Principles & Criteria Draft 2-English

RSPO P&C – P&C Review 2017/2018 Draft 2
RSPO Principles, Criteria and Indicators

1 Restructuring of P&C
The P&C Review Taskforce was tasked with a restructuring of the P&C.
The two interlinked objectives for the restructuring are directly aligned with the core objectives of
the P&Cs Task Force Terms of Reference1:
• Alignment with the Theory of Change:

o Outcome focus
o Integration of concept of shared responsibility (i.e. indication of requirements
applicable that may become applicable to other RSPO membership categories as
well)
o Demonstrating actual effects of the P&Cs and impact through reporting on Key
Performance Indicators (metricated or measurable)
• Increased Accessibility (make it more relevant and practical)

o Reduction of duplications through streamlining
o Alignment of language across indicators
o Changing to active language
As well as aligning the P&C with RSPO's Theory of Change, the restructure aims to make the P&C
more logical and clearer to apply and less repetitive, all of which was requested by stakeholders
during the first round of public consultation as well.
In addition, this proposal integrates the mill modules of the RSPO Supply Chain Certification
Standard (SCCS). Having one standard for production level contributes to the expectation of best
practices throughout the supply chain and makes traceability implicit within the RSPO standard.
All guidance is pulled out of the main document and included in annex 2.
1
https://rspo.org/principles-and-criteria-review
June 2018 Page 1 of 72

Table of Contents
1 Restructuring of P&C....................................................................................................................... 1
2 P&Cs Introduction ........................................................................................................................... 3
3 RSPO Vision and Theory of Change ................................................................................................. 4
4 Outcome Focus ............................................................................................................................... 5
5 Structure of the P&Cs ..................................................................................................................... 7
Impact Goal Prosperity: Competitive, resilient, and sustainable sector ................................................ 9
Principle 1: Transparency and Ethics .................................................................................................. 9
Principle 2: Legality ........................................................................................................................... 10
Principle 3: Planning Procedures and Improvement ........................................................................ 12
Impact Goal People: Sustainable Livelihoods & Poverty Reduction ..................................................... 19
Principle 4 Community Rights and Benefits ...................................................................................... 19
Community rights are respected, equal opportunities are provided, benefits from engagement in
palm oil are maximized and remedy ensured................................................................................... 19
Principle 5: Smallholder Inclusivity ................................................................................................... 24
Principle 6: Workers rights and conditions ....................................................................................... 25
Impact Goal Planet: Conserved, protected and enhanced ecosystems that provide for the next
generation ............................................................................................................................................. 30
Principle 7: Natural Resource Management and Biodiversity Enhanced ......................................... 30
Annex 1 - Definitions ............................................................................................................................ 40
Annex 2 Guidance................................................................................................................................. 50

2 P&Cs Introduction
The RSPO P&Cs is applicable for Palm Oil production worldwide.
The RSPO P&Cs covers the most significant environmental and social impacts of palm oil production
and the immediate inputs to production, such as seed, chemicals and water, and social impacts
related to on-farm labour and community relations. The RSPO P&Cs applies to existing plantings, as
well as the planning, siting, development, expansion and new plantings.
Traceability requirements are related to the control of RSPO certified oil palm products in the supply
chain, including flows of RSPO certified oil palm products and associated claims. While the RSPO
Theory of Change recognizes the role of ALL actors responsible for the RSPO impacts, this document
‘Principles and Criteria for the Production of Sustainable Palm Oil’ applies to the production level
only, i.e. the mill and its supply base.
All RSPO members share the responsibility for making sustainable palm oil the norm and have other
mechanisms of accountability. The RSPO Code of Conduct, applicable to all members requires
Members, to whom the P&C do not apply directly, to implement parallel standards relevant to their
own organisation, which cannot be lower than those set out in the P&C (3.2).
To align and harmonize the shared responsibility for impacts, a set of shared requirements have
been identified in this proposed standard, as indicated on table 1 through darker shading. These
ensure a consistent expectation of best practice standards for all RSPO members and pertain to
Transparency, Ethical Conduct, Legality, Human Rights Respected, Workers Rights and Conditions,
Energy Use and GHG emissions.
RSPO’s approach to reducing deforestation (see Criterion 7.13) will in the future be linked to the
RSPO Jurisdictional Certification approach. Future development within High Forest Cover countries
may be considered if it is part of a timebound commitment to a RSPO jurisdictional approach. This
approach would aim to integrate aspects of corporate supply chain commitments on no
deforestation with smallholder and community inclusion.

3 RSPO Vision and Theory of Change

The RSPO Theory of Change (ToC), is a roadmap that demonstrates how RSPO will achieve its vision;
to make sustainable palm oil the norm through the key strategies and activities RSPO will
implement, together with the support of members, partners, and other actors, to trigger the
transformation of the palm oil sector. The strategies are intended to bring about direct outputs in
the form of increased adoption of the RSPO standards, greater transparency and inclusivity in the
RSPO system, increased market uptake of sustainable palm oil, and improved enabling environment.
Over time, these outputs lead to outcomes that are expected to improve the quality of life of oil
palm farmers, create a more prosperous palm oil industry, and enable us to better conserve our
planet and its resources. When the ToC is fully realised, it delivers change where it matters most - on
the ground; a space where oil palm, the environment, and local communities can co-exist in
harmony. It also provides a framework to monitor, evaluate and report on the effects of applying the
RSPO P&Cs. More details on the RSPO Theory of Change.
Effective implementation and more growers’ uptake of the P&Cs leads to the intermediate
outcomes:
• Resource use minimization (soil, water, energy), input use reduction - reduced costs
• Reduced pollution (water, air, GhG)
• Improved risk management - management plans and assessments
• Ecosystems better protected
• Productivity optimized
• Land and use rights respected
• Safe and decent work for all community members
The process for change at RSPO is characterized by a progression of “Mobilize, Act and Transform”.
This is the backbone of the RSPO Theory of Change and underpinned by the concept of shared
responsibility and accountability for results.

Commitment: All the actors commit to their contribution to transforming markets.

Collaboration: Recognizing the need to work together and making that happen: transformation of
markets cannot happen without collaboration.
Accountability: Commitment and collaboration are to be fulfilled with a shared responsibility for
impact. The expectation of partners and members is that they commit to participate and there is
mutual and agreed accountability for results.
4 Outcome Focus
Core objectives of the 2018 RSPO P&C review include:
• incorporating elements of impacts
• making it more relevant and practical particularly by making it metricated (measurable)
• incorporating elements of impacts as prescribed the ‘Theory of Change (ToC)
It is important to keep in mind that it is simply not feasible or meaningful to propose at indicator
level specific measurable outcomes because of many technical and political challenges. From
research and experience of other standards these include:
• Attribution – achieving outcomes is based on a wide range of actions and context, often out
of the control of the grower (weather, market forces, pests)
• Defining globally relevant outcomes
• Favor larger, more resourced growers potentially demotivating small and medium size
growers
• Costs and burden for data reporting systems and management
However, an outcome focused P&Cs can still be achieved. What the restructuring does do is make
very explicit the links between the set of criteria and intended outcomes. Furthermore, a core set
of “reporting indicators” is currently being discussed that could be included into the Management
Principle with continuous improvement in the future. It is the monitoring and analysis that will drive
and support innovation and continuous improvement for growers.
These would not be compliance indicators per se - but reporting on them would be proposed. They
would provide RSPO wide information on results of implementation of P&Cs. It is proposed that
these reporting indicators are a small set of strategic metrics, directly related to the P&Cs and
aligned with the ToC and RSPO organizational Key Performance Indicators (KPIs). They would be
anonymized for analysis, marketing and impact assessment.
The selection criteria include:

• Add value to growers
• Directly linked to P&C requirements
• Key ToC outcomes
• Already required for measuring, monitoring and/or reported

Potential List (already required to be measured, monitored and/or reported)

Yields/land productivity (old 3.1.1)
Hectares identified HCV set aside (old 5.2.1)
Hectares Peat (old 4.3)
GHG emissions (old 5.6) (already reported PalmTrace)
Energy use (old 5.4.1)
Water use per FFB tonne (old 4.4.4)
Lost Time Accident (LTA) metrics (old 4.7.7)
# workers – disaggregated gender/local – (old 6.11.1.) analysis
Training #s (by type?) – (old 4.5, 4.8, 5.2, 5.8, 6.13)
Living wages – (old 6.5)
Human and workers rights- binary
Secure rights to land tenure
Land compensation paid per hectare (old 6.4.3)
Local hires as a proportion of total workforce (old 6.11.1)
SH participation # (old 6.11.2) and type of services (already in ACOP for other members)
# of SH as part of supply base, distinguishing schemed and independent

5 Structure of the P&Cs

The proposed RSPO P&Cs are organized into three impact areas according to the RSPO ToC. The
Principles are slightly modified based on the streamlining and to be more outcome focused.
Impact Goal Prosperity: Competitive, resilient, and sustainable sector

Principle 1 Transparency and ethics
Principle 2. Legal compliance and rights
Principle 3. Planning, procedures and improvement
Impact Goal People: Sustainable Livelihoods & Poverty Reduction

Principle 4. Community Wellbeing
Principle 5. Smallholder Inclusivity
Principle 6. Workers’ rights and conditions
Impact Goal Planet: Conserved, protected and enhanced ecosystems that

provide for the next generation
Principle 7. Environmental Responsibility and Conservation of Natural Resources
and Biodiversity
Role of each standard element:

Term Explanation RSPO standard setting doc Category
Principle Fundamental statements about A fundamental statement about a Normative

a desired outcome desired outcome, often providing
greater detail about the objectives.
Criteria What implementation of the The conditions that need to be met in Normative
principle looks like – the pre- order to fulfil a principle. Criteria add
conditions/a means of judging meaning and operationally to a
whether or not a principle has principle without themselves being
been fulfilled direct measures of performance.
Indicator Variable to measure the The measurable states, which allow Normative
implementation (positive or the assessment of whether or not
negative) associated criteria, are being met.
Indicators convey a single, meaningful
message or piece of information.
Guidance Additional information that Guidance consists of useful Informative
assists with the information to help the grower/miller
understanding, and auditor understand what the
implementation and auditing Criterion and/or Indicators
of the requirement, indicator mean in practice, to indicate good
practice, and practices that should be
followed. (P&C 2013)
Role of Terms and Definitions

Throughout the standard, some terms carry a specific RSPO definition, which is provided in the
Terms and Definitions section of this standard. These definitions are binding elements of criteria and
indicators.

Table 1: Overview of Restructured Outcome Focused P&Cs – darker shaded are proposed SHARED requirements

Impact Goal Prosperity: Competitive, resilient, and sustainable sector

Objectives and outcomes
A sustainable, competitive, and resilient palm oil sector ensures long-term viability of the entire supply chain and shared benefits for both private sector as
well as the livelihoods of communities where palm oil is grown. An effective planning and management system addresses economic viability,
environmental and social compliance and risk, establishes procedures and systems for ensuring conformance to the RSPO P&Cs, and supports continuous
improvement toward sustainable palm oil.
Principle 1 Transparency and ethics

Principle 2. Legal compliance and rights
Principle 3. Planning procedures and improvement
Principle 1: Transparency and Ethics

Putting credible social, environmental and business information in people's hands, enables more informed – and therefore better – decisions. Information
that is relevant, truthful and easily understandable increases credibility and trust.
Criteria Indicators Outcome

Focused
ToC
1.1 (old 1.1) The unit of 1.1.1 (old 1.2.1) Management documents that are specified in the RSPO P&C are made publicly available. Improved risk
certification provides management
adequate information 1.1.2 (old SPG for 1.1.1) Information is provided in appropriate languages and accessible to relevant
to relevant stakeholders stakeholders.
on environmental,
social and legal issues 1.1.3 (old 1.1.2.) Records of requests for information and responses are maintained.
relevant to RSPO
Criteria, in appropriate
1.1.4 (old 6.2.1) Consultation and communication procedures are documented, disclosed, implemented,
languages and forms to
made available, and explained to all relevant stakeholders by a nominated management official.
allow for effective
participation in decision
1.1.5 (old 6.2.3) There is a current list of stakeholders and their nominated representatives.
making.

Criteria Indicators Outcome

Focused
1.2 (old 1.3) The unit of 1.2.1 (old 1.3.1 & 1.3.2): A policy for ethical conduct is in place and implemented in all business operations and Improved risk
certification commits to transactions, including recruitment and third-party contracts. management
ethical conduct in all
business operations and 1.2.2 (old 1.3.3) A system is in place to monitor compliance and the implementation of the policy and overall
transactions. ethical business practice.
Principle 2: Legality
Compliance or obeying laws and regulations ensure responsible behaviour in order to protect people and planet.
Criteria Indicators Restructured Outcome

Focused
ToC
2.1 (old 2.1) There is 2.1.1 (old 2.1.1) The unit of certification complies with relevant legal requirements. Improved risk
management
compliance with all
applicable local, 2.1.2 (old 2.1.2) A documented system for ensuring legal compliance, including by contracted third parties,
national and ratified recruitment agencies, service providers and labour contractors, is implemented. This system has a means to
international laws and track changes to the law.
regulations
2.1.3 (old 2.1.3b) For smallholder sources, including through intermediaries, a progressive time bound plan
toward compliance is developed.
2.1.4 (old 2.2.2) No planting beyond the legally defined area and legal or authorized boundaries are clearly
demarcated and visibly maintained.
2.2 (old 2.X.NEW1) 2.2.1 (old 2.x.1) A list of contracted third-parties is maintained.
Third party contractors
providing operational


Focused
services and supplying 2.2.2 (old 2.x.2) Relevant contracted third parties can demonstrate they comply (mentioned in the contracts)
labour, comply with with legal requirements.
legal requirements.
2.2.3 (old 6.12.4) Clauses against forced and trafficked labour are incorporated in agreements with service
providers and suppliers.
2.3 (old 2.X.NEW2) All 2.3.1 (old 2.1.3) Mills must demonstrate that all FFB sources meet legality requirements.
FFB supplies from
outside the unit of 2.3.2 (old 2.x.New2.1) For all directly sourced FFB, the mill records:
certification are from • (old 2.x.1.1.) Information on geo-location of FFB origins
legal sources. • (old 2.x.1.2.) Proof of the ownership status or the right/claim to the land by the grower/smallholder
• (old 2.x.1.3) Where applicable, valid planting/operating/trading license, or is part of a cooperative which
allows the buying and selling of FFB
2.3.3 (old 2.x.New2.2) For all indirectly sourced third-party FFB, such as collection centres, agents, or other
intermediaries, the evidence as listed in (old) 2.x.1 is provided.

