RSPO Principles and Criteria Lead Auditor Course. INTRODUCTION. Held over a contiguous 5-day period, this course is intended for delegates who have the intention to become an RSPO P&C Lead Auditor (LA). The training syllabus, described in the next pages includes relevant sections of the RSPO Supply Chain Certification Standard and all other associated requirements for RSPO compliance for oil palm growers and millers. The course is primarily for the potential Lead Auditors and all training material will be presented in such a way as to show its relevance to the audit process. The course duration is 40 contact hours comprising the following: Days 1 to 3. Lecture based training and workshops. (24hrs) Day 4. Mock audit in oil palm plantation and mill. (10hrs). Day 5. Course summary and 2.5 hr written exam. (6hrs). A maximum of 15 delegates per course per tutor. Lead auditor delegates must comply with the pre-requisites as described in section 7 below. Subject to availability of space, the course is also applicable to other delegates, who may wish to join for the first 3 days only or for the full course. For example: Certification bodies personnel. P&C Audit team members. Oil Palm Growers, millers and down-stream industries. Others wishing to learn more about the RSPO Certification process. They are required to comply with the pre-requisite as described in 2.2 below. A certificate of attendance will be awarded. Registered Delegates are those delegates who comply with the pre-requisites and have paid the course fee in full in advance of the course. Contents. 1. Emphasis on knowledge and practical auditing. 2. Delegate involvement and discussion. 3. Refresher course. 4. Paperless course and the exam. 5. Course language. 6. Course objectives. 6.1 Achieving the objectives. 7. Course pre-requisites. 7.1 Lead auditor delegates. 7.2 All delegates and the pre-course exam. 8. Pre-course reading and training material. 8.1 RSPO publications. 8.2 Training material. 8.3 Up to date RSPO information. 9. Demonstration of successful completion of the course. 9.1 Course involvement. 9.2 Mock audit. 9.3 Written exam on day 5. 10. Course content. 10.1 Training modules. 10.2 Course agenda. 11. Quality controls and continuous improvement. 12. RSPO P&C Lead auditor qualifications. 12.1 The P&C audit team.
1. Emphasis on knowledge and practical auditing. A fundamental understanding of the RSPO requirements as covered by the course is essential. The course is designed in such a way as to build and to confirm delegate knowledge of the oil palm industry, the certification process, all the RSPO requirements, auditing the individual criteria and finishing with the practicalities of leading and managing an RSPO P&C audit team. 2. Delegate involvement and discussion. All delegates will be expected to take an active role in discussions to ensure a full understanding of the contents by all delegates. Throughout the power point presentations, questions and topics will be highlighted in red and time will be taken to consider the topic. 3. RSPO P&C Lead Auditors Refresher course. Qualified lead auditors are required to attend a refresher-training course every 3 years. 16 contact hours with no exam. Attendance for days 1, 2 and 3 are considered applicable as a refresher course. A certificate of attendance will be awarded. 4. Paperless course and the exam. Course material will be given to registered delegates by way of email, drop box or on individual flash drives as appropriate. All delegates must have a lap top computer. Delegates will supplement the full set of course material with their own notes. The examination on day 5 will be presented as a Microsoft Word document and will be completed on the same document. Delegates who successfully complete the course, the exam and the practical exercise will receive a certificate confirming successful completion of an RSPO endorsed P&C lead auditor course. The written exam may be re-sat once only at the discretion of the course leader. Failure of the practical exercise will terminate the intention of the delegate to be a P&C Lead Auditor as re-sitting is not an option. The names, designation and company of both the successful and un-successful delegates will be sent to the RSPO secretariat 5. Course language. It is an RSPO requirement that the CB shall prepare a certification report, including a public summary using the RSPO audit checklist as published on the RSPO web site: http://www.rspo.org/key-documents/certification/rspo-principles-and-criteria This document is only available in English and as it is normal practice for the lead auditor to prepare the certification report, fluency in English sufficient to conduct the audit and to complete the audit report is fundamental. The main language for all courses will be English, with the following exceptions: In Indonesia, three will be an emphasis on using Bahasa speaking trainers. In Latin American countries, there will be an emphasis on using Spanish speaking trainers. 