TÜV NORD INTEGRA bvba Certification in agriculture and food Statiestraat 164, 2600 Berchem, Belgium Phone: +32 3 287 37 60 Fax. +32 3 287 37 61 www.tuv-nord-integra.com info@tuv-nord-integra.com RSPO Supply Chain Certification Systems Checklist & Certification report (preliminary) Version November 2011 Company: TÜV NORD INTEGRA no: RSPO Member number 9-0361-13-000-00 Company name: Name responsible: Address: Type of company for certification: wertkreis Gütersloh ggmbh Herr Klimmek Hans-Böckler-Straße 53, D-33334 Gütersloh Individual Audit: Auditor: Oliver Eck Date of audit: 11/09/2013 Audit type: Initial Certification (IC) Time of arrival: 09:45 Time of departure: 13:00 Audit program (items and places inspected): - Quality management (complaint management, procedures, training) - Receiving goods area - production site (bakery area) - storage area Attendants during audit: Name Function Present at closing meeting Mr. Oliver Eck Lead Auditor x Mr. Jürgen Fortmann Head of production x int.rspo.cld.clr - v4-15/04/2013 p. 1/16
Scope Detailed scope description: Herstellung von Knäckebrot mit Palm Öl. Production of crisp bread containing palm oil. Supply Chain Model : Mass Balance Subcontracting : Is any activity concerning the processing or production of RSPO certified palm oil or palm oil products outsourced? No If yes, name of subcontractor, address and subcontracted activity: The auditor declares that he/she neither has any family/personal relationships with people within the organization, nor has been employed in or by the organization being assessed, nor undertaking any consultancy activities or other service provision except for certification or verification activities over the past three years. Notice: the findings of the auditor are tentative pending review and decision making by the duly designated representatives of the certification body. The undersigned responsible declares to have read the complete checklist and fully agrees with the content of this audit report. Signature responsible Mister Klimmek Signature auditor Mister Eck int.rspo.cld.clr - v4-15/04/2013 p. 2/16
Date accept ance CA Criteria list Requirements 1. Applicability of the general Chain of Custody system requirements for the supply chain Score (/ No/ ) Comments (obliged for nonconformity or ) Deadline Description corrective action (CA) 1.1. The General CoC system requirements of the RSPO Supply Chain Standard shall apply to any organization throughout the supply chain that take legal ownership of and physically handle (incl. receipt into storage tanks) RSPO certified sustainable oil palm products. 1.2. Either the operator at facility level or its parents company seeking certification shall be a member of the RSPO. Users of the RSPO Book & Claim system (GreenPalm) also need to be members of RSPO or GreenPalm. No No etrace registration now. 11/12/2013 registration email sent by RSPO 01/10/2013 2. Documented procedures 2.1. The facility shall have written procedures and/or work instructions to ensure the implementation of all the elements specified in these requirements. This shall include at minimum the following: a) Complete and up-to-date procedures covering the implementation of all the elements in these requirements. b) Complete and up-to-date records and reports that demonstrate compliance with these requirements. c) The name of the person having overall responsibility for and authority over the implementation of these requirements and compliance with all applicable requirements. This person shall be able to demonstrate awareness of the facility's procedures for the implementation of this standard. 3. Purchasing and goods in No Process description "Purchasing" (issue date 03.09.2013). This descriptions doesn't contain all relevant criteria relating the check of incoming goods. Implemented in HACCP concept. Responsible Head of QM, Mr. Klimmek 11/12/2013 Process description created (Verfahrensanweisung Dokument QS-VA-091 Datum 26.09.2013 Rev.: 00) 30/09/2013 Beauftragung 3.1. The facility shall ensure that purchases of RSPO certified palm oil and palm oil products are in compliance with the following: 1 supplier: 1) Royale Lacroix BMT-RSPO-000011, certificate valid until 8.2.2017; RSPO Member Number 4-0097-10-00-00) a) The facility shall have documentation (e.g. purchase orders, material specifications, contracts) that purchases are made to the material category (IP, SG or MB) agreed with their supplier. only MB int.rspo.cld.clr - v4-15/04/2013 p. 3/16
b) The facility receiving RSPO certified oil palm products shall ensure that the products are verified as being RSPO certified. c) For facilities that are required to announce and confirm trades in the RSPO IT system (all facilities up to the final refinery and excl. traders) this shall include making Shipping Announcements and Shipping Confirmations in the RSPO IT system on the level of each shipment. d) For all facilities that are SCCS certified a check of validity of the Supply Chain Certification of suppliers is required. This shall be checked via the list of RSPO Supply Chain Certified facilities on the RSPO website (www.rspo.org) or the RSPO IT system within a reasonable timeframe. No No The delivered product itself doesn't contain the MB label nor the article number (only AP70), only a lot number. So it is not clear if the rawmaterial (incl. lot number) and the material named in the delivery paper is the same. Delivery paper are correct issued. No trade of products Yearly check of the certificates. Not documented in the description yet. 11/12/2013 11/12/2013 Email relating product status (Korrektur 2). 