RSB Standard for participating operators

Transcription

1 Type of document: RSB International Standard Status: Approved for certification Date: 1 March 2011 Version 2.0 RSB Standard for participating operators RSB reference code: RSB-STD Published by the Roundtable on Sustainable Biofuels, an initiative of the Energy Center of École polytechnique fédérale de Lausanne (EPFL). This publication or any part thereof may only be reproduced with the written permission of EPFL, the publisher. Any reproduction in full or in part of this publication must mention the title and reference code and credit the above-mentioned publisher as the copyright owner. Contact details: RSB - Roundtable on Sustainable Biofuels EPFL - Ecole Polytechnique Federale De Lausanne Energy Center Château de Bassenges, Station 5 CH Lausanne Switzerland web: rsb@epfl.ch RSB-STD ver.2.0-RSB Standard for participating operators 1

2 Introduction This standard specifies the provisions that shall be complied with by operators participating in the RSB certification systems. The participating operator shall have control over and take full responsibility, accountability and liability for all operations, processes, activities and sites in relation to the implementation of and compliance with the RSB standards at all times. This standard furthermore describes the evaluation criteria that the RSB System Operating Entity (RSB SOE) applies in deciding on participation of operators in the RSB certification systems. RSB-STD ver.2.0-RSB Standard for participating operators 2

3 Table of contents A. Intent of this standard B. Scope of this standard C. Status and effective date D. Note on use of this standard E. References F. Terms and Definitions G. Requirements 1. Participating operators 2. General requirements for participating operators 3. Specific requirements for participating operators 4. Evaluation of the participating operator RSB-STD ver.2.0-RSB Standard for participating operators 3

4 A. Intent of this standard This standard is intended to define the type of organizations that can become participating operators in the RSB certification scheme and details the generic requirements for participation of operation(s) acquiring, handling, and forwarding RSB compliant biomass/biofuels in the RSB certification systems. The intent of this standard is to ensure that all operators participating in the RSB certification systems : Ø confirm commitment to implementation of and compliance with the RSB standards and RSB certification systems; Ø define their respective certification scope of operation; Ø undertake any and all actions necessary to ensure comprehensive implementation of the RSB standards and RSB certification systems; Ø take full and unconditional responsibility, accountability and liability for comprehensive and consistent implementation of the RSB standards and RSB certification systems under the certification scope of their respective operation. B. Scope of this standard This standard is an international standard and valid worldwide, and specifies the generic requirements for the participation of operation(s) producing, converting, processing, trading and using biomass/biofuels, in the RSB certification systems. This standard applies to all participating operators in the RSB certification systems. C. Status and effective date The version 2.0 of the RSB Standard for participating operators shall be effective on 1 March D. Note on use of this standard All aspects of this standard are considered to be normative, including the intent, scope, standard effective date, note on the use of this standard, references, terms and definitions, requirements and annexes, unless otherwise stated. Users implementing this standard shall ensure that the intent of this standard is met. To ensure that the intent of this standard is met users shall implement all of the requirements specified in this standard, and any and all additional measures necessary to achieve the intent of this standard. RSB-STD ver.2.0-RSB Standard for participating operators 4

5 E. References 1. RSB-STD RSB Principles & Criteria 2. RSB-STD RSB Generic chain of custody standard 3. RSB-STD RSB Standard on communication and claims 4. RSB-STD RSB Standard for risk management 5. RSB-STD RSB Standard for dispute resolution F. Terms and definitions For the purposes of this International Standard, the terms and definitions given in RSB-DOC RSB Glossary of Terms shall apply. RSB-STD ver.2.0-RSB Standard for participating operators 5

6 G. Requirements 1. Participating operators Participating operators are legal entities or natural persons producing, converting, processing, blending, trading, using or otherwise handling biomass and/or biofuels and participating in the RSB certification systems, and being responsible for the implementation of the requirements of the RSB principles & criteria, the RSB standards and the RSB certification systems. 2. General requirements for participating operators The participating operator shall confirm that its activities have not been suspended as a result of administrative or judiciary action initiated by a public authority or any other third party General requirements The participating operator shall confirm its support for the RSB, the RSB certification systems and the RSB standards The participating operator shall confirm its unconditional agreement to comprehensively comply with and implement any and all applicable requirements of the RSB standards and RSB certification systems as specified in the certification scope of its operation(s) The participating operator shall confirm its unconditional commitment to take responsibility and to be accountable for implementation of and compliance with the RSB standards as specified in the certification scope of its operation(s) The participating operator shall appoint a management representative who has overall responsibility on behalf of the participating operator for correct and comprehensive implementation of any and all applicable requirements of the RSB standards The participating operator shall not undertake or engage in any activity which could damage the good name of the RSB The participating operator shall use the RSB trademarks only in compliance with all applicable RSB standards The participating operator shall enter into a participation agreement with the RSB SOE The participating operator shall enter into an agreement with a RSB recognized certification body for evaluation against the RSB standards within the RSB certification systems The participating operator shall ensure initial evaluation by a RSB recognized certification body for compliance with the RSB standards within the RSB RSB-STD ver.2.0-RSB Standard for participating operators 6

