Requirements for Certification Bodies

ISCC PLUS 251 Requirements fo Certification Bodies Requirements for Certification Bodies ISCC PLUS 251 V 1.0

Copyright notice ISCC 2012 This ISCC document is protected by copyright. It is freely available from the ISCC website or upon request. No part of this copyrighted document might be changed or amended. The document might not be duplicated or copied in any form or by any means for commercial purpose without permission of ISCC. Document title: ISCC PLUS 251 Requirements for Certification Bodies Approval date: 30/06/2012 Issue date: 30/06/2012 ISCC PLUS 251 Requirements for Certification Bodies 2 of 9

Content 1 Introduction... 4 2 Scope... 4 3 Normative references... 4 4 Requirements and tasks for certification bodies... 6 4.1 Requirements... 6 4.1.1 Requirements on certification bodies... 6 4.1.2 Requirements on auditors... 6 4.1.2.1 General requirements... 6 4.1.2.2 Requirements on auditors on farms... 7 4.1.2.2 Requirements for auditors in the Chain of Custody and GHG verification... 8 4.2 Tasks of certification bodies... 8 4.2.1 Overview... 8 4.2.2 Tasks in detail... 8 4.2.2.1 Risk evaluation... 8 4.2.2.2 Execution of audits... 9 4.2.2.3 Issuance of certificates... 9 4.2.2.4 Documentation... 9 4.2.2.5 Archiving and handling of Information... 9 ISCC PLUS 251 Requirements for Certification Bodies 3 of 9

1 Introduction Auditors must be independent of the activity being audited, free from conflict of interest, and competent. To ensure independence and to avoid conflict of interests, ISCC requires external third party audits. Auditors must have the appropriate skills necessary for conducting the audit, and certification bodies must have the skills necessary for performing audits. Skills about land use criteria and no-go-areas, experience in agriculture, ecology or similar, Chain of Custody systems, traceability, mass balance systems, data handling or similar, and greenhouse gas calculation are crucial elements of the qualification. In the areas the auditor is active, he has to have the respective skills. These requirements are prerequisites for a successful operation of the certification scheme. Trainings will auditors with the specific requirements of the ISCC standard. 2 Scope The requirements described hereafter are applied in certification of sustainable farming as well as within the certification of the subsequent elements in the chain of custody and for GHG calculation. 3 Normative references As a basic principle, all relevant ISCC documents are valid for the scope of application. The normative references display the documents whose contents are linked and have to be considered as conjoint points. Relevant references: ISCC PLUS 201 System Basics ISCC PLUS 202 Sustainability Requirements ISCC PLUS Standard on Sustainability Requirements for the Production of Biomass ISCC PLUS 202a Sustainability Requirements Equivalence Benchmark ISCC PLUS 202-01 Biodiversity Action Plan ISCC PLUS 202-02 Classified Chemicals ISCC PLUS 202-0n Options to add further Requirements for agricultural Production ISCC PLUS 203 Requirements for Traceability ISCC PLUS 204-01 Mass Balance Requirements ISCC PLUS 204-02 Physical Segregation Requirements ISCC PLUS 205-01 GHG Emission Requirements ISCC PLUS 251 Requirements for Certification Bodies 4 of 9

ISCC PLUS 205-02 Requirements for Consumables ISCC PLUS 205-0n Options to add further Requirements on Sustainability Properties ISCC PLUS 207 Risk Management ISCC PLUS 252 Regulations to carry out Audits ISCC PLUS 255 ISCC Add-ons and Extensions ISCC PLUS 251 Requirements for Certification Bodies 5 of 9

4 Requirements and tasks for certification bodies 4.1 Requirements 4.1.1 Requirements on certification bodies Certification bodies have to fulfil the following requirements (1) Recognition by an accreditation body 1 (2) Accreditation against standard ISO Guide 65 (EN 45 011) (3) Conduct audits in conformity with standard ISO 19011 establishing guidelines for quality and / or environmental management systems auditing (4) Conduct audit and certification according to the principles and requirements of ISO 17021: 2006 (5) Appointment of competent employees in terms of the requirements in this document. 2 (6) Signed Cooperation Agreement with the ISCC System GmbH 4.1.2 Requirements on auditors Independent of their specific operational area, all auditors have to meet general audit requirements. Depending on whether they conduct audits on farms or in subsequent elements of the supply chain or GHG calculation verification, they have to meet additional specific requirements. 4.1.2.1 General requirements (1) At least 2 years work experience in the relevant work area, all in all, at least 3 years work experience (2) At least 40 h audit training (e.g. according to ISO 19011) (3) Four complete audits for a total of at least 20 days of audit experience as an auditorin-training under the direction and guidance of an auditor competent as an audit team leader. The audits should be completed within the last three consecutive years (4) At least 20 days of audit experience as a trainee under the direction and guidance of an auditor competent as an audit team leader. The audits should be completed within the last three consecutive years 1 Certification bodies shall be accreditated by members of the International Accreditation Forum (IAF), by the bodies referred to in Article 4 of Regulation (EC) No 765/2008 or by bodies having a bilateral agreement with the European Co-operation for Accreditation. Accreditation bodies shall work in line with ISO 17011: 2004 or otherwise detail what the alternative is. 2 In addition to the requirements mentioned in this document it is preferable but not essential that auditors have experience of carrying out audits according to ISO 14064-3 (Green-house gases Part 3: Specification with guidance for the validation and verification of greenhouse gas assertions) and that certification bodies are accredited against ISO 14065: 2007 (Greenhouse gases Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition). ISCC PLUS 251 Requirements for Certification Bodies 6 of 9

