Audit & Accreditation Overview
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Questions and Answers

What is the role of an Audit Team Leader?

  • To lead an audit team during the assessment (correct)
  • To conduct internal company audits
  • To issue certificates to clients
  • To oversee the certification body’s operations

What does the term 'accreditation' refer to?

  • The process of evaluating company performance
  • A document proving compliance with industry standards
  • An assessment of a client’s financial stability
  • The formal demonstration of competence by a certification body (correct)

Which organization is responsible for the accreditation of certification bodies?

  • Accreditation Body (correct)
  • Audit Team Leader
  • Corrective Action Committee
  • Client

What is assessed during the process of assessment?

<p>Client conformity with the requirements of a standard (D)</p> Signup and view all the answers

What does a certificate indicate within a certification system?

<p>That a product, process, or service conforms to specific standards (C)</p> Signup and view all the answers

What constitutes a conflict of interest in the certification process?

<p>An actual or perceived incentive for personal or organizational gain (C)</p> Signup and view all the answers

Which of the following describes a corrective action?

<p>An action taken to eliminate the cause of non-compliance (B)</p> Signup and view all the answers

Who can be considered a group member in a group certification scheme?

<p>Individual oil palm smallholders or farmers (B)</p> Signup and view all the answers

What is the primary objective of the Roundtable on Sustainable Palm Oil (RSPO)?

<p>To promote the use of sustainable palm oil through cooperation within the supply chain (A)</p> Signup and view all the answers

Which of the following groups does NOT typically participate in RSPO activities?

<p>Government regulatory agencies (B)</p> Signup and view all the answers

What is the purpose of surveillance audits in the RSPO certification process?

<p>To maintain the validity of RSPO certification through regular assessments (C)</p> Signup and view all the answers

What does the term 'termination of certificate/accreditation' refer to in RSPO processes?

<p>The process of cancelling certification or accreditation by the CB (B)</p> Signup and view all the answers

Who are considered stakeholders in the context of RSPO?

<p>Individuals and groups with legitimate interests affected by the organization's activities (C)</p> Signup and view all the answers

Which of the following describes 'technical support' as provided by RSPO?

<p>Services that help demonstrate conformity with P&amp;C requirements (D)</p> Signup and view all the answers

What is meant by the term 'withdrawal of certificate/accreditation'?

<p>The official cancellation of certification by the unit of certification (D)</p> Signup and view all the answers

Which of the following is NOT a characteristic of smallholders in the RSPO context?

<p>Freedom to choose crop types for cultivation (D)</p> Signup and view all the answers

What is the primary purpose of the RSPO Principles and Criteria for the Production of Sustainable Palm Oil?

<p>To assist palm oil growers and millers in implementing sustainable production practices. (A)</p> Signup and view all the answers

What must be evaluated prior to the development of new oil palm plantings according to the RSPO New Planting Procedure?

<p>A subset of RSPO Principles and Criteria. (B)</p> Signup and view all the answers

Who does the RSPO Independent Smallholder Standard aim to include?

<p>Independent Smallholders facing diverse challenges. (D)</p> Signup and view all the answers

What is the purpose of the RSPO Supply Chain Certification Standard?

<p>To create auditable requirements for organizations in the palm oil supply chain. (C)</p> Signup and view all the answers

What happens if an RSPO National Interpretation has not been endorsed?

<p>The latest version of RSPO Principles and Criteria must be used for the audit. (D)</p> Signup and view all the answers

What is required for supply chain certified units to make claims about RSPO certified palm oil products?

<p>Adherence to the RSPO SCC Standard requirements. (C)</p> Signup and view all the answers

What is a key feature of the RSPO Principles and Criteria for the Production of Sustainable Palm Oil?

<p>It includes a series of principles, criteria, indicators, and guidance. (D)</p> Signup and view all the answers

What must supply chain certified units adhere to when making claims about palm oil products?

<p>RSPO Rules on Market Communications and Claims. (A)</p> Signup and view all the answers

What is the maximum duration before a review of the RSPO certification document takes place?