6. Course Objectives. This course has the following principal objectives: To provide delegates with the technical competences necessary to meet the prerequisites needed to lead an audit team as lead auditor, conducting a conformity assessment of an organisation claiming compliance with the RSPO P&C. To ensure a fundamental understanding of all requirements of the RSPO Principles and Criteria. To ensure a fundamental understanding of the RSPO certification systems. To ensure a fundamental understanding of all associated RSPO requirements. To ensure that the whole certification process is fully understood. To review each Principle and Criteria and to understand why compliance is required. To discuss and to examine how compliance is best determined with objective evidence. To discuss and to explain practical audit techniques to collect objective evidence. To examine auditing techniques and the recording of evidence. To ensure the RSPO SCC requirements to P&C audits are fully understood. To examine and discuss the importance of client preparation for an audit. To review audit report requirements. To discuss the importance of accuracy and techniques for cross checking data. To evaluate auditor knowledge and ability by way of a mock audit and a written examination. Page 2
Delegates shall leave with an understanding of: The palm oil supply chain from plantation through to end user. The context in which the palm oil sector operates. Key sustainability issuers affecting the palm oil sector. Social, environmental, economic and legislative frameworks within which an oil palm plantation and its associated mill operates including: International, national and local laws and land ownership. Conservation including HCV and associated processes. Role of management systems, especially ISO 14001 and OHSAS 180101 in managing the organisations environmental and health and safety risks and supporting the organisations commitment to the RSPO P&C. Monitoring and measuring techniques needed to demonstrate the achievement of compliance with the RSPO P&C. RSPO Certification Schemes: Principles and Criteria and National Interpretations. RSPO NEXT. Supply chain of custody and Group Certification. The role of technical experts in auditing RSPO P&Cs. All delegates who demonstrate successful completion of the course by achieving the necessary pass rate for the written examination will receive an individual certificate. 6.1 Achieving the objectives. Effective audits require a combination of skills: Strong leadership by the lead auditor. Competent and professional auditors that work effectively as a team. Audit skills to determine the effective implementation of policies and procedures. Audit skills to seek evidence of both compliance and non-compliance. Writing skills to present the audit findings in a factual and clear manner as required by ISO standards, ASI and the RSPO. Being qualified as a lead auditor is not sufficient to lead an effective audit and team members must have an aptitude for auditing as well as the required expertise. This course combines explanations of the RSPO requirements with practical advice and discussion as to how to lead an audit and to seek audit evidence. The course content incorporates all the most up to date RSPO publications and requirements associated with RSPO P&C audits, practical advice and guidance as to how to lead an audit as well as how to be an effective member of an RSPO P&C audit team. 7. Course Pre-requisites. 7.1 Lead Auditor delegates. All lead auditor delegates are required to provide evidence of the following prior to attending this course: Post-high school / secondary school training in either agriculture, environmental science or social science. Five years professional experience in an area of work relevant to the audit (e.g. palm oil management; agriculture; social science). Successful completion of an ISO 9000 or 19011 lead auditors course. 7.2 All delegates and the pre-course exam. In addition, ALL delegates will study pre-course training material and will demonstrate knowledge by achieving a minimum of 70% in a pre-course exam covering all of the following subjects: Understanding of the certification process and its contribution to the production of sustainable palm oil. Certification processes in RSPO: P&C, NI s, RSPO NEXT, SCC, Group certification. Facts on RSPO. Procedures with RSPO (e.g. NPP, RaCP) Facts and understanding of palm oil and palm kernel oil and its supply chains. Understanding the SCC certification process and traceability. Understanding of the approach of HCV. Course fees will be paid in full and in advance prior to a delegates being registered for the course. Page 3