Principle 3: Planning Procedures and Improvement

The overall goal of this principle is to help growers become more professional, by better managing the many social, environmental and agronomics aspects
of their operations. To achieve that, the grower implements a long-term management plan, establishing procedures and systems for ensuring continuous
improvement. As a result, this planning and management system supports optimized productivity and efficiency, positive social impacts, reduced
environmental impact, and an increased resiliency to adapt to change.
Focused
ToC
3.1 (old 3.1) There is 3.1.1 (old 3.1.1) A business or management plan is documented that includes, where appropriate, a business Improved risk
an implemented case for scheme smallholders. management
management plan Productivity
optimised
that aims to achieve 3.1.2 (old 3.1.2) An annual replanting programme projected for a minimum of five years (but longer where
long-term economic necessary to reflect the management of fragile soils, see (old) Criterion 4.3), with yearly review, is available.
and financial
viability. 3.1.3 (old SCCS 5.13.1/5.13.2) The organization is required to hold management reviews at planned intervals
appropriate to the scale and nature of the activities undertaken, including the review of:
• Results of audits
• Customer feedback
• Process performance and product conformity
• Status of preventive and corrective actions
• Follow-up actions from management reviews
• Changes that could affect the management system
• Recommendations for improvement
3.2 (old 8.1) The unit 3.2.1 (old 8.1.1) The action plan for continual improvement are implemented, based on a consideration of the
of certification main social and environmental impacts and opportunities of the grower/mill and include all relevant Indicators
regularly monitors covered by these Principles and Criteria.
and reviews their
activities, and
develops and
implements action
plans that allow


Focused
demonstrable
continual
improvement in key
operations.
3.3 (old 4.1) Operating 3.3.1 (old 4.1.1) Standard Operating Procedures (SOPs) for estates and mills are in place. Improved risk
procedures are management
appropriately 3.3.2 (old 4.1.2) A mechanism to check consistent implementation of procedures is in place.
documented,
consistently 3.3.3 (old 4.1.3) Records of monitoring and any actions taken are maintained and available, as appropriate.
implemented and
monitored.
3.4 (old 5.1 & 6.1) 3.4.1 (old 5.1.1 & 6.1.1) A social and environmental impact assessment (SEIA), undertaken through a Improved risk
Aspects of plantation participatory methodology including the relevant affected stakeholders, including the impacts of any management
and mill management, smallholder/outgrower scheme, is documented. Human
rights upheld
including replanting,
that have 3.4.2 (old 5.1.2 &6.1.3) A management and monitoring plan, including timelines, for avoidance or mitigation of
environmental and negative impacts and enhancement promotion of the positive ones, are developed in participation with the
social impacts are affected parties.
identified in a
participatory way, and 3.4.3 (old 5.1.3) The plan is implemented and adaptive to operational changes.
plans to mitigate the
negative impacts and
promote the positive
ones are made,
implemented and
monitored, to
demonstrate continual
improvement.


Focused
3.5 (old 7.1) For new 3.5.1 (old 7.1.1) An independent social and environmental impact assessment (SEIA), undertaken through a
plantings, a participatory methodology including the relevant affected stakeholders, is documented, including the impacts of
comprehensive and any outgrower scheme.
participatory
independent social and 3.5.2 (old 7.1.2) A management and monitoring plan, including timelines, for avoidance or mitigation of negative
environmental impact impacts and enhancement of the positive ones, are developed in participation with the affected parties.
assessment is
undertaken prior to 3.5.3 The plan is implemented and adaptive to operational changes.
establishing new
operations, or
expanding existing
ones, and the results
incorporated into
planning, management
and operations.
3.6 (old 6.4b) A 3.6.1 (old 6.4b.1) Procedures for recruitment, selection, promotion, retirement and termination of employment Improved risk
system for managing are documented. management
employees is in Safe and
decent work
place. 3.6.2 (old 6.4b.2) A mechanism to check consistent implementation of these procedures is in place and records
are maintained.
3.7 (old 4.7) An 3.7.1 (old 4.7.2) All operations are risk assessed to identify health and safety issues are risk assessed, and Improved risk
occupational health procedures are documented and implemented. management
and safety plan is Safe and
decent work
documented, 3.7.2 (old 4.7.1) The effectiveness of the health and safety plan is monitored, to address health and safety
effectively risks to people and the environment.
communicated and
implemented.
3.8 (old 4.8) All staff, 3.8.1 (old 4.8.1) A documented training programme is in place that is accessible to all workers and scheme Improved risk
workers, scheme smallholders and outgrowers, taking into account gender-specific needs, and that covers all aspects of the management
smallholders, RSPO Principles and Criteria, in a form they understand, and that includes regular assessments of training. Safe and
decent work


Focused
outgrowers, and 3.8.2 (old 4.8.2) Records of training are maintained (where appropriate on an individual basis).
contract workers are
appropriately 3.8.3 (old SCCS 5.8.2) Appropriate training is provided for personnel carrying out the tasks critical to the
trained. effective implementation of the supply chain certification system. Training is specific and relevant to the
task(s) performed.
KEY WORDS for
(NEW/expanded
criteria)
A comprehensive
training program
increases knowledge
and competencies to
carry out work,
understand rights
and to comply with
legal and standard
requirements.

Note for Public Consultation on Incorporation of Supply Chain requirements:

The revision of the P&C for the production of sustainable palm oil is the opportunity to clarify their scope and make the certification process
easier to implement. Consultations with certification bodies and growers have shown interest to incorporate the modules D and E of the
Supply Chain Standard into the P&C which apply to the palm oil mills. In the RSPO system, the certification unit is the palm oil mill and its
supply base, and the certified products are CPO and PK. At the moment, palm oil mills are certified using the P&C and against modules D and E
of the RSPO Supply Chain Standard, which both apply exclusively to palm oil mills.
This is causing confusion for growers and certification bodies, who need to refer to two standards for trainings, for the preparation of their
certification, and in the certification/surveillance audits reports. It also blurs the lines between palm oil mills and other downstream operators,
who are also certified against the RSPO Supply Chain Standard. The incorporation of the modules D and E of the RSPO Supply Chain Standard
(in short here as SCCS) into the P&C will make the scope of the P&C “whole” and simplify the overall certification process.
The text here is taken directly from the RSPO Supply Chain Standard to illustrate how such an integration could look like and has not been
modified, pending internal consultation also with the RSPO Trade and Traceability Standing Committee. At this point therefore, we welcome
comments on the general concept of integration of the supply chain requirements for mills rather than detailed comments on wording.

Focused
NOTE: numbering as per current SCCS standard – would become 3.9 & onwards in revised P&C ToC
Outcome
Documented The site shall have written procedures and/or work instructions to ensure the implementation of all elements Improved risk
procedures of the applicable supply chain model specified. This shall include at minimum the following: management
• Complete and up to date procedures covering the implementation of all the elements of the supply chain
5.3/D3/E3 model requirements.
Complete and up to date records and reports that demonstrate compliance with the supply chain model
requirements (including training records).
• Identification of the role 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 organization’s procedures for the implementation of this standard."
·The site shall have documented procedures for receiving and processing certified and non-certified FFBs.

Explanation (Volume The estimated tonnage of CPO and PK products that could potentially be produced by the certified mill must Improved risk
and product be recorded. management
integrity) The actual tonnage produced shall then be recorded in each subsequent annual surveillance report.
The mill must also meet all registration and reporting requirements for the appropriate supply chain through
D.2, E.2 the RSPO supply chain managing organization (RSPO IT platform or book and claim).
Purchasing Goods In The site shall verify and document the tonnage and sources of certified and the tonnage of non-certified FFBs Improved risk
5.4/D.4.1/E.4.1 received. management
D.4.2/E.4.2 The site shall inform the CB immediately if there is a projected overproduction of certified tonnage.
Outsourcing Sites which include outsourcing activities to independent third parties (e.g. subcontractors for storage, Improved risk
Activities transport or other outsourced activities) within the scope of their RSPO Supply Chain certificate shall ensure management
the following:
5.5/E.5.2 a) The site has legal ownership of all input material to be included in outsourced processes;
b) The site has an agreement or contract covering the outsourced process with each contractor through a
signed and enforceable agreement with the contractor. The onus is on the site to ensure that certification
bodies (CBs) have access to the outsourcing contractor or operation if an audit is deemed necessary.
c) The site has a documented control system with explicit procedures for the outsourced process which is
communicated to the relevant contractor.
d) The site seeking or holding certification shall furthermore ensure (e.g. through contractual arrangements)
that independent third parties engaged provide relevant access for duly accredited CBs to their respective
operations, systems, and any and all information, when this is announced in advance.
e) In cases where a mill outsources activities to an independent (not owned by the same organization) palm
kernel crush, the crush still falls under the responsibility of the mill and does not need to be separately
certified. The mill has to ensure that the crush is covered through a signed and enforceable agreement.
Record keeping 5.9.1 The site maintains accurate, complete, up-to-date and accessible records and reports covering all Improved risk
5.9, D.5.1, E.5.1 aspects of these RSPO Supply Chain Certification requirements. management
5.9.2 Retention times for all records and reports are a minimum of two (2) years and must comply with legal
and regulatory requirements and be able to confirm the certified status of raw materials or products held in
stock.
Merged 5.9.3, D.5.1, E.5.1 The site shall record and balance all receipts of RSPO certified FFB and deliveries of
RSPO certified CPO and PK on a three-monthly basis.
MB only: All volumes of palm oil and palm kernel oil that are delivered are deducted from the material
accounting system according to conversion ratios stated by RSPO.

MB only: The site can only deliver Mass Balance sales from a positive stock. Positive stock can include product
ordered for delivery within three months. However, a site is allowed to sell short.(ie product can be sold
before it is in stock.)
Conversion Factors 5.10.1 Where applicable a conversion rate must be applied to provide a reliable estimate for the amount of Improved risk
5.10 certified output available from the associated inputs. Organizations may determine and set their own conversion management
rates which must be based upon past experience, documented and applied consistently. Guidance on conversion
rates is published on the RSPO website (www.rspo.org).
5.10.2 Conversion rates are periodically tested to ensure accuracy against actual performance or industry
average if appropriate.
Processing IP only: The site assures and verifies through documented procedures and record keeping that the RSPO certified Improved risk
D.7 oil palm product is kept segregated from non-certified material including during transport and storage management
IP only: The objective is for 100 % segregated material to be reached.

Sales and goods out 5.7.1 The organization ensures that the following minimum information for RSPO certified products is made Improved risk
5.7 available in document form. Information must be complete and can be presented either on a single document or management
across a range of documents issued for RSPO certified oil palm products (for example, delivery notes, shipping
documents and specification documentation):The name and address of the buyer;
• The name and address of the seller;
• The loading or delivery date;
• The date on which the documents were issued;
• A description of the product, including the applicable supply chain model (Identity Preserved, Segregated or
Mass Balance or the approved abbreviations);
• The quantity of the products delivered;
• Any related transport documentation;
• Supply chain certificate number;
• A unique identification number.
Claims 5.11.1 The site only make claims regarding the use of or support of RSPO certified oil palm products that are in Improved risk
5.11 compliance with the RSPO rules on communications and claims. management

Impact Goal People: Sustainable Livelihoods & Poverty Reduction

Human Rights Protected, Respected & Remedied. The palm oil sector contributes to reducing poverty and palm oil production is a source of a sustainable
livelihoods. Human rights are respected. People participate in processes that affect them with shared access and benefits. Everyone engaged in palm oil
production has equal opportunities to fulfill their potential in work and community with dignity and equality and in a healthy working and living
environment
Principle 4 Community Wellbeing

Principle 5: Smallholder Inclusivity
Principle 6: Workers rights and conditions
Principle 4 Community Rights and Benefits

Community rights are respected, equal opportunities are provided, benefits from engagement in palm oil are maximized and remedy ensured.