<p>Five years (C)</p> Signup and view all the answers

Which of the following is NOT a key element of the RSPO certification scheme?

<p>Marketing strategies (C)</p> Signup and view all the answers

What is the purpose of the RSPO Management System Requirements?

<p>To guide group certification of FFB production (D)</p> Signup and view all the answers

What must be demonstrated for an organization to meet the accreditation requirements?

<p>Competence and credible results (C)</p> Signup and view all the answers

Which document governs the accreditation of Certification Bodies (CBs)?

<p>RSPO SCC Certification Systems document (D)</p> Signup and view all the answers

What is the primary function of the certification process in the RSPO scheme?

<p>To establish whether standards have been met (D)</p> Signup and view all the answers

Who is responsible for carrying out the accreditation of Certification Bodies?

<p>Accreditation Bodies (ABs) (A)</p> Signup and view all the answers

What should the RSPO Secretariat consider when deciding to review any aspect of the systems documentation?

<p>International best practices (C)</p> Signup and view all the answers

What happens if major non-compliances are not addressed within six months after an audit?

<p>The certificate is suspended and may be withdrawn. (B)</p> Signup and view all the answers

How long does a group have to close major non-compliances after an annual surveillance audit?

<p>90 days (A)</p> Signup and view all the answers

What occurs if a major non-compliance is recurring in successive audits?

<p>The certificate is immediately suspended. (C)</p> Signup and view all the answers

What is the maximum time extension allowed for major non-compliance resolution?

<p>3 months (A)</p> Signup and view all the answers

When can certification submissions to the RSPO IT platform NOT be based on audits?

<p>Performed more than 12 months before submission. (A)</p> Signup and view all the answers

What happens if major non-compliances are not successfully closed within 90 days?

<p>The certificate shall be suspended. (D)</p> Signup and view all the answers

When can a certification be suspended due to recurring major non-compliances?

<p>If the same indicator shows a major non-compliance in successive audits. (D)</p> Signup and view all the answers

What is the maximum timeframe for addressing major non-compliances before a certificate is withdrawn?

<p>Six months from the audit. (C)</p> Signup and view all the answers

Which of the following statements is true regarding minor non-compliances?

<p>Recurring minor non-compliances can escalate to major non-compliances. (B)</p> Signup and view all the answers

What is the role of the CB after an audit is completed?

<p>To submit the report for a peer review before finalizing. (D)</p> Signup and view all the answers

What occurs if there are five or more major non-compliances within a Principle during an audit?

<p>Immediate suspension from RSPO certification will occur. (B)</p> Signup and view all the answers

How long does the CB have to carry out the suspension from RSPO certification after the closing meeting?

<p>Within five working days. (C)</p> Signup and view all the answers

What must be accounted for the timeline of non-compliances?

<p>From the date of the closing meeting. (D)</p> Signup and view all the answers

Flashcards

Audit Team Leader

A qualified Lead Auditor appointed by the certification body to lead an audit team.

Accreditation

Third-party confirmation of an organization's competence to carry out RSPO certification assessments.

Accreditation Body

The organization that validates certification bodies (CBs).

Assessment

The process of evaluating conformity to standards, including audit and review.

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Audit Plan

A document outlining the activities and arrangements for an audit.

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Certification Body

A third-party organization that conducts RSPO certification and issues certificates.

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Conflict of Interest

A situation where a party's personal or organizational gain could affect the fairness of a certification process.

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Corrective Action

Steps to fix a problem found during an audit to prevent it from happening again.

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Scheme

Farmers, landowners, or their delegates without enforceable decision-making power or freedom to choose practices on the land.

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Smallholders

Farmers in the scheme lacking enforceable decision-making power and choice to utilize their land.

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Surveillance Audits

Routine conformity assessments to ensure RSPO certification validity.

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Suspension

Temporarily invalidating accreditation or certification, partially or fully.

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Stakeholders

Individuals or groups interested in or affected by an organization's activities.

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Technical Support

Conformity demonstration services like effluent, water, and air quality analysis.

