claim is made
*ALL 55% MB + 40% B&C => 95% partial product claim can be made
ORGAN 45% SG + 55% B&C < 50% B&C claim can be made
ISATIO
NS
Where one supply chain model accounts for 95% of the oil palm content, the
claim for this specific model may be made:

95% IP + 5% MB => 95% IP IP claim can be made

*ALL 95% SG + 5% MB => 95% SG SG claim can be made
ORGAN 95% MB + 5% C => 95% MB MB claim can be made
ISATIO
NS
UNICATIONS AND CLAIMS (JANUARY 2019)

CHECKLIST COMMENTS BY AUDITOR(S)

a. Does the corporate communications referencing RSPO

followed requirement a) to e)?

a. Is there any communication that insinuates that RSPO

membership implies the selling of RSPO-certified products?

a. Does the communication consistent, clear, and not misleading?

a. Is there any use of RSPO corporate logo?

a. Does the confirming the sale of certified oil palm products
adhere to the requirements of the RSPO SCCS?

a. Does the distributor or wholesale fulfil the option A or option

B?

a. Are there any product-specific claims for non-eligible products

under RSPO rules?
a. Are business to consumer claims made?

a. If RSPO logos and trademarks are used, are they in accordance

with Annex 1 of RSPO Rules on Market Communications and
Claims?

a. Are on-pack claims on RSPO-certified products made?

b. Is the RSPO trademark and identification number present?
a. If there is business to consumer communication, is any
information about the claimant's RSPO membership status
included?

a. Is there evidence of communication to consumers detailing

information about their supplier's RSPO membership status?

a. Are the claims referring to RSPO-certified sustainable palm oil

products?

a. Does trademark or logo presence comply with Annex 1 of the

RSPO Rules on Market Communications and Claims?
a. Is there any percentage of non-certified oil palm within the
product?

b. Is a reason given to justify this?

c. Is an action plan available for review to move towards fully
certified oil palm?
a. Does the storytelling comply with what is allowed by RSPO
Rules on Market Communications and Claims?

a. Does the RSPO trademark include the tag 'CERTIFIED' or 'This

product contains certified sustainable palm oil.'?

b. Wherever a RSPO trademark or 'statement' is displayed, is the

applicable trademark license number shown immediately under
or next to it?

c. In RSPO trademark displays or 'statements' is the font Calibri

and at least 4pt (1.4mm or 0.06 inch)?
d. Does the trademark or logo usage comply with Annex 1 of the
RSPO Rules on Market Communications and Claims?

a. Is there any percentage of non-certified oil palm within the

product?

b. Is a reason given to justify this?

c. Is an action plan available for review to move towards fully

certified oil palm?

a. Does the storytelling comply with what is allowed by RSPO

Rules on Market Communications and Claims?
a. Does the RSPO trademark include the tag 'CERTIFIED' or 'This
product contains certified sustainable palm oil.'?

b. Wherever a RSPO trademark or 'statement' is displayed, is the

applicable trademark license number shown immediately under
or next to it?

c. In RSPO trademark displays or 'statements' is the font Calibri

and at least 4pt (1.4mm or 0.06 inch)?

d. Does the trademark or logo usage comply with Annex 1 of the

RSPO Rules on Market Communications and Claims?

a. Is there any percentage of non-certified oil palm within the

product?
b. Is a reason given to justify this?
c. Is an action plan available for review to move towards fully
certified oil palm?
a. Does the organisation have any storytelling messaging in
accordance RSPO Rules on Market Communications and Claims?

a. Does the organisation communicate anything to customers

that would lead them to believe that RSPO-certified palm
products are (certified to be) part of the product?
a. Does the organisation use the RSPO logo and trademark in
accordance with RSPO Rules on Market Communications and
Claims (including Annex 1)?
a. If the oil palm content is less than 95%, are the allowed
conditions met in all claims made?

a. Which mixture of inputs is applicable to the organisation?

a. Which claim is applicable to the organisation?