(5) Three complete audits for a total of at least 15 days of audit experience acting in the role of an audit team leader under the direction and guidance of an auditor competent as an audit team leader. The audits should be completed within the last two consecutive years (6) Knowledge in handling and evaluation of data sources (7) Personal aptitude in the sense of ISO 19011:2002 (8) Auditors should comply with the requirements of the ISAE 3000 when performing an ISCC audit. (9) The auditor should plan and carry out the audit with respect to nature, timing and extent of evidence gathering procedures in such a way that a meaningful level of assurance for a decision regarding compliance with the ISCC requirements is available (10) One-time participation in an ISCC basic training and regular participation in training courses under the direction of ISCC. Besides the basic training and the regular training courses ISCC offers training modules for new auditors with regard to the requested topics. If auditors are not able to show their competences in the relevant topics, they can get them by participating in these trainings. 4.1.2.2 Requirements on auditors on farms In addition to the general requirements in section 4.1.2.1 auditors appointed on farms, shall at least have competences in the following areas: (1) Knowledge in agriculture (2) Pedological knowledge (3) Biological end ecological knowledge (4) Furthermore, skills in GHG accounting is required if audits are conducted in this area. Evidence of competence can be completed studies at a university or a technical college or a comparable qualification in one of the following areas (areas with a comparable content are also allowed): Ad (1): agriculture, agricultural economics Ad (2): Agrology, geology, geological sciences, geo ecology, landscape ecology, life sciences, et al. Ad (3): Biology, botany, ecology, landscape ecology, natural sciences, life sciences et al. Ad (4): process technology, energy management, environmental engineering, environmental engineer, environmental and quality management, environmental orientated process engineering, renewable energies, GHG training. ISCC PLUS 251 Requirements for Certification Bodies 7 of 9

4.1.2.2 Requirements for auditors in the Chain of Custody and GHG verification In addition to the general requirements in section 4.1.2.1 auditors, appointed in the chain of custody and / or for GHG verification, must have the skills in the respective area: (1) Knowledge in the different chain of custody options, quantity bookkeeping methodologies (e.g. mass balance) and traceability (2) Knowledge in GHG accounting Evidence of competence can be completed studies at a university or a technical college or a comparable qualification in one of the following areas (areas with a comparable content are also allowed): Ad (1): Mass balance methodology and traceability, traceability, logistics, logistics management Ad (2): process technology, energy management, environmental engineering, environmental engineer, environmental and quality management, environmental orientated process engineering, renewable energies, GHG training. 4.2 Tasks of certification bodies 4.2.1 Overview In the context of the ISCC certification system certification bodies perform the following work: (1) Risk evaluation (2) Conduct audits (inspections) (3) Issuance of certificates and declarations of conformity (4) Run a register of participants (5) Transmission of data to the relevant authorities (if required), economic operators or ISCC and preparation of further reports and communications) (6) Storage and handling of information. 4.2.2 Tasks in detail 4.2.2.1 Risk evaluation Before starting an audit, the certification body has to carry out a risk evaluation. The results of the risk evaluation have an impact on the intensity of the audit. The ISCC risk management is described in detail in document ISCC PLUS 207 Risk Management. ISCC PLUS 251 Requirements for Certification Bodies 8 of 9

4.2.2.2 Execution of audits Certification bodies conduct certification audits and surveillance audits. Audit reports must be prepared. Requirements regarding content and process flow of audits as well as requirements for the documentation are described in document ISCC PLUS 252 Regulations to carry out audits. 4.2.2.3 Issuance of certificates Based on a positive audit showing conformity with the ISCC requirements, certification bodies issue certificates. Certificates are issued for the operation being audited successfully. In case elements of the supply chain participate in the audit as part of a sample, (see ISCC PLUS 256 and 252) a certificate will be issued to the whole group (e.g. the whole logistics network) and not to each member individually. 4.2.2.4 Documentation Certification bodies shall document properly all certifications carried out in a register. In each case, such a register must contain the names, addresses, registration numbers and audit reports of the audited entities. Certification bodies must update their register on an ongoing basis. ISCC must be informed immediately about every certificate issued. In addition, audit reports must be forwarded in a timely manner. Certification bodies shall attach to every certificate of a first gathering point or logistics network the respective list of warehouses with names and addresses. In addition those warehouses belonging to a first gathering point or logistics network, which is were audited noncompliant must be provided to the ISCC system as well. 4.2.2.5 Archiving and handling of Information Certification bodies must archive results of inspections, and copies of all certificates that they issue for a period of at least five years. ISCC PLUS 251 Requirements for Certification Bodies 9 of 9