30/09/2013 Process description created (Verfahrensanweisung Dokument QS-VA-091 Datum 26.09.2013 Rev.: 00) 30/09/2013 3.2. The facility shall have a mechanism in place for handling nonconforming material/documents. This mechanism should also be used to take appropriate steps when the Supply Chain certification of a supplier is found to be invalid. Process description "correcitve action management" QS-VA007 ("Sperrzettel" incl. root cause analysis and non conformity report "Fehler- Ausschussmeldung" QS-F-008). 4. Outsourcing activities 4.1. The operation seeking/holding certification shall ensure that the subcontractor complies with the intent and requirements of the RSPO Supply Chain Standard. 4.2. Facilities that wish to include outsourcing within the scope of their RSPO Supply Chain certificate shall ensure the following: a) The facility has legal ownership of all input material to be included in outsourced processes. b) The facility does not relinquish legal ownership of the materials during outsourced processing. c) The facility has an agreement/contract covering the outsourced process with each contractor through either a signed and enforceable agreement with the subcontractor. The responsibility is on the facility to ensure that certification bodies have access to the outsourcing contractor/operation if an audit is deemed necessary. d) The facility has a documented control system with explicit procedures for the outsourced process that are shared with the relevant contractor. int.rspo.cld.clr - v4-15/04/2013 p. 4/16
e) The facility seeking/holding certification shall ensure that subcontractors engaged provide unrestricted access to their operations, systems and other information to the certification bodies when this is announced in advance. 4.3. The facility shall record the names and contact details of all contractors used for processing or production of RSPO certified materials. 4.4. The facility shall inform its certification body about the names and contact details of any new contractor used for the processing or production of RSPO certified materials. 5. Sales and goods out 5.1. The facility shall ensure that all sales invoices or relevant documents issued for RSPO certified palm oil delivered include the following information: a) The name and address of the buyer b) The name and address of the seller c) The loading or delivery date d) The date on which the invoice was issued e) A description of the product, including the applicable supply chain model (IP, SG or MB) f) The quantity of the products delivered g) Any related transport documentation h) Supply chain certification reference number see 5.1. e 6. Registration Delivery Paper. All necessary inputs mentioned. Not certified yet. The customer has shown an example of the invoice and delivery paper. 6.1. Supply chain actors who take legal ownership of and physically handle RSPO certified sustainable oil palm products and who are part of the supply chain of RSPO certified sustainable oil palm products before and up to the (final) refinery need to register their transaction in the RSPO IT system upon the moment of physical shipment. Actors who must register include mills and refineries. Actors who must not register include traders and all operators after the final refinery. No registration necessary 7. Training 7.1. The facility shall have a defined training plan, which is subject to on-going review and supported by training records. 7.2. The facility shall provide the training for all staff as required to implement the requirements of the Supply Chain Certification Systems. Attendance sheet (incl. signature of employees) 17.07.2013 (codex, standard and its requirements, incoming goods) and 10.09.2013 (sales and goods out). int.rspo.cld.clr - v4-15/04/2013 p. 5/16
7.3. The facility shall keep records of the training provided to staff in relation to implementation of these requirements. 8. Claims 8.1. The facility shall only make claims regarding the use of or support of RSPO certified palm oil that are in compliance with the RSPO Guidelines for Communication and Claims. 9. Processing For Identity Preserved, Segregation and Mass Balance 9.1. The facility can only use the same supply chain model as its supplier or go to a less strict system. Declassification/downgrading can only be done in the following order: IP -> SG -> MB -> Non RSPO Certified Palm Oil. For Identity Preserved and Segregation 9.2. The facility shall assure and verify through clear procedures and record keeping that the RSPO certified palm oil is kept segregated from non certified material including during transport and storage and be able to demonstrate that is has taken all reasonable measures to ensure that contamination is avoided. The objective is for 100% segregated material to be reached. The systems should guarantee the minimum standard of 95 % segregated physical material; up to 5% contamination is allowed. For Identity Preserved 9.3. The facility shall assure that the RSPO certified palm oil is uniquely identifiable to a single mill and its supply base and is kept physically isolated from all other oil palm sources in its facility. The systems shall guarantee the minimum standard of 95 % segregated physical material. 