7 certification systems within 6 months of acceptance by the RSB SOE. Participating operator shall ensure that the initial evaluation after acceptance by the RSB SOE is a field audit Following initial evaluation participating operators shall ensure evaluation by a RSB recognized certification body for compliance with the RSB standards within the RSB certification systems before the valid certificate expires If the evaluation of the participating operator does not result in the issuing of a valid certificate the participating operator shall ensure evaluation by a RSB recognized certification body for compliance with the RSB standards within the RSB certification systems within 6 months of the previous evaluation Participating operators shall initiate evaluations by forwarding a request for evaluation, together with their respective updated certification scope, self risk assessment and self evaluation to the RSB recognized certification body Participating operators shall address all non-compliances and/or major noncompliances identified during evaluation without delay and inform the RSB recognized certification body about all actions taken by the participating operator to address the non-compliances and/or major non-compliances, and that the noncompliances and/or major non-compliances issued during the evaluation were corrected, rectified or otherwise brought into compliance with the RSB standards and the RSB certification systems The participating operator shall inform the RSB recognized certification body engaged and the RSB SOE without delay about any and all aspects of its operation which may compromise the implementation of and compliance with the RSB standards and the RSB certification systems The participating operator shall inform the RSB recognized certification body engaged and the RSB SOE without delay about any and all misuse of the RSB trademarks, the RSB standards, and the RSB certification systems that the participating operator receives knowledge of. Misuse of the RSB trademarks, the RSB standards, and the RSB certification systems, includes any non-compliance with the RSB standards, provisions and/or systems, whether already incurred or imminent or likely to occur. This requirement refers to any and all operations whether or not within the certification scope of the participating operator, and/or whether or not engaged with the RSB SOE and/or whether or not engaged with any other constituent of the RSB or the RSB certification systems. 3. Specific requirements for participating operators The participating operator shall provide and keep updated, a documented profile of any and all activities and operations under its control and certification scope which could potentially affect or are affecting the implementation of the RSB standards. The documented profile of the participating operator shall include at minimum the following information: description of the participating operator s legal status; RSB-STD ver.2.0-RSB Standard for participating operators 7

8 description of the participating operator s governing bodies; names, details, descriptions, organizational charts and any other relevant information documenting subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, supply chain structures, authorities, functions, roles & responsibilities, and if applicable, management systems including policies, procedures, as well as controlling systems and risk management systems; description of experience with implementation of social, environmental, economic, and management standards and certification systems, including a list of standards and certification systems currently implemented and the status thereof; the certification bodies engaged with the participating operator; consultants engaged to advise on implementation of standards and certification systems; certifications withdrawn, suspended and/or terminated The participating operator shall define the certification scope of its operation(s) as it relates to and affects the implementation of the RSB standards. The certification scope of the participating operator shall include at least the following information: name and details of the management representative overall responsible on behalf of the participating operator for correct and comprehensive implementation of any and all applicable requirements of the RSB standards; names, details, functions, roles and responsibilities of the subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, and supply chain structures where RSB compliant product is acquired, handled and/or forwarded, and where internal processing steps occur, and which are involved in implementation of the RSB standards; names, details, and functions of all internal processing steps under the control of the participating operator including conversion factors and product characteristics; type(s) of RSB compliant product acquired, handled, and/or forwarded by each of the subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, and supply chain structures involved in implementation of the RSB standards. This shall include respective relevant product characteristics, product classification, product documentation, product groups and/or product types the applicable RSB standards for each of the subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, and supply chain structures involved in implementation of the RSB standards; and RSB-STD ver.2.0-RSB Standard for participating operators 8

9 the applicable chain of custody tracking models for each of the subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, and supply chain structures involved in implementation of the RSB standards the applicable scope as referred to in 3.2.1, 3.2.2, 3.2.3,3.2.4., , may correspond to an individual or a group of economic operators Participating operators which are engaged in more than one consecutive stage of conversion along the value chain shall include all consecutive stages of conversion along the value chain under their control in the certification scope of their operation(s) The participating operator shall have contractual agreements in place with all subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, and supply chain structures where RSB compliant product is acquired, handled and/or forwarded, and where internal processing steps occur, and which are involved in implementation of the RSB standards These contractual agreements shall specifically reference the unconditional commitment to implementation of and compliance with the RSB standards and the RSB certification systems of the respective subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, and supply chain structures where RSB compliant product is acquired, handled and/or forwarded, and where internal processing steps occur, and which are involved in implementation of the RSB standards The commitment to implementation of and compliance with the RSB standards and the RSB certification systems shall include commitment to provision of unconditional and unrestricted access to any and all subsidiaries, branch offices, affiliated entities, external third parties contracted or otherwise engaged, operational structures, sites, facilities, processing and production units, and supply chain structures where RSB compliant product is acquired, handled and/or forwarded, and where internal processing steps occur, and which are involved in implementation of the RSB standards and RSB certification systems The participating operator shall ensure acquisition and maintenance of knowledge, competencies, skills and systems required for implementation of and compliance with all applicable requirements of the RSB Standards and RSB certification systems. This shall include in particular that the management representative who is overall responsible on behalf of the participating operator, for the correct and comprehensive implementation of any and all applicable requirements of the RSB standards and RSB certification systems, is knowledgeable and competent to ensure comprehensive implementation of and compliance with RSB standards and RSB certification systems at any time The participating operator shall ensure that the management representative who has RSB-STD ver.2.0-RSB Standard for participating operators 9