Focused
ToC
4.1 (old 6.13) The unit 4.1.1 (old 6.13.1) A policy to respect human rights, including prohibiting retaliation against Human Rights Human rights
of certification respects upheld
Defenders, is documented and communicated to all levels of the workforce, operations and local
human rights, which communities.
includes respecting the
rights of Human Rights
Defenders. 4.1.2 (old 6.13.x) Company policy prohibits extra-judicial intimidation and harassment by contracted security
forces.
4.2 (old 6.3) There is a 4.2.1 (old 6.3.1) The system, open to all affected parties, resolves disputes in an effective, timely and
mutually agreed and appropriate manner, ensuring anonymity of complainants, human rights defenders, community
documented system for spokespersons and whistleblowers, where requested and following RSPO protocol on the respect of human
dealing with complaints rights defenders.
and grievances, which is
implemented and

accepted by all affected 4.2.2 (old 6.3.6) An adequate and effective grievance/ complaint mechanism is established through which
parties affected parties can confidentially communicate grievances or complaints without risk of reprisal or
intimidation is established, documented and communicated.
4.2.3 (old 6.3.3) Procedures are in place to ensure that the system is understood by the affected parties,
including by illiterate parties.
4.2.4 (old 6.3.4) Companies keep parties to a grievance informed of its progress, including against agreed
timeframe and the outcome is available.
4.2.5 (old 6.3.5) The conflict resolution mechanism includes the option of access to independent legal and
technical advice, the ability for complainants to choose individuals or groups to support them and/or act as
observers, as well as the option of a third-party mediator.
4.3 (old 6.11) The unit 4.3.1 (old 6.11.1) Contributions to community development that are based on the results of consultation with
of certification local communities are demonstrated.
contributes to local
sustainable
development where
appropriate.
LAND USE - FPIC 4.4.1 (old 2.2.1) Documents showing legal ownership or lease, or authorized use of customary land authorized
by customary land owners through a Free, Prior and Informed Consent (FPIC) process (see Criterion 2.3). The
4.4 (old 2.3) Use of the documents related to the history of land tenure and the actual legal or customary use of the land is available.
land for oil palm does
not diminish the legal,
4.4.2 (old 2.2.2 & SPG) There is no planting beyond the legally defined area and legal or authorized boundaries
customary or user rights
of other users without are clearly demarcated and visibly maintained.
their free, prior and
informed consent. 4.4.3 (old 2.3.2) Copies of negotiated agreements detailing the FPIC process are available and include:
a) Evidence that a plan has been developed through consultation and discussion in good faith with all affected
groups in the communities, with particular assurance that vulnerable, minorities and gender groups are
consulted, and that information has been provided to all affected groups, including information on the steps
that are taken to involve them in decision making;

b) Evidence that the company has respected communities’ decisions to give or withhold their consent to the
operation at the time that this decision was taken;
c) Evidence that the legal, economic, environmental and social implications for permitting operations on their
land have been understood and accepted by affected communities, including the implications for the legal
status of their land at the expiry of the company’s title, concession or lease on the land.
4.4.4 (old 2.3.1) Maps of an appropriate scale showing the extent of recognised legal, customary or user rights
are developed through participatory mapping involving affected parties (including neighbouring communities
where applicable, and relevant authorities).
4.4.5 (old 2.3.3) All relevant information is available in appropriate forms and languages, including
assessments of impacts, proposed benefit sharing, and legal arrangements.
4.4.6 (old 2.3.4) Evidence is available to show that communities are represented through institutions or
representatives of their own choosing, including by legal counsel if they so choose.
4.4.7 (old 2.3.5) There is evidence that implementation of FPIC agreements is annually reviewed.
LAND USE FPIC - FOR 4.5.1 (old 7.6.1) Documents showing identification and assessment of demonstrable legal, customary and user
NEW PLANTINGS rights are available.
4.5 (old 7.5) No new 4.5.2 (old 7.5.1) Evidence is available that affected local peoples understand they have the right to say ‘no’ to
plantings are operations planned on their lands before and during initial discussions, during the stage of information
established on local gathering and associated consultations, during negotiations, and up until an agreement with the
peoples’ land where it
grower/miller is signed and ratified by these local peoples.
can be demonstrated
that there are legal,
customary or user 4.5.3 (old 7.5.2) FPIC is obtained for all oil palm development through a comprehensive process, including, in
rights, without their particular, full respect for their legal and customary rights to the territories, lands and resources via local
free, prior and informed communities’ own representative institutions, with all the relevant information and documents made
consent. This is dealt available, with option of resourced access to independent advice through a documented, long-term, two-way
with through a

documented system process of consultation and negotiation where the communities are informed and understand that saying no
that enables these and to development is an option and not constrained by local legal frameworks.
other stakeholders to
express their views
4.5.4 (old 7.5.3) To ensure local food security, as part of the FPIC process, participatory SIA and participatory
through their own
representative land-use planning with local peoples, the full range of food provisioning options are considered. There is
institutions. transparency of the land allocation process.
4.5.5 (old 7.6.6) Evidence is available that the affected communities and rights holders have had the option to
access to information and advice, that is independent of the project proponent, concerning the legal,
economic, environmental and social implications of the proposed operations on their lands.
4.5.6 (old SPG for 7.6.6): Evidence is available that the communities (or their representatives) gave consent to
the initial planning phases of the operations prior to the new issuance of a concession or land title to the
operator.
4.5.7 (old 7.6.7) New lands will not be acquired for plantations and mills in or after [2018] as a result of recent
(2005 or later) expropriations in the national interest without consent (eminent domain).
4.5.8 (old 7.6.8) New lands are not acquired in areas inhabited by communities in voluntary isolation.
LAND USE - 4.6.1 (old 6.4.1) A procedure for identifying legal, customary or user rights, and a procedure for identifying
COMPENSATION people entitled to compensation, is in place.
4.6 (old 6.4) Any 4.6.2 (old 6.4.2) A procedure for calculating and distributing fair and gender-equal compensation (monetary or
negotiations concerning otherwise) is established and implemented, monitored and evaluated in a participatory way, and corrective
compensation for loss actions taken as a result of this evaluation.
of legal, customary or
user rights are dealt
4.6.3 (old SPG from 6.4.2) Evidence is available that best efforts are made to ensure that equal opportunities are
with through a
provided to both female and male heads of households to hold land titles for small holdings schemes.
documented system
that enables indigenous

peoples, local 4.6.4 (old 6.4.3) The process and outcome of any negotiated agreements and compensation claims is
communities and other documented, with evidence of the participation of affected parties, and made publicly available.
stakeholders to express
their views through
their own
representative
institutions.
LAND USE 4.7.1 (old 7.6.2) A system for identifying people entitled to compensation is in place.
COMPENSATION -NEW
PLANTINGS 4.7.2 (old 7.6.3) A system for calculating and distributing fair compensation (monetary or otherwise) is in
place.
4.7 (old 7.6) Where it
can be demonstrated 4.7.3 (old 7.6.5) The process and outcome of any compensation claims is documented and made publicly
that local peoples have available.
legal, customary or user
rights, they are 4.7.4 (old 7.6.4) Communities that have lost access and rights to land for plantation expansion are given
compensated for any opportunities to benefit from plantation development.
agreed land acquisitions
and relinquishment of
rights, subject to their
free, prior and informed
consent and negotiated
agreements.
LAND USE - CONFLICT 4.8.1 (old 2.2.3) Where there are or have been disputes, additional proof of legal acquisition of title and
evidence that fair compensation has been made to previous owners and occupants is available, and that these
4.8 (old 2.2) The right to have been accepted with free, prior and informed consent (FPIC).
use the land is
demonstrated, and is 4.8.2 (old 2.2.4) There is an absence of land conflict, unless requirements for acceptable conflict resolution
not legitimately processes (see Criteria 6.3 and 6.4) are implemented and accepted by the parties involved. In the case of newly
contested by local acquired plantations, companies address any unresolved conflict.

people who can

demonstrate that they 4.8.3 (old SPG from 2.2.4) Where there is evidence of acquisition through dispossession or forced
have legal, customary or abandonment of customary and user rights prior to the current operations and there remain parties with
user rights. customary and land use rights, these historical claims will be settled using the relevant requirements (old refs
2.3.1, 2.3.2, and 2.3.3).
4.8.4 (old 2.2.5) For any conflict or dispute over the land, the extent of the disputed area is mapped out in a
participatory way with involvement of affected parties (including neighbouring communities where
applicable).
4.8.5 (old 2.2.6 & SPG) Palm oil operators do not instigate violence or use any form of harassment, including
the use of mercenaries and para-militaries in their operations.
Principle 5: Smallholder Inclusivity

Smallholders are important players in achieving the RSPO Vision and a key strategy in the ToC. SH also face challenges, such as low productivity, soil quality,
lack of agricultural and business skills, lack of access to finance, climate change, food insecurity, and unequal bargaining positions that make smallholders
struggle to make a decent living.
Through inclusion in RSPO supply chains, we see smallholders prosper, become sustainable, and contribute to the improved livelihoods of their families and
the surrounding communities. In turn, these smallholders are stronger partners and enable more secure and stable supply chains. This is enabled through
Fair and Transparent Relations and support from growers and mills and the rest of the supply chain.

Focus
ToC
5.1 (old 6.10) The unit of 5.1.1 (old 6.10.1) Current and past prices paid for Fresh Fruit Bunches (FFB) are publicly available.
certification deals fairly
and transparently with 5.1.2 (old 6.10.2) Evidence is available that growers/millers have explained FFB pricing, and pricing
smallholders and other mechanisms for FFB and inputs/services are documented (where these are under the control of the unit of
local businesses. certification).


Focus
5.1.3 (old 6.10.3) Evidence is available that all parties understand the contractual agreements into which
they enter, and that contracts are fair, legal and transparent.
5.1.4 (old 6.10.4) Agreed payments are made in a timely manner.
5.1.5 If a company supports a group of independent smallholders with certification there is a clear
agreement between the company and the smallholder on who runs the ICS, who holds the certificates, and
who holds and sells the certified material. If this is in context of RSPO Group Certification, then RSPO
certification requirements apply.
5.2 The Unit of 5.2.1 (old 6.11.2) Based on consultation, companies develop, implement, and regularly review, outreach
certification supports programmes of support directed at all smallholders (irrespective of type) in the supply base that will
improved livelihoods of enhance productivity and yields, and support their competencies (entrepreneurial, managerial), market
smallholders. access, and legality, as mutually agreed.
Principle 6: Workers rights and conditions

Protecting workers rights and ensuring safe and decent working conditions

Focused
ToC
6.1 (old 6.8) Any form of 6.1.1 (old 6.8.1) A publicly available non-discrimination policy is implemented in such a way to prevent Human
discrimination is discrimination based on ethnic origin, caste, national origin, religion, disability, gender, sexual orientation, Rights
prohibited. gender identity, union membership, political affiliation, or age, and equal opportunities policy upheld,
Safe and
Decent
Work

6.1.2 (old 6.8.2) Evidence is provided that employees and groups including local communities, women, and
migrant workers have not been discriminated against. Evidence includes migrant workers' non-payment of
recruitment fees
6.1.3 (old 6.8.3) It demonstrates that recruitment selection, hiring, access to training and promotion are based
on skills, capabilities, qualities, and medical fitness necessary for the jobs available.
6.1.4 (old 6.8.4) Pregnancy testing is not conducted as a discriminatory measure and is only permissible when it
is legally mandated. Alternative equivalent employment is offered for pregnant women.
6.1.5 (old 6.8.5) A gender committee is in place specifically to raise awareness, identify and address issues of
concern; opportunities and improvements for women.
6.1.6 (old 6.8.6) There is evidence of equal pay for the same work scope.
6.2 (old 6.5) Pay and 6.2.1 (old 6.5.1) Applicable labour laws, union and/or other collective agreements and documentation of pay Human
conditions for employees and conditions are available to the workers in national languages and explained to the workers in language Rights
and for contract workers they understand. upheld,
always meet at least legal Safe and
Decent
or industry minimum 6.2.2 (old 6.5.2) Employment contracts and related documents detailing payments and conditions of Work
standards and are employment (e.g. regular working hours, deductions, overtime, sick leave, holiday entitlement, maternity
sufficient to provide leave, reasons for dismissal, period of notice, etc. in compliance with national legal requirements) and
decent living wages. payroll documents give accurate information on compensation for all work performed, including such work
as done by family members.
6.2.3 (old 6.5.3) There is evidence of legal compliance for regular working hours, deductions, overtime,
sickness, holiday entitlement, maternity leave, reasons for dismissal, period of notice and other legal labour
requirements.
6.2.4 (old 6.5.4) The unit of certification provides adequate housing, water supplies, medical, educational
and welfare amenities to national standards or above, where no such public facilities are available or
accessible.

National laws, or in their absence the ILO Guidance on Workers’ Housing Recommendation No. 115, are
used. In the case of acquisitions of non-certified units, a plan is developed detailing the upgrade of
infrastructure with a reasonable time (5 years) is allowed to upgrade the infrastructure.
6.2.5 (old 6.5.5) The unit of certification makes efforts to improve workers' access to adequate, sufficient and
affordable food.
6.2.6 (old 6.5.6) A decent living wage is being paid to all workers, including those on piece rate/quotas, for
whom the calculation are based on achievable quotas during regular work hours.
6.2.7 (old 6.5.7) Permanent, full-time employment is used for all core work performed by the company.
Casual, temporary and day labour is limited to jobs that are temporary or seasonal or explicitly requested as
such by workers.
6.3 (old 6.6) The 6.3.1 (old 6.6.1) A published statement recognising freedom of association and right to collective bargaining in Human
employer respects the national languages is available and is explained to all workers in languages that they understand. Rights
rights of all personnel to upheld,
form and join trade 6.3.2 (old 6.6.2) Minutes of meetings between the company with main trade unions or workers Safe and
Decent
unions of their choice and representatives, who are freely elected, are documented.
Work
to bargain collectively.
Where the right to 6.3.3 (old 6.6.3) Evidence is provided that company has recognized the Freedom of Association and the right to
freedom of association collective bargaining
and collective bargaining
are restricted under law, 6.3.4 (old 6.6.4) Management does not interfere with the formation or operation of registered unions/ labour
the employer facilitates organisations or associations, or other freely elected representatives for all workers including migrant and
parallel means of contract workers.
independent and free
association and
bargaining for all such
personnel.

6.4 (old 6.7) Children are 6.4.1 (old 6.7.1) A formal policy for the protection of children, including prohibition of child labour and Human
not employed or remediation is in place, and included into service contracts and supplier agreements. Rights
exploited. upheld,
6.4.2 (old 6.7.2) There is evidence that minimum age requirements are met. Personnel files show that all Safe and
Decent
workers are above the national minimum age or above company policy minimum age, whichever is higher.
Work
There is a documented age screening verification procedure.
6.4.3 (old 6.7.3) Young workers may be employed only for non-hazardous work, with protective restrictions in
place for that work.
6.4.4 (old 6.7.4) Growers demonstrate communication on no child labour policy and the negative effects of
child labour, and promote child protection to supervisors and other key staff and smallholders and
communities, where workers live and FFB suppliers.
6.5 (old 6.9) There is no 6.5.1 (old 6.9.1) A policy to prevent sexual and all other forms of harassment and violence is implemented and Human
harassment or abuse in communicated to all levels of the workforce. Rights
the work place, and upheld,
reproductive rights are 6.5.2 (old 6.9.2) A policy to protect the reproductive rights of all, especially of women, is implemented and Safe and
Decent
protected. communicated to all levels of the workforce.
Work
6.5.3 (from SPG for 6.9.2) Adequate space and paid breaks are provided to enable mothers to breastfeed or
express and store breastmilk with privacy.
6.5.4 (old 6.9.3) A specific grievance mechanism which respects anonymity and protects complainants where
requested is established, implemented, and communicated to all levels of the workforce.
6.6 (old 6.12) No forms 6.6.1 (old 6.12.1) All work is voluntary and following are prohibited: Human
of forced or trafficked • Retention of identity documents or passports without consent. Rights
labour are used. upheld,
• Payment of recruitment fees.
Safe and
• Contract substitution.
Decent
• Involuntary overtime Work
• Lack of freedom of workers to resign
• Penalty for termination of employment
• Debt bondage
• Withholding of wages (in accordance with the national law).