10. Record keeping 10.1. The facility shall maintain accurate, complete, up-to-date and accessible records and reports covering all aspects of these requirements. 10.2. Retention times for all records and reports shall be at least five (5) years. 10.3. The following trade names should be used and specified in relevant documents e.g. 'product name'/ip or Identity Preserved, 'product name'/sg or segregation, 'product name'/mb or mass balance. The supply chain model used should be clearly indicated. For Identity Preserved yes No claims at the time of the audit. Examples within the delivery papers checked during the audit. Only MB rawmaterial. Only MB Only MB Retention time 10 Years. Documented. int.rspo.cld.clr - v4-15/04/2013 p. 6/16
10.4. The facility shall provide documented proof that the RSPO certified palm oil can be traced back entirely to the palm oil mill. Only MB For Segregation 10.5. The facility shall provide documented proof that the RSPO certified palm oil can be traced back entirely to only certified segregated material. 11. Mass balancing system (For Mass Balance only) 11.1. The facility shall ensure that the quantity of physical RSPO mass balance material inputs and outputs (volumes or weights) at the physical site are monitored on a real-time base. 11.2. The facility shall ensure that the internal material accounting system complies with the following: - a facility can only deliver MB sales from a positive stock; - facility is allowed to sell short (i.e. product can be sold before it is in stock). 11.3. RSPO data is valid from the date it was first recorded in the material accounting system. The RSPO data shall always be valid until the data has been allocated to outputs supplied by the organization. Facilities allocate mass balance claims to products going out, ensuring that the input matches the output, as specified in Annex 3 of the standard. 11.4. All volumes of palm oil fractions and derivates that are delivered are deducted from the material accounting system according to conversion ratios stated by RSPO, with the exception of the option details in 11.5. Palm Fatty Acid Distillate and other refining losses are neglected for the sake of simplicity in the MB system. 11.5. Facilities can purchase a certain volume of segregated sustainable palm and palm kernel products and use it to match the sales of equal volumes of palm products derivates that then carry a MB claim without requiring a physical or chemical link between the acquired segregated product and the derivative that is sold under MB. Note: segregated palm oil products cannot be used to offset MB claims on palm kernel products or vice versa. Note: this is not acceptable practice for EU biofuels. Only MB All relevant information possible by the internal IT system. Like organic certification. Only MB rawmaterial. There is no conventional raw material of the same raw material group. No conversion in place No purchase of such materials in place int.rspo.cld.clr - v4-15/04/2013 p. 7/16
12. Multi-site certification 12.1. The company shall define the geographic area, the number and identity facilities, the supply chain model and the types of operations covered by the scope of their multi-site chain of custody system. Mass balance accounting can only be done at facility level. 12.2. The operational units shall demonstrate that they are part of the same Central Office. 12.3. The Central Office shall justify the grouping of operational units into sets. 12.4. The Central Office shall have a centrally administered and documented Internal Control System (ICS) for the management and implementation of the RSPO Chain of Custody requirements. 12.5. The Central Office shall appoint a management representative with overall responsibility for ensuring that all operational units comply with the RSPO Chain of Custody requirements. 12.6. The Central Office will have a procedure for raising corrective actions when it is found that an operation unit is not in compliance with the RSPO SCCS. 12.7. The Central Office shall have the authority to remove participating sites from the scope of the multi-site system if the requirements of participations, or any corrective actions issued by the certification body or by the company itself, are not complied with by the participating site(s). 12.8. As part of the ICS, the Central office shall establish and implement training for participating sites to cover all applicable requirements of the RSPO multi-site Chain of Custody. 12.9. The Central Office shall maintain centralized accurate, complete, up-to-date and accessible records for all participating sites and shall be responsible for maintaining reports covering all aspects of the RSPO multi-sites requirements. 12.10. The ICS shall determine and prepare which common management documents are applicable to all operational units. 12.11. The ICS shall determine which site specific documents are required at each operational unit. The ICS shall keep all documents and records for a minimum period of 5 years. int.rspo.cld.clr - v4-15/04/2013 p. 8/16