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Termination of certificate / accreditation

Cancellation of certification by the certification body or accreditation by the accreditation body.

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Withdrawal of certificate/ accreditation

Voluntary cancellation of certification by a unit or accreditation by a certification body.

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RSPO P&C

A set of principles, criteria, indicators, and guidance for sustainable palm oil production. Used by growers and millers.

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RSPO National Interpretation (NI)

Regional guidelines for implementing RSPO P&C, endorsed by the RSPO Board of Governors.

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RSPO New Planting Procedure (NPP)

Subset of RSPO P&C, independently evaluated before new oil palm plantings.

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RSPO Independent Smallholder Standard (ISH)

Standard for smallholders (qualify as independent) to participate and ensure sustainability in palm oil supply chain.

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RSPO Supply Chain Certification Standard (SCC)

A standard demonstrating organizations' systems for controlling certified palm oil within the supply chain.

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Supply Chain Certified Units

Organizations adhering to RSPO SCC Standard, able to claim using/supporting certified palm oil.

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RSPO Rules on Market Communications and Claims

Regulations governing how supply chain certified units can communicate their use of RSPO certified products.

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Sustainable Palm Oil Certification

Process of verifying that palm oil and its related products are produced sustainably.

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RSPO Certification Scheme Elements

The RSPO certification scheme includes certification standards, accreditation requirements, and certification process requirements.

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Certification Standards

Requirements that organizations must meet for certification, assessed against set criteria by an accredited body.

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Accreditation Requirements

Requirements ensuring competent certification bodies (CBs) for credible results, and competence of assessors.

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Certification Process Requirements

Procedures for determining if standards are met, usually by a certification body.

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RSPO P&C

RSPO certification standard for Palm Oil Production and Certification

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RSPO ISH Standard

RSPO standard for sustainable harvesting practices.

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RSPO NPP

RSPO standard for New Planting Procedures

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RSPO Review

The RSPO Secretariat can review document, systems and procedures within the standard after 5 years.

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Major NC Resolution Time

Major non-conformances (NCs) must be resolved within 90 days of the closing meeting, or the certification is suspended and potentially withdrawn if not resolved within 6 months.

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Recurring Major NC

If a major non-compliance (NC) appears on the same indicator in consecutive audits, the certificate is immediately suspended.

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Audit Report Submission Limit

Audit reports cannot be submitted to the RSPO IT platform if the audit happened over 12 months prior. Audits with outstanding major non-compliances after 12 months require re-assessment.

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Time Extension Request

A request for up to three months to resolve major non-compliances can be made to the RSPO Secretariat.

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Suspension Timeline

Suspension from RSPO certification happens within 5 working days after the audit closing meeting and includes suspension of the IT platform; The CB must inform the RSPO Secretariat.

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Major Non-Compliance Resolution Time

Major non-compliances must be resolved within 90 days of audit. If not, the certificate is suspended and potentially withdrawn within 6 months.

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Recurring Major Non-Compliance

If the same major non-compliance occurs in subsequent audits, the certificate is immediately suspended.

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Recurring Minor Non-Compliance

Minor non-compliances repeated in successive audits become major, leading to potential immediate suspension.

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Multiple Major Non-Compliances

5 or more major non-compliances within a principle during an audit lead to immediate suspension from RSPO certification (except supply chain issues).

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Suspension Timeline

RSPO certification suspension is initiated within five working days of a closing meeting and the IT platform is also suspended.

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Peer Review of Audit Reports

Draft audit reports for initial and recertification audits are reviewed by a peer reviewer, and the CB must respond to comments.

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Audit Report Preparation

Certification bodies (CBs) create audit reports per Annex 3 guidelines, possibly using pre-existing or custom checklists based on the standards.

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Audit Report Submissions

CBs must submit initial and recertification audit reports to a peer reviewer for review before final submission; the reports are only finalized after feedback from the peer reviewer is received.