6.6.2 (old 6.12.3) Where temporary or migrant workers are employed, a specific labour policy and
procedures are established and implemented.
6.7 (old 4.7) An 6.7.1 (old 4.7.4) The responsible person/persons for H&S is identified. There are records of regular meetings Safe and
occupational health and between the responsible person/s and workers. Concerns of all parties about health, safety and welfare are Decent
safety plan is discussed at these meetings, and any issues raised are be recorded. Work
documented, effectively
communicated and 6.7.2 (old 4.7.5) Accident and emergency procedures are in place and instructions are clearly understood by all
implemented. workers. Accident procedures are available in the appropriate language of the workforce. Assigned operatives
trained in First Aid are present in both field and other operations, and first aid equipment is available at
worksites. Records of all accidents are kept and periodically reviewed.
6.7.3 (old 4.7.3 & SPG) Adequate and appropriate protective equipment is available free of charge to all
workers at the place of work to cover all potentially hazardous operations, such as pesticide application,
machine operations, and land preparation, harvesting and, if it is used, burning. Sanitation facilities for those
applying pesticides are available, so that workers can change out of PPE, wash and put on their personal
clothing.
6.7.4 (old 4.7.6) All workers are provided with medical care and covered by accident insurance. Costs incurred
from work-related incidents leading to injury or sickness are covered by the company.
6.7.5 (old 4.7.7) Occupational injuries are recorded using Lost Time Accident (LTA) metrics.

Impact Goal Planet: Conserved, protected and enhanced ecosystems that provide for the next
generation
Ecosystems and their services are protected, restored, and resilient including through sustainable consumption and production and sustainable
management of natural resources [sustainably manage forests, combat desertification, halt and reverse land degradation, halt biodiversity loss (SDG 15)].
Climate change is addressed through continuous GHG reductions and air and water pollution are controlled. much greater resiliency in our food and fiber
production. We’ll also have cleaner water and air, and we can draw carbon out of the air to regenerate our soils for current and future generations.
decrease our inputs while maintaining, and even improving, yield. And at the same time, our soil is improving with each passing season
Principle 7: Natural Resource Management and Biodiversity Enhanced

The Environment is protected, natural resources are well managed, and biodiversity is conserved.

Focused
ToC
7.1 (old 4.5) Pests, 7.1.1 (old 4.5.1) Integrated Pest Management (IPM) plans are implemented and monitored. Resource Use
diseases, weeds and Minimised,
invasive introduced 7.1.2 (old 4.5.4 NEW) Species referenced in the Global Invasive Species Database are not to be used in pollution and
species are effectively managed areas, unless plans to prevent their spread are implemented. productivity
managed using
appropriate Integrated 7.1.3 (old 4.5.3) There is no use of fire for pest control unless in exceptional circumstances and with prior
Pest Management approval of government authorities. [For NI to define process].
techniques.
7.2 (old 4.6) Pesticides 7.2.1 (old 4.6.1) Justification of all pesticides used is demonstrated. The use of selective products that are Resource Use
are used in ways that do specific to the target pest, weed or disease and which have minimal effect on non-target species are used Minimised,
not endanger health or where available. Reduced
the environment. Pollution
7.2.2 (old 4.6.2) Records of pesticides use (including active ingredients used and their LD50, area treated,
amount of active ingredients applied per ha and number of applications) are provided.

7.2.3 (old 4.6.3) Any use of pesticides is minimized as part of a plan, and in accordance with Integrated Pest
Management (IPM) plans. There is no prophylactic use of pesticides, except in specific situations identified in
national Best Practice guidelines.
7.2.4 (old 4.6.4) Pesticides that are categorised as World Health Organisation Class 1A or 1B, or that are listed
by the Stockholm or Rotterdam Conventions, and paraquat, are not used, except in specific situations validated
by a due diligence process, or when indicated by government authorities for pest outbreaks.
The due diligence has to refer to:
a) judgment of the threat and verify why this is a major threat
b) why there is no other alternative which can be used
c) which process was applied to verify why there is no other less hazardous alternative
d) what is the process to limit the negative impacts of the application
e) estimation of the timescale of the application and steps taken to limit application to the specific outbreak.
7.2.5 (old 4.6.5) Pesticides are only be handled, used or applied by persons who have completed the
necessary training and are always be applied in accordance with the product label. All precautions attached
to the products are properly observed, applied, and understood by workers (see Criterion 4.7).
7.2.6 (old 4.6.6) Storage of all pesticides is according to recognised best practices. All pesticide containers are
properly disposed of and/or handled responsibly if used for other purposes.
7.2.7 (old 4.6.8) Pesticides are applied aerially only where there is documented justification. Communities
are informed of impending aerial pesticide applications with all relevant information within reasonable time
prior to application.
7.2.8 (old 4.6.9) Maintenance of employee and associated smallholder knowledge and skills on pesticide
handling is demonstrated, including provision of appropriate information materials.
7.2.9 (old 4.6.11) Specific annual medical surveillance for pesticide operators, and documented action to treat
related health conditions, is demonstrated.
7.2.10 (old 4.6.12) No work with pesticides is undertaken by young persons, pregnant or breast-feeding women
or other people that have medical restrictions and they are offered alternative equivalent work.

7.3 (old 5.3) Waste is 7.3.1 (old 5.3.3) A waste management plan which includes reduction, recycling, reusing, and disposal based on Resource
toxicity and hazardous characteristics, is documented and implemented Use
reduced, recycled, re-
Minimised,
used and disposed of Reduced
in an environmentally 7.3.2 (old 4.6.10) Proper disposal of waste material, according to procedures that are fully understood by
pollution
workers and managers, is demonstrated.
and socially
responsible manner.
7.4 (old 4.2) Practices 7.4.1 (old 4.2.1) Good agriculture practices, as contained in Standard Operating Procedures (SOPs), are Resource Use
followed to manage soil quality to optimise yield. Minimised,
maintain soil fertility
Reduced
at, or where possible pollution and
7.4.2 (old 4.2.3) Periodic tissue and soil sampling is carried out to monitor and manage changes in soil quality
improve soil fertility productivity
and plant health.
to, a level that ensures optimised
optimal and sustained 7.4.3 (old 4.2.4) A nutrient recycling strategy is in place and may include use of Empty Fruit Bunches (EFB), Palm
yield. Oil Mill Effluent (POME), and palm residues after replanting.
7.4.4 (old 4.2.2) Records of fertiliser inputs are maintained.

7.5 (old 4.3a) Practices 7.5.1 (old 4.3a.1) Maps identifying marginal and fragile soils, including steep slopes, are available. Reduced
pollution
minimise and control
Ecosystems
erosion and 7.5.2 (old 4.3a.2) A management plan is developed and implemented to minimize and control erosion and
protected and
degradation of soils. degradation of soil, with specific attention to slopes and roads. Where marginal soils (e.g. sandy, low organic
productivity
matter, acid sulphate and alkaline soils) are planted, the plan includes measures to manage them.
optimised
7.6 (old 7.2) Soil 7.6.1 (old 7.2.1) To demonstrate the long-term suitability of land for palm oil cultivation, soil maps or soil Resource Use
surveys identifying marginal and fragile soils, including steep slopes, are taken into account in plans and Minimised,
surveys and
operations. Reduced
topographic pollution,
information are used Ecosystems
7.6.2 (old 7.2.2) Soil surveys and topographic information guide the planning of drainage and irrigation
for site planning in the systems, roads and other infrastructure.
protected
establishment of new
plantings, and the
results are

incorporated into
plans and operations.
7.7 (old 7.4a) Extensive 7.7.1 (old 7.4.1) There is no planting on steep slopes. Resource Use
Minimised,
planting on steep
7.7.2 (old 7.4.2) Where limited planting on fragile and marginal soils is proposed, plans are developed and Reduced
terrain, and/or pollution,
implemented to protect them without incurring adverse impacts.
marginal and fragile Ecosystems
soils, is avoided. [Note: consistency check needed in language between criterion and indicator]
protected
7.8 (old 4.3b & 7.4b) 7.8.1 (old 7.4b.1) There is no new planting on peat (after GA+1). Reduced
pollution
No new planting on
7.8.2 (old 4.3b.1) Peat soils within the managed areas are inventorised, documented and reported to RSPO Ecosystems
peat, regardless of protected
Secretariat.
depth (after GA+1D) productivity
and all peatlands are 7.8.3 (old 4.3b2) Subsidence of peat soils is monitored, documented and minimized; and a documented water
optimised
managed responsibly. and ground cover management programme is in place.
7.8.4 (old 4.3b.3) Drainability assessments are undertaken in line with the RSPO Drainability Assessment
Procedure prior to replanting on peat and the result is used to determine the long-term viability of the
necessary drainage for oil palm growing or whether the oil palm needs to be replaced with alternative, more
water tolerant, crops or rehabilitated with natural vegetation.
7.8.5 (old 4.3b.4) All existing planting on peat within the managed is managed at least to the standard in the
‘RSPO Manual on Best Management Practices (BMPs) for existing oil palm cultivation on peat’, version 2,
revised xx 2018
7.8.6 (old 4.3b.4 partially) All areas of undeveloped peatlands in the managed area (regardless of depth) are
protected; new drainage, road building and power lines on peat soils is prohibited; and peatlands are
managed at least to the standard in the RSPO Best Management Practices for Management and
Rehabilitation of Natural Vegetation associated with Oil Palm cultivation on Peat ("BMP") - version 2, xx
2018).

7.9 (old 4.4) Practices 7.9.1 (old 4.4.1 & SPG) An implemented water management plan is in place to promote more efficient use and Resource Use
maintain the quality and continued availability of water sources and to avoid negative impacts on other users in the catchment including Minimised,
availability of surface and contamination of surface or ground water as well as aim to ensure communities and workers have adequate Reduced
ground water. access to clean water sources. pollution,
Ecosystems
protected
7.9.2 (old 4.4.2) Water courses and wetlands are protected, including maintaining and restoring appropriate
riparian and other buffer zones in line with RSPO BMP for Management of Riparian Reserve).
7.9.3 (old 4.4.3) Mill effluent is treated to required levels and regular monitoring of discharge quality, especially
Biochemical Oxygen Demand (BOD), is in compliance with national regulations.
7.9.4 (old 4.4.4) Mill water use per tonne of Fresh Fruit Bunches (FFB) is monitored.
7.10 (old 5.4) 7.10.1 (old 5.4.1) A plan for improving efficiency of the use of fossil fuels and to optimise renewable energy Resource
Use
Efficiency of fossil fuel is in place and monitored.
Minimised,
use and the use of Reduced
renewable energy is pollution,
optimised. Ecosystems
protected
7.11 (old 5.6 & 7.8) 7.11.1 (old 5.6.1) Greenhouse gas (GHG) emissions are identified and assessed. Plans to reduce or minimise
Plans to reduce them are implemented, monitored through the Palm GHG calculator and publicly reported.
pollution and
emissions, including 7.11.2 (old 7.8.1 & 7.8.2) Starting 2014, the carbon stock of the proposed development area and major
greenhouse gases, are potential sources of emissions that may result directly from the development are estimated and a plan to
developed, minimize them prepared and implemented (following the RSPO GHG Assessment Procedure for New
implemented and Development).
monitored and new
developments are 7.11.3 (old 5.6.2) Other significant pollutants are identified, and plans to reduce or minimize them
designed to minimize implemented.
GHG emissions.

7.12 (old 5.5 & 7.7) 7.12.1 (old 5.5.1) Land for new planting or replanting is not prepared by burning. Reduced
Fire is not used for pollution,
preparing land and is Ecosystems
7.12.2 (old 5.5.2) Growers should establish fire prevention and control measures for the managed area protected
prevented in the
including engagement with adjacent stakeholders.
managed area.
Note for public consultation for 7.13
A formal RSPO No Deforestation Task Force/Working Group will be constituted to oversee implementation of the RSPO No-deforestation work including:
• Review use of High Carbon Stock Approach (HCSA) toolkit and associated procedures in countries with fragmented tropical moist forest
landscapes, including
o Propose governance processes
o Feedback and lessons from initial application
• Oversee implementation of the RSPO High Forest Cover (HFC) procedure and review where it may be applied.
• Defining rules for local community and legacy case eligibility
• Review experience in implementing RSPO HFC procedure and make adjustments as necessary.
• Provide guidance on capacity development and procedures to address non-compliances.
• Monitor and report on progress implementation of the RSPO No-deforestation work
• Guidance on implementation, audit checklists and cross link with current best practice
• Guidance on landscape level application (in alignment with Jurisdictional certification approach)
• Identification of changes needed to the New Planting Procedure (NPP) to incorporate Criterion 7.13
• Development of procedures to address non-conformities.
Review: The effectiveness of guidance and methodology to be reviewed 2 years after adoption.