8. Pre-course reading and training material. Delegates will receive a full set of course notes and these shall be supplemented by notes taken during syndicate work, any site visit where applicable and other material generated by the delegates. 8.1 RSPO publications. The following RSPO publications will be sent to all registered delegates: The RSPO P&Cs 2013. The RSPO SCC Standard November 2014. The RSPO Certification Systems. 2016. 8.2 Training material: The following 4 RSPO training volumes will be sent to all registered delegates. Volume 1. RSPO P&C Certification for Oil Palm Growers and Oil Mills. This volume includes practical guidance for compliance with all the RSPO P&Cs and concise information on all the additional requirements to achieve RSPO P&C Certification. Volume 2. RSPO P&C Certification for Group Managers, Independent Growers and Smallholders. This volume gives practical guidance for setting up a group scheme as well as a full set of comprehensive and working documents required to run a group scheme designed by an ex-group manager. Volume 3. RSPO Supply Chain Certification for the Palm Oil and Palm Kernel Supply Chains. Covering all the RSPO SCC Supply Chain Modules and Models, this volume includes internal audit and compliance manuals to help with the preparation of management systems. Oleochemicals and its derivatives. Volume 4. RSPO P&C and Supply Chain Certification for the Certification Bodies and Auditors. This volume provides practical advice on running successful audits and provides cross references between different standards to help auditors to understand the P&C requirements in different scenarios. The Rules for RSPO Communication and Claims. Checklist templates are also provided. 8.3 Up to date RSPO information. The training documents are taken from the most up to date RSPO information and RSPO compliance requirements available and the course is under constant review to ensure accurate presentation of the facts. 9. Demonstration of successful completion of the course. Evaluation of delegates attending for the full 5-day course will be carried out by the trainers in three distinct stages: 9.1 Course involvement. (70% pass required). Delegates involvement during the first 3 days of the course will be evaluated and individual tutorage shall be given as considered necessary by the course tutors. Any delegates who, by mutual agreement, are struggling with the course content will be given the option of leaving the course at the end of day 3 and to attend the full course again at some time in the future. 9.2 Mock audit. (70% overall pass required). Day 4 will be a one day mock audit and individual performance will be evaluated by the tutors. There will be 5 areas of evaluation. Minimum 60% pass required for each of the following: Audit preparation. Team work. Opening meeting. Team work. Working as part of a team. Obtaining and evaluation of objective evidence. Individual work. Personal conduct and interaction with client. Closing meeting. Presentation and justification of audit findings and conclusion. Team Audit report. Clarity of report, objective evidence and justification of decisions. 9.3 Written exam on day 5. (70% pass required in all 3 sections). The knowledge and understanding of delegates attending for the 5 days will be assessed through an examination of 2.5-hour duration with 3 sections: Section 1. Multiple choice. (Suggested time: 30 minutes). 15 multiple choice questions taken from the whole syllabus. Section 2. (Suggested time: 60 minutes). 4 written short answer questions. Section 3. (Suggested time: 60 minutes). 2 written long answer questions. Page 4
10. Course content. The RSPO Principles and Criteria. The RSPO International Principles and Criteria 2013 is the core document for oil palm certification but in addition there are other requirements and initiatives such as: Rules for partial certification. New Planting Procedures. Remediation and Compensation procedures. GHG assessment procedure for new planting. Small holder certification and Outgrower certification. FPIC. Carbon Stock Analysis. HCV guidance. Independent palm oil mills and Kernel crushing plants. 10.1 Training modules. The course is divided into a number of modules that cover the course content requirements: Module 1. Introduction to the course, trainers and delegates. Module 2. Setting the scene. Oil Palm. Module 3. RSPO Standards and System requirements. RSPO NEXT. Module 4. SCC and the CPO Mill. Module 5. LUCC. NPP. HCV. FPIC. SEIA. GHG. Module 6. Group Certification requirements. Module 7. Auditing by criterion. Module 8. Leading an audit. Module 9. RSPO rules on communication and claims. 