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Study Notes

RSPO Certification Systems

  • Covers Principles & Criteria and RSPO Independent Smallholder Standard
  • Endorsed by the RSPO Board of Governors on November 12, 2020
  • Document Title: RSPO Certification Systems for Principles & Criteria and RSPO Independent Smallholder Standard
  • Document Code: RSPO-PRO-T01-002 V3.0 ENG
  • Scope: International
  • Document Type: Certification Systems
  • Endorsement Date: November 12, 2020
  • Contact: [email protected]

Table of Contents

  • Includes sections on Introduction, Scope, Accreditation requirements, General requirements for Certification Body (CB), Certification Process Requirements for Certification against P&C & RSPO ISH Standard, Certification of ISH Groups against RSPO ISH Standard
  • Contains various annexes (Annexes 1-5) covering audits, peer review processes, and public notification templates for mills and independent smallholder groups

Glossary

  • Defines key terms like Audit, Audit Team Leader, Accreditation, Accreditation Body, Assessment, Audit plan, Certificate, Certification Body, Client, Conflict of Interest,...
  • Includes terms like Corrective action, Field experience, Group member, Independent smallholders, Impartiality, Initial certification, Local expert, Management advice...

Introduction

  • The Roundtable on Sustainable Palm Oil (RSPO) is a global, multi-stakeholder initiative focused on sustainable palm oil production and consumption.
  • RSPO's objectives include developing standards for palm oil certification, controlling certified palm oil products, and promoting sustainable production practices.
  • The RSPO Principles and Criteria (P&C) outline guidelines for palm oil growers and millers.
  • The RSPO Independent Smallholder Standard (ISH Standard) aims to improve inclusion of smallholders in the RSPO system.
  • The RSPO Supply Chain Certification Standard (SCC Standard) specifies requirements for organizations in the palm oil supply chain to demonstrate control systems for certified palm oil productions.

Scope

  • Details the elements of the RSPO certification scheme (Certification standards, Accreditation requirements, Certification process requirements)
  • Includes references to other relevant documents, such as the RSPO Principles and Criteria, National Interpretations, and the RSPO Independent Smallholder Standard.
  • Outlines the requirements for each aspect of the certification process.

Accreditation Requirements

  • Accredited Certification Bodies (CBs) are mandated by the Accreditation Body (AB) appointed by RSPO.
  • CBs must meet specific requirements, including referencing (ISO/IEC 17011, ISO/IEC 17021-1, relevant RSPO specifics) to perform RSPO certification services.
  • RSPO and the AB publish a list of accredited CBs on their respective websites.

General Requirements for Certification Body (CB)

  • Accreditation of CBs: certification processes are undertaken by accredited certification bodies.
  • Accreditation Status: CBs must adhere to accreditation decisions and scope outlined.
  • ISO Conformity: CB practices, systems, and procedures must comply with ISO/IEC 17021-1 guidelines.
  • Contracts of Service: CBs must have legally binding contracts with clients detailing assessment scopes, durations and costs.

Certification Process Requirements for Certification Against the P&C & RSPO ISH Standard

  • Specifies processes for certification against both P&C and ISH standards.
  • Addresses units for certification (mills and their supply bases for P&C), group managers and members for ISH.
  • Includes procedures for initial certification audits (two-stage or one-stage).
  • Defines minimum requirements for multiple management units.
  • Includes section on sampling methodologies for certification assessments.
  • Provides details regarding major and minor noncompliance reporting within a specified timeline.

Certification of ISH Groups Against RSPO ISH Standard

  • Outlines a phased approach to enable smallholders to achieve RSPO ISH standard compliance.
  • Includes phases of Eligibility, Milestone A, and Milestone B for progressively increasing compliance.
  • Discusses group management, eligibility indicators, and specific sampling procedures for group members. Defines risks associated with various group sizes, situations, and management quality.

Annexes

  • Contain detailed requirements, procedures, and templates related to various aspects of the certification process. (e.g. audit of group out growers, peer review process, public notification templates).

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Related Documents

RSPO Certification Systems Document - November 2020 PDF

Description

Explore the key concepts related to the role of an Audit Team Leader and understand the significance of accreditation in various fields. This quiz covers essential definitions and responsibilities associated with these important topics.

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