Preamble for 7.13:

The RSPO Criterion 7.13 integrates previous Criteria 5.2 and 7.3 and aims to balance the need for development, poverty alleviation and community
livelihoods in high forest cover (HFC) countries; with the aim to reduce deforestation in high carbon stock forests.
There will be monitoring and a review of the impacts of implementation of Criterion 7.13 within 2 years of endorsement of the P&C (Nov 2018).
A timebound limit on the application of 7.13.2.2 and 7.13.2.3 may also be needed.
Criterion 7.13 New 7.13.1 For existing plantations and NPPs submitted prior to Nov 2018, a comprehensive HCV assessment,
plantings do not cause including stakeholder consultation is conducted following the RSPO endorsed procedures and taking into
deforestation or replace account wider landscape-level considerations.
any area required to
maintain or enhance High 7.13.2 For NPPs submitted after Nov 2018, high carbon stock forests and high conservation values are
Conservation Values identified through an integrated RSPO endorsed methodology, as follows:
(HCVs). High conservation 7.13.2.1 The High Carbon Stock Approach (HCSA) Toolkit and the Integrated HCV-HCSA Assessment
values and high carbon Manual (November 2017 or updated version) are used.
stock forests in the 7.13.2.2 In high forest cover (HFC) landscapes in HFC countries, only local communities are eligible to
managed area are conduct limited development in accordance with the RSPO HFC procedure. [See note for public
identified, maintained consultation above.]
and enhanced. 7.13.2.3 In HFC landscapes in HFC countries legacy cases will be reviewed based on RSPO HFC
procedure. [See note for public consultation above.]
7.13.3 New plantings since 2005 do not replace primary forest or any area required to maintain or enhance
HCVs and new plantings after 2018 do not replace high carbon stock forests. A historic land use change analysis
is conducted prior to any new plantings as part of NPP, in accordance with the RSPO Land Use Change Analysis
(LUCA) guidance document.
7.13.4 Where there has been land clearing without prior HCV assessment since November 2005, the
Remediation and Compensation Procedure (RaCP) applies.
7.13.5 Where HCV, HCS and other set-aside areas have been identified, an integrated management plan to
maintain and/or enhance them is developed and implemented, monitored and reviewed regularly through a
participatory approach, to include the managed area and relevant wider landscape level considerations in
consultation with relevant stakeholders.

7.13.6 Where existing rights of local communities have been identified in HCV, HCS and other set-asides, there
is evidence of a negotiated agreement that optimally safeguards both the HCVs and these rights.
7.13.7 The implementation of the management plan is regularly monitored and reviewed, including
documentation of the status of HCVs, HCS, peatland areas and RTE species. Outcomes of monitoring are fed
back into the management plan.
7.13.8 Land preparation only commences after approval of the NPP notice of completion.
Proposed definition:
HFC countries: Defined using the RSPO procedure [>60% forest cover, <1% oil palm of total land area using the most up-to-date forest cover
data, historically low but increasing deforestation trajectory, known palm frontier area] currently including Democratic Republic of Congo,
Gabon, Liberia, Papua New Guinea, Peru, Republic of Congo and Solomon Islands.2
West Papua and Papua provinces in Indonesia are also included on a provisional basis given the current business as usual deforestation
trajectory, as a way of allowing the RSPO to influence a transition to an alternative development pathway that safeguards forests and stops
deforestation as soon as possible.
Local community land: land where indigenous peoples or local communities (as defined in P&C 2013) legally own or have customary rights
to the land.
Legacy cases: lands directly owned or controlled by an RSPO member at the date of endorsement of this standard [GA 2018] where an on-
going RSPO process for new development can be demonstrated and registered with RSPO within 6 months of the endorsement date.
Proposed guiding principles for implementation:

These guiding principles will be fully developed into comprehensive guidelines by the RSPO HFC Working Group prior to November 2018.
Local community lands
2
NOTE: Following further analysis of more accurate forest statistics after the 5th RSPO Task Force meeting, it is suggested that Peru should be removed from this list on the
basis of its forest cover being less than 60%; and Myanmar added due to its high forest cover and potential as an oil palm frontier.

In local community lands in HFC landscapes in HFC countries, development must be initiated only by the local community. Companies
working in these areas must work in collaboration with the local community. Local communities will continue to own and maintain their
right to manage the land; development may be assisted by a company under the following conditions:
• There must be demonstrable benefits to the local community.
• Clear recognition of legal and customary lands by the company, based on participatory land use planning
• HCVs and HCS forests are identified and there is a process of FPIC
• Medium Density Forest and High Density Forest vegetation classes are not converted for new plantings [using HCSA classes]
• Development and implementation of an integrated conservation and land use plan (using RSPO methodology drawing on HCSA Toolkit)
that ensures a develop:conserve ratio of at least 1:1 and the maintenance of areas for community livelihoods and food security.
• Clear and documented participation of communities in the development and implementation of a mutually-agreed integrated
conservation and land use plan
• Local food security is assured
• There is a welfare baseline and projection of alternative sources of income, showing predicted gains from palm oil development
compared to the alternatives
• Carbon neutrality
• All HCVs and other conservation areas are managed and maintained in line with the HCV Common Guidance on Management and
Monitoring
• Strategic social and environmental impact assessment takes into account the broader impacts across the landscape to take into account
impacts of infrastructure (cross reference to combined old 5.1/ 6.1/ 7.1)
Legacy cases
In legacy cases within HFC landscapes in HFC countries, there will be:
• Integrated HCV-HCS-FPIC assessment
• Medium Density Forest and High Density Forest vegetation classes are not converted for new plantings [using HCSA classes]
• Development and implementation of an integrated conservation and land use plan (using RSPO methodology drawing on HCSA Toolkit,
and ensuring a develop: conserve ratio of at least 1:1 and the maintenance of all community use areas)
• All HCVs and other conservation areas are managed and maintained in line with the HCV Common Guidance on Management and
Monitoring
• Carbon neutrality (using RSPO GHG assessment procedure for new developments)
• A mutually agreed decision-making process with affected communities

• Strategic social and environmental impact assessment takes into account the broader impacts across the landscape to take into account
impacts of infrastructure (cross reference to combined old 5.1/ 6.1/ 7.1)

Annex 1 - Definitions
The below definitions list merges the definitions from the P&C 2013 and some new terms that have
been identified in the P&C Review process. Several still need to be further elaborated and other
terms may need adding.
Note for the public consultation: please indicate if there are any other terms in the draft P&C that
you would like us to define.
DEFINITIONS SOURCE
Child Work by children under the nationally stipulated minimum age for As per ILO
labour labour; this should be not less than the age of completion of 138
compulsory education; and in any case not less than 15 years.
Note: RSPO P&C 2013 definition of a Family Farm provides the

following exclusion:
“Work by children is acceptable on family farms, under adult
supervision; when not interfering with education programmes; when
children are part of the family and when they are not exposed to
hazardous working conditions.”
Contract Occurs where migrant workers arrive without a written contract of ILO Report
Substituti employment, or upon arrival are offered a new contract that is to the
on substantially different from what was promised in the country of Committee
origin, including with regard to the type of job and wages. examining
alleged non-
compliance
by Qatar of
Forced
Labour
Convention
29;
paragraph 9.
Debt People enter the status or condition of debt bondage when their UN GA
bondage labour, or the labour of a third party under their control, is Human
demanded as repayment of a loan or of money given in advance, and Rights
the value of their labour is not applied towards the liquidation of the Council:
debt or the length of the service is not limited and/or the nature of Report of
the service is not defined. the Special
Rapporteur
on
contempora
ry forms of
slavery,
including its
causes and
consequenc
es. July
2016.
Decent The remuneration received for a standard work week by a worker in Living Wage
Living a particular place sufficient to afford a decent standard of living for definition
Wage the worker and her or his family. Elements of a decent standard of from Decent

living include food, water, housing, education, healthcare, transport, Living Wages
clothing and other essential needs, including provision for for the Palm
unexpected effects. Oil Sector:
method and
implementat
ion.
Recommend
ation report
for RSPO.
True Price,
January
2018.
Definition
based on
Anker, R.
and Anker,
M. (2017).
Living wages
around the
world.
Manual for
measureme
nt.
Environm A process of predicting and evaluating the effects of an action or P&C 2013
ental series of actions on the environment, then using the conclusions as a Note: needs
Impact tool in planning and decision-making. adapting to
Assessme new ESIA
nt (EIA) (rather than
only EIA)
Expropriat Expropriation "occurs when a public agency (for example, the [1] What is
ion and provincial government and its agencies, regional districts, expropriatio
Eminent municipalities, school boards, post-secondary institutions and n? British
domain utilities) takes private property for a purpose deemed to be in the
Columbia
public interest".[1] Unlike eminent domain, expropriation may also
refer to the taking of private property by a private entity authorized Expropriatio
by a government to take property in certain situations. n
Compensati
on Board;
quoted on
Wikipedia.
A more
robust
definition
would be
good here.
Facilitatio Small bribes paid to facilitate routine Government action [1]. [1] UK
n A common example is where a government official is given money or Bribery Act
payments goods to perform (or speed up the performance of) an existing duty 2010
[2]. Guidance

[2] UK
Serious
Fraud Office
Bribery Act
Guidance
Family A farm operated and mostly owned by a family, for the growing of oil P&C 2013
Farm palm, sometimes along with subsistence production of other crops,
and where the family provides the majority of the labour used. Such
farms provide the principal source of income, and the planted area of
oil palm is below 50 hectares in size. Work by children is acceptable
on family farms, under adult supervision; when not interfering with
education programmes; when children are part of the family and
when they are not exposed to hazardous working conditions.
Food Food security is achieved when all people, at all times, have physical, FAO World
Security social and economic access to sufficient, safe and nutritious food to Food
meet their dietary needs and food preferences for an active and Summit,
healthy life. Four dimensions of food security are commonly
1996. See
identified: food availability, food access, utilization and stability.
FAO Policy
Brief Issue 2,
June 2006
for further
detail.
Fragile RSPO
and Guidance in
marginal developmen
soils
t
Fragment Guidance
ed tropical needed from
moist No
forest
Deforestatio
n
consultancy
Gender This refers to the equal rights, responsibilities and opportunities of UN Women,
equal women and men and girls and boys. Equality does not mean that OSAGI
women and men will become the same but that women’s and men’s Gender
rights, responsibilities and opportunities will not depend on whether
Mainstreami
they are born male or female. Gender equality implies that the
interests, needs and priorities of both women and men are taken ng -
into consideration, recognizing the diversity of different groups of Concepts
women and men. Gender equality is not a women’s issue but should and
concern and fully engage men as well as women. Equality between definitions
women and men is seen both as a human rights issue and as a
precondition for, and indicator of, sustainable people-centered
development.
High
carbon

stock
forest
High
Forest
Cover
Landscape
High The areas necessary to maintain or enhance one or more High P&C 2013
Conservati Conservation Values (HCVs):
on Value HCV 1 – Species diversity. Concentrations of biological diversity
(HCV) including endemic species, and rare, threatened or endangered
areas: species, that are significant at global, regional or national levels.
HCV 2 - Landscape-level ecosystems and mosaics. Large landscape
level ecosystems and ecosystem mosaics that are significant at
global, regional or national levels, and that contain viable
populations of the great majority of the naturally occurring species in
natural patterns of distribution and abundance.
HCV 3 - Ecosystems and habitats. Rare, threatened, or endangered
ecosystems, habitats or refugia.
HCV 4 - Critical ecosystem services. Basic ecosystem services in
critical situations, including protection of water catchments and
control of erosion of vulnerable soils and slopes.
HCV 5 - Community needs. Sites and resources fundamental for
satisfying the basic necessities of local communities or indigenous
peoples (for livelihoods, health, nutrition, water, etc.), identified
through engagement with these communities or indigenous peoples.
HCV 6 - Cultural values. Sites, resources, habitats and landscapes of
global or national cultural, archaeological or historical significance,
and/or of critical cultural, ecological, economic or religious/sacred
importance for the traditional cultures of local communities.
Note: RSPO will develop coherent guidance for standardised

identification, management and monitoring (and other types of
relevant guidance) of HCVs which would include guidance for
compatibility of national toolkits as necessary.
Human RSPO
Rights General
Defenders Assembly
Resolution
6e/2016
In good The principle of good faith implies that the parties make every effort ILO Q&As on
faith to reach an agreement, conduct genuine and constructive business and
negotiations, avoid unjustified delays in negotiations, respect collective
agreements concluded and applied in good faith, and give sufficient bargaining
time to discuss and settle collective disputes. In the case of
multinational enterprises, such companies should not threaten to

transfer the whole or part of an operating unit from the country

concerned in order to unfairly influence negotiations.
Integrated IPM is the careful consideration of all available pest control P&C 2013
Pest techniques and subsequent integration of appropriate measures that
Managem discourage the development of pest populations and keep pesticides
ent (IPM): and other interventions to levels that are economically justified and
reduce or minimize risks to human health and the environment. IPM
emphasizes the growth of a healthy crop with the least possible
disruption to agro-ecosystems and encourages natural pest control
mechanisms. (FAO 2013:
http://www.fao.org/agriculture/crops/corethemes/theme/pests/ipm
/en/).
ISO Standards developed by the International Organization for P&C 2013
Standards Standardization (ISO: see http://www.iso.ch/iso).
Legitimate Check FAO
cause Guide on
FPIC for
VGGT
Livelihood A person’s or a group’s way of making a living, from their P&C 2013
environment or in the economy, including how they provision their
basic needs and assure themselves and following generations secure
access to food, clean water, health, education, housing and the
materials needed for their life and comfort either through their own
direct use of natural resources or through exchange, barter, trade or
engagement in the market.
A livelihood includes not just access to resources but the knowledge
and institutions that make this possible such as time for community
participation and integration, personal, local or traditional ecological
knowledge, skills, endowments and practices, the assets that are
intrinsic to that way of making a living (e.g. farms, fields, pastures,
crops, stock, natural resources, tools, machinery and intangible
cultural properties) and their position in the legal, political and social
fabric of society.
The risk of livelihood failure determines the level of vulnerability of a
person or a group to income, food, health and nutritional insecurity.
Therefore, livelihoods are secure when they have secure ownership
of, or access to, resources and income earning activities, including
reserves and assets, to offset risks, ease shocks and meet
contingencies.
(Compiled from various definitions of livelihoods from DfID, IDS and
FAO and academic texts from:
http://www.fao.org/docrep/X0051T/X0051t05.htm).
Managed This includes the whole area, not just plantations. New
Area Note: P&C 2013 defines Plantations: “The land containing oil palm proposal
and associated land uses such as infrastructure (eg. roads), riparian
zones and conservation set-asides.” However, ‘plantation’ is often
used in practice to mean the oil palm planted area.