10 overall responsibility on behalf of the participating operator for correct and comprehensive implementation of the applicable requirements of the RSB standards and RSB certification systems is kept fully informed about the implementation of and compliance with RSB standards and RSB certification systems, at any time and that all information about the implementation of and compliance with the RSB standards and RSB certification systems is documented, and that complete and up-to-date records covering all aspects of implementation of and compliance with all applicable requirements of the RSB standards and RSB certification systems are maintained, and that these records are kept for at least five (5) years The participating operator shall ensure that the management representative who has overall responsibility on behalf of the participating operator for correct and comprehensive implementation of the applicable requirements of the RSB standards and RSB certification systems has at his/her disposal any and all systems and means necessary to ensure comprehensive implementation of and compliance with RSB standards and RSB certification systems at any time The participating operator shall inform the RSB SOE without delay about changes in its ownership and legal structure, business scope, organizational structure, management responsibilities as well as in its documented profile as required under point 3.1. and its certification scope as required under point The participating operator shall establish systems for fair, equitable and transparent management, resolution and settlement of disputes and complaints raised by staff or by third parties concerning its own performance. The participating operator shall document management, resolution and settlement of all disputes and complaints raised. The participating operator shall implement the applicable requirements of the RSB-STD RSB standard for dispute resolution The participating operator shall conduct, maintain and keep updated a self risk assessment of his/her/its operation(s) as defined in the certification scope against the applicable requirements of the RSB-STD RSB standard for risk management The participating operator shall conduct, maintain and keep updated a self evaluation of his/her/its operation(s) as defined in the certification scope against all applicable requirements of the RSB principles & criteria, the RSB standards and the RSB certification systems. The participating operator shall include in its self evaluation all RSB indicators and RSB checklists prescribed by the RSB and if these RSB indicators and RSB checklists are not sufficient to demonstrate compliance with the respective requirements of the RSB standards and RSB certification systems introduce in its self evaluation additional indicators and checkpoints. The participating operator shall explicitly indicate such additional indicators and checkpoints in its self evaluation. RSB-STD ver.2.0-RSB Standard for participating operators 10

11 4. Evaluation of the participating operator The participating operator shall substantiate with documented evidence compliance with all provisions listed in section 1. to section 3. of this standard The operator applying to the RSB SOE for participation in the RSB certification systems shall provide to the RSB SOE together with the application for participation in the RSB certification systems the following: written commitment to compliance with all requirements of this standard signed by Executive Management of the operator applying to the RSB SOE for participation in the RSB certification systems; written statements complying with requirements , , and signed by Executive Management of the operator applying to the RSB SOE for participation in the RSB certification systems; documented profile of the operation(s) under control of the operator; documented certification scope of the operation(s) under the control and responsibility of the operator; documented self risk assessment as specified in point 3.10; information about any and all aspects of the operation(s) which may compromise the implementation of and compliance with the RSB standards and the RSB certification systems, and/or which may reflect badly on or compromise the RSB s good name. This shall include information about any and all social and/or environmental dispute or conflict, and/or about legal and/or criminal proceedings; The RSB SOE shall publish the application of the operator for participation in the RSB certification systems on its web-site for a minimum of 2 weeks before deciding on the application to seek external comments on the operator applying The RSB SOE shall evaluate the application for participation in the RSB certification systems of the operator The RSB SOE shall accept the application for participation in the RSB certification systems of the operator unless there is substantiated reason to believe that the operator will not be able to implement the applicable requirements of the RSB standards and RSB certification systems; operator will not be able to achieve compliance with and meet the intent of the RSB standards; participation of the operator in the RSB certification systems will reflect badly on RSB-STD ver.2.0-RSB Standard for participating operators 11

12 or compromise the RSB s good name The RSB SOE may make acceptance of the application for participation in the RSB certification system dependent upon conditions to be met by the operator The RSB SOE may deny, suspend or terminate participation of any participating operator in the RSB certification systems at its sole discretion for important reason. Important reason includes but is not limited to the participating operator being involved in willful misconduct, fraud, legal and/or criminal proceedings, activities which could damage the RSB s good name, the participating operator being unable and/or unwilling to achieve compliance with the applicable requirements of the RSB standards, and the RSB certification systems, and/or participating operator being unable and/or unwilling to receive and/or address disputes raised The RSB SOE shall assign upon acceptance or acceptance subject to conditions of the participating operator a unique RSB participant code to the participating operator The RSB SOE shall publish acceptance, acceptance subject to conditions, denial, suspension and termination of participating operators and the name, address and RSB participant code of the participating operators on its web-site. RSB-STD ver.2.0-RSB Standard for participating operators 12