10.2 Course agenda. The times given are for guidance only and may vary in accordance with delegates understanding. Day ONE 0900 0930 Module 1. 0930 1030. Module 2. 1030 1045 Coffee break. 1045 1300 Module 3. 1300 1400. Lunch. 1400 1530. Module 3 continued and start of module 4. 1530 1545. Tea break. 1545 1830. Module 4 continued. 1830 1900. Summing up of the day. Day TWO 0900 1030. Module 4. 1030 1045. Coffee break. 1045 1300. Module 5. 1300 1400. Lunch. 1400 1530. Module 5 continued and start of Module 6. 1530 1545. Tea break. 1545 1830. Module 6 continued. 1830 1900. Summary of days 1 and 2. Day THREE. 0900 1030. Module 7 1030 1045. Coffee break. 1045 1300. Module 7 continued and start of Module 8. 1300 1400. Lunch. 1400 1530. Finalisation of Modules 7 and 8. 1530 1545. Tea break. 1545 1830. Preparation for the mock audit on day 4. 1830 1900. Summing up of the 3 days and questions and answers. Page 5
Day FOUR. RSPO Principles and Criteria. Mock audit. 0730 0900. Travel to oil palm plantation and palm oil mill. 0900 1530 Mock audit. Day FIVE. RSPO Principles and Criteria. Written examination. 0900 1030. Briefing on day 4. 1030 1045. Coffee break. 1045 1200. Module 9. 1200 1300. Course summary. 1430 1700. Final exam. 11. Quality controls and continuous improvement. This course includes: It is the clear policy of CHECKMARK TRAINING to continually endeavour to improve this course by taking into account delegate comments and feed-back and by ensuring that RSPO P&C,s policies and procedures are fully taken into account. The most up to date information available from the RSPO. Examples from the extensive experience of the course leader. If any person considers the content is lacking then they are requested to inform the course leader immediately. Delegates are requested to complete feed-back forms after each course and their comments will be shared with the RSPO and taken into account in further delivering the course. Examination questions will be changed periodically and the RSPO are invited to give input into exam questions in order to give some consistency between trainers. Maximum of 16 delegates per course and a minimum of 1 trainer. 12. RSPO P&C Lead Auditor qualifications. The certification body shall register all of its approved lead auditors and auditors with the accreditation body including details of their qualifications and competencies. Lead auditors must have, as a minimum: Post high school / secondary school training in either agriculture, environmental science or social sciences. Five years professional experience in an area of work relevant to the audit (e.g., palm oil management; agriculture, ecology; social science). Demonstrable understanding of the RSPO Certification Systems. Successful completion of an ISO 9000/19011 lead auditor course; Successful completion of an RSPO endorsed P&C lead auditor course. A supervised (by a registered lead auditor) period of training in practical assessments against the RSPO P&C, with a minimum of 15 days assessment experience in at last 3 assessments. 12.1 The P&C audit team. The composition of the RSPO P&C assessment teams shall ensure that the team can demonstrate sufficient oil palm expertise to address all of the requirements of the RSPO P&C relevant to a specific assessment, including legal, technical, environmental and social issues, and shall include team members that together have: Field experience in the palm oil sector. Local / regional knowledge and experience, including knowledge of local laws; Familiarity with Best Agricultural Practices, and Integrated Pest Management, pesticide and fertiliser use; Experience in health and safety auditing ion the farm / plantation and in processing facilities, for example against the BS OHSAS 18001 Occupational Health and Safety Management Standard. Worker welfare issues and social auditing experience, such as experience with the SA8000 Standard or related social or ethical accountability codes. Experience in environmental and ecological auditing or assessments, such as experience with High Conservation Value (HCV) assessments, organic agriculture or the ISO 14001:2015 Environmental Management Systems standard. Fluency in the main languages relevant to the location where the assessment is taking place, including the languages of any potentially affected parties such as local communities. Note: For assessment of compliance with either Module D or Module E of the RSPO Supply Chain Certification Standard, the audit team must include a member who has successfully completed an RSPO endorsed RSPO SCC Lead Auditors Course. Page 6