Proposal:
Use the following terms consistently in the P&C:
Managed Area:
“The land containing oil palm and associated land uses such as
infrastructure (eg. roads), riparian zones and conservation set-
asides.”
Plantation:
“The land on which oil palm is grown.”
Medium Medium grower – Any grower falling between definition of Note: There
Grower Smallholder (adopted by SHIG?) and a grower with up to 500ha of oil are no
palm. requirement
s in the P&C
currently
that relate
specifically
to ‘Medium
growers’.
Proposed by
TF3 that
Medium
growers
should be
defined.
Natural Areas where many of the principal characteristics and key elements P&C 2013
vegetation of native ecosystems such as complexity, structure and diversity are
present.
Operation All activities planned and/or undertaken by the management unit P&C 2013
s within the boundaries of the palm oil mill and its supply base.
Origin of Source of FFB entering a mill (see Indicator 4.1.4). RSPO members P&C 2013
fresh fruit acknowledge the need for responsible operators to practise due
bunch diligence in sourcing of FFB from third parties to reduce the risk that
(FFB)
unsustainable products are entering the certified supply chain.
However it is also recognised that there are significant challenges in
tracing all such supplies back to their point of origin. Therefore, as a
minimum the mill must record the particulars of the party from
which the FFB was sourced at the mill gate.
Note: As stated in the preamble, the millers will commit to a process
whereby they aim to source third party FFB from identified, legal and
responsible sources.
Outgrowe Farmers, where the sale of FFB is exclusively contracted to the P&C 2013
rs grower/miller. Outgrowers may be smallholders.

Peat PLWG-2 to
provide
definition
Pesticide Substances or mixture of substances intended for preventing, P&C 2013
destroying, repelling or mitigating any pest. Pesticides are
categorized into four main substituent chemicals: herbicides;
fungicides; insecticides and bactericides.
Plan – A time-bound and detailed scheme, programme, or method for P&C 2013
achieving objective(s) and desired outcome(s). Plans shall have clear
targets with timelines for delivery, actions to be taken and a process
for monitoring progress, adapting plans to changing circumstances
and reporting. Plans shall also include the identification of named
individuals or positions responsible for the delivery of the plan. There
shall be evidence that sufficient resources are available to carry out
the plan and the plan is implemented in full.
Plantation The land containing oil palm and associated land uses such as P&C 2013
infrastructure (e.g., roads), riparian zones and conservation set-
asides.
Primary A primary forest is a forest that has never been logged and has P&C 2013
Forest developed following natural disturbances and under natural
processes, regardless of its age. Also included as primary, are forests
that are used inconsequentially by indigenous and local communities
living traditional lifestyles relevant for the conservation and
sustainable use of biological diversity. The present cover is normally
relatively close to the natural composition and has arisen
(predominantly) through natural regeneration. (From FAO Second
Expert Meeting On Harmonizing Forestrelated Definitions for Use by
Various Stakeholders, 2001,
http://www.fao.org/documents/show_cdr.asp?url_file=/DOCREP/00
5/Y4171E/Y4171E11.htm).
Note: National interpretations should consider whether a more
specific definition is required.
Prophylac A treatment or course of action applied as a preventive measure. P&C 2013
tic
Recruitme Mandatory fees are permissible as detailed by national legal context. Proposed by
nt Fees Companies may use agencies that follow those national legal Task Force in
requirements. Workers may not be charged, whether directly or TF3
indirectly, any other fees beyond those that are legally mandatory.
In the absence of legal regulation, RSPO sets a limit of [eg. 1 month’s
salary per contract] paid by the company. [NB. This is unclear: is this
a maximum level that a company can pay to an agency?]
Restore Returning degraded or converted areas within the plantation to a P&C 2013
semi-natural state.

Rights Rights are legal, social, or ethical principles of freedom or P&C 2013
entitlement
• Customary rights: Patterns of long-standing community land and
resource usage in accordance with indigenous peoples’ customary
laws, values, customs and traditions, including seasonal or cyclical
use rather than formal legal title to land and resources issued by the
State. (From World Bank Operational Policy 4.10 -
http://go.worldbank.org/6L01FZTD20).
• Legal rights: Rights given to individual(s), entities and others
through applicable local, national or ratified international laws and
regulations.
• User rights: Rights for the use of land and resources that can be
defined by local custom, mutual agreements, or prescribed by other
entities holding access rights. (From FSC Principles & Criteria:
https://ic.fsc.org/ download.revised-fsc-pc-v-5-0-high-resolution.a-
871.pdf).
• Demonstrable rights are those rights that are demonstrated
through participatory user mapping as part of an FPIC process.
Note: Where there is a national interpretation, these rights shall be
further defined taking into account national obligations,
constitutions, local laws and regulations, consistent with the generic
definitions, including development of adequate guidance on a
process to avoid or resolve any conflicts between customary rights
(as defined above) and the nationally recognised customary rights.
Risk A risk assessment is simply a careful examination of what, in the ILO, 2014. A
assessmen workplace, could cause harm to people. It enables a weighing up of 5-step guide
t whether enough precautions are in place or whether more should be for
done to prevent harm to those at risk, including workers and employers,
members of the public. workers and
their
representati
ves on
conducting
workplace
risk
assessments
.
Scheme P&C 2013 define scheme smallholders: Addition to
smallhold “Smallholders that may be structurally bound by contract, credit existing
er agreement or by planning to a particular mill, but the association is definition
not necessarily limited to such linkages. Other terms commonly used from P&C
for scheme smallholder include associated and/or plasma 2013.
smallholders.”
TF3 suggested to explicitly include women and family members in the Please note
definition. SHIG is

Proposal – add a final sentence: working on

“Scheme smallholders include women and men, as well as their new
family members.” smallholder
definitions,
which will
replace the
ones here
upon
approval
Significant Request
pollutant ERWG to
provide a list
of significant
pollutants
Stakehold An individual or group with a legitimate and/or demonstrable P&C 2013
ers interest in, or who is directly affected by, the activities of an
organisation and the consequences of those activities.
Undue The exertion by a third party of any kind of control such that a person P&C 2013
influence: signs a contract or other agreement which, absent the influence of
the third party, he would not have signed.
Unit of The unit of certification shall be the mill and its supply base: P&C Review
certificati The unit of certification must include both directly managed land (or TF5
on estates) and associated smallholders and outgrowers, where estates
have been legally established with proportions of lands allocated to
each.
All the FFB from the directly managed lands (or estates) shall be
produced to certifiable standards. The mill will develop and
implement a plan to ensure that 100% of associated smallholders
and outgrowers are of certifiable standard within 3 years.
Worker RSPO P&C 2013 define Workforce as: Addition to
“The total number of workers employed by the management unit existing
either directly or indirectly. This includes contract workers and definition
consultants.” [and defines Migrant and transmigrant workers]
from P&C
Task Force proposed that the definition of ‘Worker’ should explicitly
include men and women, migrants, contracts, casual, all employees 2013
from all levels of the company etc.
Proposal: Adapt the P&C 2013 definition of workforce and add
workers:
Workforce: The total number of workers employed by the
management unit either directly or indirectly.
Workers: include men and women, migrants, transmigrants, contract
workers, casual workers, consultants, and employees from all levels
of the organisation.
Workforce The total number of workers employed by the management unit P&C 2013
either directly or indirectly. This includes contract workers and
consultants.

Migrant worker: a person who migrates from one country to another

with a view to being employed otherwise than on his own account
and includes any person regularly admitted as a migrant for
employment. Migrants are defined as those who cross international
boundaries for the purposes of employment, and do not include
those workers who move within a country for the purposes of
employment.
Transmigrant worker: a person who migrates from one part of the
country to another with a view to being employed otherwise than on
his own account.
Young ILO C138 Minimum Age Convention states As per ILO
person “The minimum age for admission to any type of employment or work 138 Art 3
which by its nature or the circumstances in which it is carried out is
likely to jeopardise the health, safety or morals of young persons
shall not be less than 18 years.”
Proposal:
The definition of Child Labour (above) excludes work by children
under 15 years; Young Person therefore refers to those aged 15-17.

ANNEX 2 GUIDANCE
PRINCIPLE 1 Transparency
Criterion Criterion GUIDANCE NOTES

new old
1.1 1.1 Growers and millers should have a Standard Operating
Procedure (SOP) to respond constructively to stakeholders,
including a specific timeframe to respond to requests for
information. Growers and millers should respond
constructively and promptly to requests for information from
stakeholders.
Growers and millers should ensure that sufficient objective
evidence exists to demonstrate that the response is timely
and appropriate.
(from old SPG 1.1.1) Information will include information on the

RSPO mechanisms for stakeholder involvement, including
information on their rights and responsibilities.
1.1 1.2 This concerns management documents relating to
environmental, social and legal issues that are relevant to
compliance with RSPO Criteria.
Management documents will comprise the results of FPIC
processes, HRIA (human rights impact assessments), SEIAs,
Human Rights Policies including policy on protection of HRDs
(human rights defendors)/whistle blowers, social
programmes avoiding or mitigating negative social impact,
social programmes advancing livelihoods, figures of gender
distribution within all workers categorized by management,
administrative staff and workers (both permanent casual
workers, piece rate workers), partnership programmes for
independent smallholders, education and health in the
communities.
The auditors will comment on the adequacy of each of the
documents listed in the public summary of the assessment
report.
Examples of commercially confidential information include
financial data such as costs and income, and details relating
to customers and/or suppliers. Data that affects personal
privacy should also be confidential.
Ongoing disputes (within or outside of a legal mechanism)
can be considered as confidential information where
disclosure could result in potential negative outcomes for all
parties involved. However, affected stakeholders and those

seeking resolution to conflict should have access to relevant

information.
Examples of information where disclosure could result in
potential negative environmental or social outcomes include
information on sites of rare species where disclosure could
increase the risk of hunting or capture for trade, or sacred
sites which a community wishes to maintain as private.
Growers and millers should ensure that sufficient objective
evidence exists to demonstrate that the level of measuring
and monitoring of the management plan, and information, is
appropriate and made available.
(from old SPG for 1.2.1)

Publicly available documents shall include, but are not
necessarily limited to:
• Land titles/user rights (Criterion 2.2);
• Occupational health and safety plans (Criterion 4.7);
• Plans and impact assessments relating to environmental
and social impacts
(Criteria 5.1, 6.1, 7.1 and 7.8);
• HCV documentation (Criteria 5.2 and 7.3);
• Pollution prevention and reduction plans (Criterion 5.6);
• Details of complaints and grievances (Criterion 6.3);
• Negotiation procedures (Criterion 6.4);
• Continual improvement plans (Criterion 8.1);
• Public summary of certification assessment report;
• Human Rights Policy (Criterion 6.13).
1.2 1.3 All levels of the operations will include contracted third
parties (e.g those involved in security).
The policy should include as a minimum:
• A respect for fair conduct of business;
• A prohibition of all forms of corruption, bribery and
fraudulent use of funds and resources;
• A proper disclosure of information in accordance with
applicable regulations and accepted industry practices.
The policy should be set within the framework of the UN
Convention Against Corruption, in particular Article 12.
(from old SPG for 1.3.1) The poliy should cover elements such
as: bribery; facilitation payments; guidance and procedure
for gifts and hospitality; disclosure of political contributions;
guidelines for charitable donations and sponsorships; respect
for fair conduct of business; proper disclosure of information
in accordance with applicable regulations and accepted

industry practices; compliance with existing anti-corruption

legislation.
(from old SPG for 1.3.2)

• Commitment to company ethical policies are
incorporated in all service contracts.
• There are due diligence procedures in place for the
selection and contracting of recruitment agencies and
labour intermediaries or suppliers.
Unethical conduct includes: charging fees to workers,
recovering cost of recruitment and transportation against
workers’ wages, receiving gifts and commissions from labour
intermediaries or suppliers.
PRINCIPLE 2 Legality
Criterion Criterion GUIDANCE Notes

new old
2.1 2.1 Implementing all legal requirements is an essential
baseline requirement for all growers whatever their
location or size. Relevant legislation includes, but is not
limited to: regulations governing land tenure and land-
use rights, labour, agricultural practices (e.g. chemical
use), environment (e.g. wildlife laws, pollution,
environmental management and forestry laws), storage,
transportation and processing practices. It also includes
laws made pursuant to a country’s obligations under
international laws or conventions (e.g. the Convention
on Biological Diversity (CBD), ILO core Conventions, UN
Guiding Principles on Business and Human Rights).
Furthermore, where countries have provisions to respect
customary law, these will be taken into account.
Key international laws and conventions are set out in
Annex 1.
Contradictions and inconsistencies should be identified
and solutions suggested.
(from SPG for old 2.1.1) Evidence should be incorporated

as part of implementation of Indicator (old ) 4.1.4.