12.12. The Central Office shall conduct at least annual internal audits of each participating site to ensure compliance with the multi-site Chain of Custody requirements. 12.13. Non-conformances found as part of the internal audit shall be issued corrective action requests. 12.14. The results of the internal audits and all actions taken to correct non-compliance will be available to the certification body upon request. 12.15. The outcomes of the internal audit programme shall be subject to review by top management at least annually. 12.16. The ICS shall be responsible for ensuring that all uses of the RSPO logo and all RSPO claims regarding the end product are in accordance with RSPO requirements through its central control point. 13. Complaints 13.1 The facility shall: a) keep a record of all complaints made known to the facility relating to a product s compliance with requirements of the RSPO SCCS and make these records available to the certification body when requested b) take appropriate action with respect to such complaints and any deficiencies found in products or services that affect compliance with the requirements for certification; c) document the actions taken. Input in template Complaint management (template "Fehler-Auschuss-Meldung" QS-F- 008). One contact person relating the relevant product group. int.rspo.cld.clr - v4-15/04/2013 p. 9/16
Data check Records of raw material purchased/received: Name supplier Royale Lacroix RSPO Certificate Name of product No. BMT- RSPO- 000011 baking fat (magerine) UTZ No. Volume (ton) 0.5 Records of palm oil products sold: no sold products yet Name buyer RSPO Certificate No. Name of product UTZ No. (if applicable) Volume (ton) int.rspo.cld.clr - v4-15/04/2013 p. 10/16
SCCS CERTIFICATION : REPORT SUMMARY ( to be filled by CB on SC actors after F Note : Final Refinery * - as per SCC std Nov 2011, RSPO etrace will trace until final refinery, after which all traceability records will be mon Purpose of Audit : Initial Certification (IC) Trace Records ( No: Date (dd/mm/yyyy) Description of Product RSPO certified Palm (MT) 1 06/09/2013 baking fat (magerine) 500 2 3 4 5 6 7 8 note: pls add on more rows if insufficient rows provided Trace Records (O No: Date (dd/mm/yyyy) Description of Product no RSPO product yet Units of Measurement Total Palm Content in Product Pack 0 0 int.rspo.cld.clr - v4-15/04/2013 p. 11/16
Final Refinery*) SCC Template for RSPO CBs ver 1.0 nitored by respective CBs. (IN) Audit Date (dd/mm/yyyy) 11/09/2013 Remarks OUT) RSPO certified Palm in Product Pack Non-RSPO certified Palm in Product Pack % RSPO /total palm Total RSPO certified Palm Used Remarks 0 0 #DIV/0! 0 0 #DIV/0! int.rspo.cld.clr - v4-15/04/2013 p. 12/16
For CBs : To obtain from SC actors after final refinery SCC Template for RSPO CBs ver 1.0 PLEASE INSERT THE PHOTO OF PRODUCT PACK CONTAINING RSPO CERTIFIED SUSTAIBLE PALM if RSPO Trademark is seen, pls show in photo attached eg: KB xxxxxx (front) eg: KB xxxxxx (back) int.rspo.cld.clr - v4-15/04/2013 p. 13/16
M int.rspo.cld.clr - v4-15/04/2013 p. 14/16
Description of the company s systems 1. Description of the organizational systems, management systems and operational systems to ensure compliance with the RSPO Supply Chain Certification Systems: The company wertkreis Gütersloh ggmbh, based in Gütersloh Germany, is based in a 1981 builed and 2007 renovated production site. The company employs all in all about app. 1800 employees, in the bakery area 35 employees. A huge amount of the employees are handycaped people. - Processes: incoming goods, storage, mixing, forming, sprinkling, baking, packaging, storage, sales, distribution, transport - No trading - Employees bakery: 35 (13 Fulltime, 7 semi time, 15 shift) - No sub contractor - Plant size 700sqm - 1 production line - Further certificates ISO 9001:2008, OHSAS, Organic 2. List of actions taken by the organization to ensure compliance: There is only one palm fat product (baking fat). Because there is no conventionally palm oil product in place, the cross contamination of misuse is not possible. Within the receiving goods check, the status of RSPO is checked with supplier documents and within every delivery, the current status of the supplier is checked. 3. List of key attention points for the coming year of certification No further key attention points. 4. Certified volume purchased and claimed Control of the annual certified volume of RSPO certified palm oil for the period: Previous audits Compliant No Summary of previous certification assessments and conclusion, with recommendations or nonconformances: na Initial audit Certification Recommendations Conclusion An auditor of TÜV NORD INTEGRA bvba visited you for an audit following the RSPO standard. Based on this audit, and any corrective actions, TÜV NORD INTEGRA bvba has decided that you comply with the RSPO standard. Certificate details Certificate number: 58680 Validity of certificate starts: 18/10/2013 int.rspo.cld.clr - v4-15/04/2013 p. 15/16
Validity of certificate ends: 17/10/2018 Date of first RSPO Supply Chain certification: 18/10/2013 Certification body details CB Certificate number: Date of approval by RSPO: 25/06/2012 Auditor Oliver Eck Lead auditor Marleen Delanoy int.rspo.cld.clr - v4-15/04/2013 p. 16/16