(from SPG for old 2.1.2) Documented system shall

include a procedure for how FFB sources are determined
to be legal by mill.
Consistency
(from SPG for 2.1.3) For existing RSPO certified mills, time check with
requirement is three years from [2018]. For mills that are new 2.1.3
not yet certified/ mills going for first year of certification, & 2.3
time requirement is three years from initial point of
certification (Ref Indicator old 4.1.4).
2.3 2.X.NEW For consideration of FFB legality, National
Interpretations shall also consider commonly accepted
local practices, and customs, that are generally accepted
to be on par with legal standing, or accepted by
authorities (e.g. native courts, etc.
Guidance for application:

Where mills have smallholder suppliers, for existing
RSPO certified mills, the time requirement to fulfil this
criteria for all their smallholder suppliers is three years
from [completion of 2018 standard]. For mills that are
not yet certified/ mills going for first year of certification,
time requirement is three years from initial point of
certification for their smallholder suppliers.
PRINCIPLE 3 Planning Procedures

new old
3.1 3.1 Whilst it is recognised that long-term profitability is
also affected by factors outside their direct control,
top management should be able to demonstrate
attention to economic and financial viability through
long-term management planning. There should be
longer term a planning for plantations on peat,
particularly in regards to subsidence and flooding
issues (see old Indicator 4.3.5).
Consideration of smallholders should be inherent in
all management planning where applicable (see also
old Criteria 6.10 and 6.11). For scheme smallholders
the content will vary from that suggested.
Growers should have a system to improve practices
in line with new information and techniques. For
smallholder schemes, the scheme management

should be expected to provide their members with

information on significant improvements.
This Criterion is not applicable to independent
smallholders.
(from SPG for old 3.1.1) The business or

management plan should contain:
• Attention to quality of planting materials;
• Crop projection = Fresh Fruit Bunches (FFB) yield
trends;
• Mill extraction rates = Oil Extraction Rate (OER)
trends;
• Cost of Production = cost per tonne of Crude Palm
Oil (CPO) trends;
• Forecast prices;
• Financial indicators.
Suggested calculation: trends in 3-year running
mean over the last decade (FFB trends may need to
allow for low yield during major replanting
programmes).
(from SPG for old 3.1.3): Where the specific financial

details are not known, an estimate of these amounts
or structures for defining those estimates will be
made clear within the contract.
3.2 8.1 As a minimum, these should include, but are not
necessarily be limited to:
• Reduction in use of pesticides (old Criterion
4.6);
• Environmental impacts (old Criteria 4.3, 5.1
and 5.2);
• Waste reduction (old Criterion 5.3);
• Pollution and greenhouse gas (GHG) emissions
(old Criteria 5.6 and 7.8);
• Social impacts (old Criterion 6.1);
• Optimising the yield of the supply base.
Growers should have a system to improve practices
in line with new information and techniques, and a
mechanism for disseminating this information
throughout the workforce. For smallholders, there
should be systematic guidance and training for
continual improvement.
3.3 4.1 Mechanisms to check implementations could
include documentation management systems and

internal control procedures. Ref. old 2.1 (timebound

plan).
(from SPG for old 4.1.1 and 4.1.4) SOP and

documentation for mills should include relevant
supply chain requirements (see RSPO Supply Chain
Certification Standard, Nov 2011).
(from SPG for old 4.1.1 and 4.1.4) Growers, while

working with 3rd party suppliers of FFB on
traceability and legality, should use the opportunity
to distribute suitable information on BMPs.
(from SPG for old 4.1.4) Assurance of legality of FFB

should include the following for each FFB supplier:
• Information on geo-location of FFB origins
• Proof of the ownership status or the right/claim
to the land by the grower/smallholder
• Valid planting/ operating/ trading license or is
part of a cooperative which allows the buying
and selling of FFB.
Where mills are sourcing from collection centres,
agents, or other intermediaries, the provision of the
evidence as listed above shall be provided by the
supplier. It is the miller’s responsabilities to obtain
these details from the suppliers.
3.4 5.1 The EIA should cover the following activities, where Consistency
they are undertaken: check/adaptation
• Building new roads, processing mills or other to ESIA needed
infrastructure;
• Putting in drainage or irrigation systems;
• Replanting and/or expansion of planting areas;
• Management of mill effluents (old Criterion
4.4);
• Clearing of remaining natural vegetation;
• Management of pests and diseased palms by
controlled burning (old Criteria 5.5).
Impact assessment can be a non-restrictive format
e.g. ISO 14001 EMS and/or EIA report incorporating
elements spelt out in this Criterion and raised
through stakeholder consultation.
Environmental impacts should be identified on soil
and water resources (old Criteria 4.3 and 4.4), air
quality, greenhouse gases (old Criterion 5.6),

biodiversity and ecosystems, and people’s amenity

(old Criterion 6.1), both on and off-site.
Stakeholder consultation has a key role in
identifying environmental impacts. The inclusion of
consultation should result in improved processes to
identify impacts and to develop any required
mitigation measures.
For smallholder schemes, the scheme management
has the responsibility to undertake impact
assessment and to plan and operate in accordance
with the results.
3.4 6.1 Management documents may comprise of social Consistency
programmes avoiding or mitigating adverse social check/adaptation
impact, social programmes advancing community to ESIA needed
livelihoods and gender equality, partnership
programmes for independent smallholders,
education and health in the communities.
Identification of social impacts should be carried out
by the grower with the participation of affected
parties, including women, local communities and
migrant, as appropriate to the situation. The
involvement of independent experts should be
sought where this is considered necessary to ensure
that all impacts (both positive and negative) are
identified.
Participation in this context means that affected
parties are able to express their views through their
own representative institutions, or freely chosen
spokespersons, during the identification of impacts,
reviewing findings and plans for mitigation, and
monitoring the success of implemented plans.
Potential social impacts may result from activities such as: building new
roads, processing mills or other infrastructure; replanting with different
crops or expansion of planting area; disposal of mill effluents; clearing of
remaining natural vegetation; changes in employee numbers or
employment terms; smallholder schemes.
Plantation and mill management may have social

impacts (positive or negative) on factors such as:
• Access and use rights;
• Economic livelihoods (e.g. paid employment)
and working conditions;
• Subsistence activities;
• Cultural and religious values;
• Health and education facilities;

• Other community values, resulting from

changes such as improved transport
/communication or arrival of substantial migrant
labour force.
The review can be done (once every two years)
internally or externally.
3.4 6.2 SIAs can serve as a reference to identify all Consistency
stakeholders. Decisions that the growers or mills are check/adaptation
planning to make should be made clear, so that local to ESIA needed
communities and other interested parties
understand the purpose of the communication
and/or consultation.
Communication and consultation mechanisms
should be designed in collaboration with local Copy to new 1.1?
communities and other affected or interested
parties. These should consider the use of
appropriate existing local mechanisms and
languages. Consideration should be given to the
existence/formation of a multi-stakeholder forum.
Communications should take into account
differential access to information by women as
compared to men, village leaders as compared to
day labourers, new versus established community
groups, and different ethnic groups.
Consideration should be given to involving third
parties, such as disinterested community groups,
NGOs, trade unions or government (or a
combination of these), to facilitate smallholder
schemes and communities, and others as
appropriate, in these communications.
3.5 7.1 The terms of reference should be defined and

impact assessment should be carried out by
accredited independent experts, in order to ensure
an objective process. Both should not be done by
the same body.
A participatory methodology including external
stakeholder groups is essential to the identification
of impacts, particularly social impacts. Stakeholders
such as local communities, government
departments and NGOs should be involved through
the use of interviews and meetings, and by
reviewing findings and plans for mitigation.
It is recognised that oil palm development can cause
both positive and negative impacts. These

developments can lead to some indirect/secondary

impacts which are not under the control of
individual growers and millers. To this end, growers
and millers should seek to identify the
indirect/secondary impacts within the SEIA, and
where possible work with partners to explore
mechanisms to mitigate the negative indirect
impacts and enhance the positive impacts.
The potential impacts of all major proposed
activities should be assessed in a participatory way
prior to development. The assessment should
include, in no order of preference and as a
minimum:
• Assessment of the impacts of all major planned
activities, including planting, mill operations, roads
and other infrastructure;
• Assessment, including stakeholder consultation, of
High Conservation Values (see old Criterion 7.3) that
could be negatively affected;
• Assessment of potential effects on adjacent
natural ecosystems of planned developments,
including whether development or expansion will
increase pressure on nearby natural ecosystems;
• Identification of watercourses and wetlands and
assessment of potential effects on hydrology and
land subsidence of planned developments.
Measures should be planned and implemented to
maintain the quantity, quality and access to water
and land resources;
• Baseline soil surveys and topographic information,
including the identification of steep slopes, marginal
and fragile soils, areas prone to erosion,
degradation, subsidence, and flooding;
• Analysis of type of land to be used (forest,
degraded forest, cleared land);
• Analysis of land ownership and user rights;
• Analysis of current land use patterns;
• Assessment of potential social impacts on
surrounding communities of a plantation, including
an analysis of potential effects on livelihoods, and
differential effects on women versus men, ethnic
communities, and migrant versus long-term
residents;

• Identification of activities which may generate

significant GHG emissions.
Plans and field operations should be developed and
implemented to incorporate the results of the
assessment. One potential outcome of the
assessment process is that the development may
not proceed because of the magnitude of potential
impacts.
For smallholder schemes, the scheme management
should address this Criterion. For individual
smallholders, this Criterion does not apply.
Where there is no National Interpretation, for land
areas greater than 500ha, a full independent
assessment will be required. For land areas less than
500ha, an internal assessment using selected
components of SEIA and HCV assessments can be
used. Where such internal assessments identify
significant environmentally or socially sensitive
areas or issues, an independent assessment will be
undertaken.
3.8 4.8 Training content: Workers should be adequately
trained on: the health and environmental risks of
pesticide exposure; recognition of acute and long-
term exposure symptoms including the most
vulnerable groups (e.g. young workers, pregnant
women); ways to minimise exposure to workers and
their families; and international and national
instruments or regulations that protect workers’
health.
The training programme should include productivity
and best management practice, and be appropriate
to the scale of the organisation.
The programme should enable everyone to fulfil
their jobs and responsibilities in accordance with
documented procedure.
Training participants: Training should be given to all

staff and workers including women smallholders and
women plantation workers, within the company
management unit, as well as contract workers.
Growers and millers should demonstrate training

activities for schemes smallholders who provide
Fresh Fruit Bunches (FFB) on a contracted basis.
Workers on smallholder plots also need adequate
training and skills, and this can be achieved through

extension activities of growers or millers that

purchase fruit from them, by smallholders’
organisations, or through collaboration with other
institutions and organisations.
For individual scheme smallholder operations,
training records should not be required for their
workers, but anyone working on the farm should be
adequately trained for the job they are doing.
PRINCIPLE 4 Community Wellbeing

new old
4.1 6.13 All levels of operations will include contracted third
parties (e.g those involved in security).
Decision
Note: needed on
this Note
From the UN Guiding Principles on Business and Human
Rights:
“The responsibility of business enterprises to respect
human rights refers to internationally recognised human
rights – understood, at a minimum, as those expressed in
the International Bill of Human Rights and the principles
concerning fundamental rights set out in the
International Labour Organization’s Declaration on
Fundamental Principles and Rights at Work” (“The
corporate responsibility to respect human rights” in
Guiding Principles on Business and Human Rights).
The RSPO WG on Human Rights will provide a mechanism to identify, prevent,
mitigate and address human rights issues and impacts. The resulting Guidance will
identify the relevant issues on human rights to all RSPO Members.
4.2 6.3 Dispute resolution mechanisms should be established
through open and consensual agreements with relevant
affected parties.
Complaints should be dealt with by mechanisms such as
Joint Consultative Committees (JCC), with gender
representation and, where relevant, migrant worker
representation. Grievances may be internal (employees)
or external.
For scheme and independent smallholders, refer to
‘Guidance for Independent Smallholders under Group
Certification’, June 2010, and ‘Guidance on Scheme
Smallholders’, July 2009.
Where a resolution is not found mutually, complaints
can be brought to the attention of the RSPO Complaints
System.

Refer to helpful texts for guidance, such as the Human Rights Commission (HRC)
endorsed ‘Guiding Principles on Business and Human Rights: Implementing the UN
“Protect, Respect and Remedy” Framework’, 2011.
4.3 6.11 Contributions to local development should be based on
the results of consultation with local communities. (See
also old Criterion 6.2.). Such consultation should be
based on the principles of transparency, openness and
participation, and should encourage communities to
identify their own priorities and needs, including food
security, and the different needs of men and women.
Where candidates for employment are of equal merit,
preference should always be given to members of local
communities. Positive discrimination should not be
recognised as conflicting with (old) Criterion 6.8.
Efforts should be made to identify independent
smallholders in the supply base.
Where sourcing of fruit is from identified independent
smallholders, efforts should be made to contribute to
the improvement of their farming practices.
Specific attention is given to the inclusion of women and
minorities in the various training sessions on the above
topics. Depending on the context this may mean the
provision of training to women separately.
4.4 2.3 All indicators will apply to current operations, but there
are exceptions for long-established plantations which
may not have records dating back to the time of the
decision making, in particular for compliance with (old
)Indicators 2.3.1 and 2.3.2.
Where there are legal or customary rights over land, the
grower should demonstrate that these rights are
understood and are not being threatened or reduced.
This Criterion should be considered in conjunction with
(old) Criteria 6.4, 7.5 and 7.6. Where customary rights
areas are unclear these should be established through
participatory mapping exercises involving affected
parties (including neighbouring communities and local
authorities).
This Criterion allows for negotiated agreements to
compensate other users for lost benefits and/ or
relinquished rights. Negotiated agreements should be
non-coercive and entered into voluntarily, carried out
prior to new investments or operations, and based on an
open sharing of all relevant information. The
representation of communities should be transparent
and in open communication with other community

members. Adequate time should be given for customary

decision making and iterative negotiations allowed for,
where requested. Negotiated agreements should be
binding on all parties and enforceable in the courts.
Establishing certainty in land negotiations is of long-term
benefit for all parties.
Companies should be especially careful where they are
offered lands acquired from the State by its invoking the
national interest (also known as ‘eminent domain’).
Growers and millers should refer to the RSPO approved
FPIC guidance (‘FPIC and the RSPO: A Guide for
Members’, October 2015)
4.5 7.5 Note for public consultation: For companies to be aware Decision on
of local food security issues and to maximize positive Note after
impact on food security. Through active consideration public
companies can through compliance with RSPO criteria consultation
demonstrate their commitment to support the global
Sustainable Development Goals (SDG 2).
The grower supports the implementation of existing

national strategies with regard to food security and does
not contradict them by any of its business activities.
• The grower recognizes national and /or
international natural disaster risk assessments,
strategies and maps in the resource management
plan/strategy.
• The grower informs suppliers and communities
in the concerned region about natural risks and provides
support in case of strong adverse natural and human
made disasters.
This activity should be integrated with the Social and

Environmental Impact Assessment (SEIA) required by
(old) Criterion 7.1.
Where new plantings are considered to be acceptable,
management plans and operations should maintain
sacred sites. Agreements with indigenous peoples, local
communities and other stakeholders should be made
without coercion or other undue influence (see
Guidance for old Criterion 2.3).
Relevant stakeholders include those affected by or
concerned with the new plantings.
Free, prior and informed consent (FPIC) is a guiding
principle and should be applied to all RSPO members
throughout the supply chain. Refer to RSPO approved

FPIC guidance (‘FPIC and the RSPO; A Guide for

Members’, October 2015).
Customary and user rights will be demonstrated through
participatory user mapping as part of the FPIC process.
4.5 7.6 (from SPG for old 7.6.1) This activity shall be integrated
with the social and environmental impact assessment
(SEIA) required by Criterion 7.1.
(from SPG for old 7.6.4) Examples of benefits could

include employment opportunities, smallholder
schemes, infrastructure, etc.
Guidance:
Refer to (old) Criteria 2.2, 2.3 and 6.4 and associated
Guidance.
This requirement includes indigenous peoples (see
Annex 1).
Refer to RSPO approved FPIC guidance (‘FPIC and the
RSPO; A Guide for Members’, October 2015).
4.6 2.2 Where there is a conflict on the condition of land use as
per land title, growers should show evidence that
necessary action has been taken to resolve the conflict
with relevant parties.
A mechanism should be in place to resolve any conflict
(old Criteria 6.3 and 6.4).
Where operations overlap with other rights holders,
companies should resolve the issue with the appropriate
authorities, consistent with (old ) Criteria 6.3 and 6.4.
(from SPG for old 2.2.4) Where there is evidence of

acquisition through dispossession or forced
abandonment of customary and user rights prior to the
current operations and there remain parties with
customary and land use rights, Indicators (old) 2.3.1,
2.3.2 and 2.3.3 shall be complied with to settle these
historical claims.
(from SPG for old 2.2.6) Company policy should prohibit

the use of mercenaries and para-militaries in their
operations. Company policy should prohibit extra-
judicial intimidation and harassment by contracted
security forces (see Criterion 6.13).
4.6 6.4 This criterion should be considered in conjunction with
(old) Criteria 2.2 and 2.3, and the associated Guidance.

PRINCIPLE 5 Smallholder Inclusivity

new old
5.1 6.10 (old) 6.10.3 should also be applied to situations where mills
function as the group manager for groups certified under
group certification.
Transactions with smallholders should consider issues such
as the role of middle men, transport and storage of FFB,
quality and grading. The need to recycle the nutrients in FFB
(see old Criterion 4.2) should also be considered; where it is
not practicable to recycle wastes to smallholders,
compensation for the value of the nutrients exported can
be made through the FFB price.
Smallholders should have access to the grievance procedure
under (old) Criterion 6.3 if they consider that they are not
receiving a fair price for FFB, whether or not middle men
are involved.
The need for a fair and transparent pricing mechanism is
particularly important for outgrowers who are contractually
obliged to sell all FFB to a particular mill.
If mills require smallholders to change practices to meet the RSPO Principles and
Criteria, consideration should be given to the costs of such changes, and the possibility
of advance payments for FFB can be considered.
PRINCIPLE 6 Workers

new old
6.1 6.8 Examples of compliance can be appropriate
documentation (e.g. job advertisements, job descriptions,
appraisals, etc.), and/or information obtained via
interviews with relevant stakeholders such as affected
groups which may include women, local communities,
foreign workers, and migrant workers, etc.
Notwithstanding national legislation and regulation,
medical conditions should not be used in a discriminatory
way.
The grievance procedures detailed in (old) Criterion 6.3 apply.
Positive discrimination to provide employment and benefits
to specific communities is acceptable as part of negotiated
agreements.
(from SPG for old 6.8.2) Examples of evidence for 6.8.2

could include contract between employer and agency;
contract between worker and agency; clear company

policy and recruitment procedures; confirmation by

workers and agency that no recruitment fees are charged.
6.3 6.6 The right of employees, including migrant and
transmigrant workers and contract workers, to form
associations and bargain collectively with their employer
should be respected, in accordance with Conventions 87
and 98 of the International Labour Organisation (ILO).
Labour laws (ref P2) and union agreements, or in their
absence direct contracts of employment detailing
payments and other conditions, should be available in the
languages understood by the workers or explained
carefully to them by a management official.
6.4 6.7 TF4: Draft for implications for thid party/ outsourced labor. Revise
Guidance: ‘service contracts and supplier agreements’ refers language
to those where the company has influence and not things like
telephone or electricity providers
Growers and millers should clearly define the minimum

working age, together with working hours. Only workers
above the minimum school leaving age in the country or
who are at least 15 years old may be employed. The
minimum age of workers will not be less than stated under
national regulations. Any hazardous work should not be
done by those under 18, as per International Labour
Organisation (ILO) Convention 138.
(from SPG for old 6.7.2) Age verification documents include a

government recognized photographic identification
document, where available.
6.5 6.9 There should be a clear policy developed in consultation
with employees, contract workers and other relevant
stakeholders, and the policy should be publicly available.
Progress in implementing the policy should be regularly
monitored, and the results of monitoring activities should
be recorded.
Notwithstanding national legislation and regulation,
reproductive rights are respected.
(from SPG for old 6.9.1 and 6.9.2) These policies should
include education for women and awareness of the
workforce. There should be programmes provided for
particular issues faced by women, such as violence and
sexual harassment in the workplace. This committee,
which should include representatives from all areas of
work, will consider matters such as: training on women’s

rights; counselling for women affected by violence; child

care facilities to be provided by the growers and millers;
women to be allowed to breastfeed up to nine months
before resuming chemical spraying or usage tasks; and
women to be given specific break times to enable effective
breastfeeding.
6.6 6.12 Migrant workers should be legalised, and a separate
employment agreement should be drawn up to meet
immigration requirements for foreign workers and
international standards. Any deductions made should not
jeopardise a decent living wage.
Passports should only be voluntarily surrendered.
There should be evidence of due diligence in applying this
to all sub-contract workers and suppliers.
National guidance should be used on contract substitution.
(from SPG for old 6.12.1) Workers should enter into

employment voluntarily and freely, without the threat of a
penalty, and should have the freedom to terminate
employment without penalty given reasonable notice or as
per agreement. Reference shall be made to ILO Forced
Labour Indicators.
(from SPG for old 6.12.3) The specific labour policy should
include:
• Statement of the non-discriminatory practices;
• No contract substitution;
• Post-arrival orientation programme to focus
especially on language, safety, labour laws,
cultural practices etc.;
• Decent housing to be provided according with
national law or in their absence ILO Recommendation
115.
6.7 4.7 Growers and millers should ensure that the workplace,
machinery, equipment, transport and processes under
their control are safe and without undue risk to health.
Growers and millers should ensure that the chemical,
physical and biological substances and agents under their
control are without undue risk to health when appropriate
measures are taken. All indicators apply to all workers
regardless of status.
The health and safety plan should also reflect guidance in
ILO Convention 184 (see Annex 1).

(SPG from old 4.7.7) The National Interpretation will define

the metrics for LTA. For countries where there are no
national interpretations, the growers shall refer to the ILO
metrics.
PRINCIPLE 7 Environment

new old
7.1 4.5 Growers should apply recognised IPM techniques,
incorporating cultural, biological, mechanical and
physical methods to minimise the use of chemicals.
Native species should be used in biological control where
possible.
In specific cases for the control of pest and diseases by

fire, as per regulations, there shall be evidence of prior
approval of the controlled burning as specified by the
relevant authorities in the ‘Guidelines for the
Implementation of the ASEAN Policy on Zero Burning’
2003, or comparable guidelines or regulations in other
regions. [Check ASEAN guideline].
7.2 4.6 The RSPO has identified some examples of alternatives to
pesticide and herbicide use, which include those listed in
the ‘Research project on Integrated Weed Management
Strategies for Oil Palm; CABI, April 2011’.
Due to problems in the accuracy of measurement,
monitoring of pesticide toxicity is not applicable to
independent smallholders.
Consistency
(from SPG for old 4.6.1) Measures to avoid the check with
development of resistance (such as pesticide rotations) new needed
should be applied. The justification should consider less
harmful alternatives and IPM.
(from SPG for old 4.6.3) Justification

of the use of such
pesticides will be included in the public summary report.
(from SPG for old 4.6.4) Due diligence is understood as

the process through which enterprises shall identify,
assess, mitigate, prevent and account for how they verify
the emergency use of pesticides that are categorised as
World Health Organisation Class 1A or 1B, or that are
listed by the Stockholm or Rotterdam Conventions, and
paraquat which are banned from use in RSPO, in very
specific situations. The nature and extent of due
diligence will be affected by factors such as the size of

the area where the pesticides should be applied, the

context and location of the application, the nature of
products or services, and the severity of actual and
potential adverse impacts which will be caused through
the use of the high hazardous pesticides. The Due
Diligence has to refer to a) judgment of the threat and
verify why this is a major threats b) a why there is no
other alternative which can be used c) which process was
applied to verify that there is no other less hazardous
alternative d) what is the process to limit the negative
impacts of the applications e) estimation of the timescale
of the application and which steps are taken to limited to
application to a singularity.
(from SPG for old 4.6.6) Recognised best practice

includes: Storage of all pesticides as prescribed in the
FAO International Code of Conduct on the distribution
and use of pesticides and its guidelines, and
supplemented by relevant industry guidelines in support
of the International Code (see Annex 1).
7.3 5.3 The waste management and disposal plan should include
measures for:
• Improving the efficiency of resource utilisation and
recycling potential wastes as nutrients or converting
them into value-added products (e.g. through animal
feeding programmes).
• Appropriate management and disposal of hazardous
chemicals and their containers. Surplus chemical
containers should be reused, recycled or disposed of in
an environmentally and socially responsible way using
best available practices (e.g. returned to the vendor or
cleaned using a triple rinse method), such that there is
no risk of contamination of water sources or risk to
human health. The disposal instructions on the
manufacturers’ labels should be adhered to.
Open fire for waste disposal should not be used.
Companies are encouraged to improve the waste
management in surrounding neighbourhoods.
7.4 4.2 Long-term fertility depends on maintaining the structure,
organic matter content, nutrient status and microbiological
health of the soil. Nutrient efficiency should take account of
the age of plantations and soil conditions. The nutrient
recycling strategy should include any use of biomass for by-
products or energy production.
7.5 4.3a For old 4.3a: Techniques that minimise soil erosion are well Checked by
known and should be adopted, where appropriate. These FP

should include practices such as ground cover management,

biomass recycling, terracing, and natural regeneration or
restoration instead of replanting.
Action to meet old 4.3a should be integrated with the social

and environmental impact assessment (SEIA) required by
old Criterion 7.1.
7.6 7.2 These activities can be linked to the Social and
Environmental Impact Assessment (SEIA) (see old
Criterion 7.1) but need not be done by independent
experts.
Soil suitability maps or soil surveys should be appropriate
to the scale of operation and should include information
on soil types, topography, hydrology, rooting depth,
moisture availability, stoniness and fertility to ensure
long-term sustainability of the development. Soils
requiring appropriate practices should be identified (see
old Criteria 4.3 and 7.4). This information should be used
to plan planting programmes, etc. Measures should be
planned to minimise erosion through appropriate use of
heavy machinery, terracing on slopes, appropriate road
construction, rapid establishment of cover, protection of
riverbanks, etc. Areas located within the plantation
perimeters that are considered unsuitable for long-term
oil palm cultivation will be delineated in plans and
included in operations for conservation or rehabilitation
as appropriate (see old Criterion 7.4).
Assessing soil suitability is also important for
smallholders, particularly where there are significant
numbers operating in a particular location. Information
should be collected on soil suitability by companies
planning to purchase Fresh Fruit Bunches (FFB) from
potential developments of independent smallholders in a
particular location. Companies should assess this
information and provide information to independent
smallholders on soil suitability, and/or in conjunction
with relevant government/public institutions and other
organisations (including NGOs) provide information in
order to assist independent smallholders to grow oil
palm sustainably.
7.8 4.3b For old 4.3b.1 Maps and other documentation of peat Checked by
soils in the managed areas must be provided to RSPO FP
secretariat. (Informational) Companies are encouraged
to map the peatlands within the supply base to enable
monitoring and promotion of BMPs

For old 4.3b.2: For existing plantings on peat, the water

table must be maintained at an average of 50cm
(between 40 – 60cm) below ground surface unless
required to be higher by national regulations, measured
with groundwater piezometer readings, or an average of
60cm (between 50 – 70cm) below ground surface as
measured in water collection drains, through a network
of appropriate water control structures e.g. weirs,
sandbags, etc. in fields, and watergates at the discharge
points of main drains (Criteria 4.4 and 7.4). Monitoring of
subsidence must be undertaken in all drained peat areas
in the plantation including areas adjacent to the
plantation where water tables may be impacted by
drainage associated with the plantation.
For old 4.3b.3: Drainability Assessments should be

undertaken in line with guidance in the ‘RSPO Manual on
Best Management Practices (BMPs) for existing oil palm
cultivation on peat’ including the updated Drainability
guidance (to be finalised 2018). Where drainability
assessments have identified areas unsuitable for oil palm
replanting, plans should be in place for appropriate
rehabilitation or alternative use of such areas. If the
assessment indicates high risk of serious flooding and/or
salt water intrusion within two crop cycles, growers and
planters should not replant with oil palm and should
revegetate the site with native species or where
appropriate commercial alternatives like local
community controlled paludiculture (more water
resistant crops) and food production systems. [To be
revised according to latest RSPO guidance, due March
2018.]
For old 4.3b.4: [Refer to Best Management Practices for

Management and Rehabilitation of Natural Vegetation
associated with Oil Palm cultivation on Peat ("BMP"
version 2, Xxx 2018)].
7.9 4.4 The water management plan will include: Checked by
• Take account of the efficiency of use and renewability FP
of sources;
• Ensure that the use and management of water by the
operation does not result in adverse impacts on other

users within the catchment area, including local

communities and customary water users;
• Aim to ensure local communities, workers and their
families have access to adequate, clean water for
drinking, cooking, bathing and cleaning purposes;
• Avoid contamination of surface and ground water
through run-off of soil, nutrients or chemicals, or as a
result of inadequate disposal of waste including Palm Oil
Mill Effluent (POME).
For old 4.4.2: Refer to the ‘RSPO Manual On Best

Management Practices (BMP) for management and
rehabilitation of natural vegetation associated with oil
palm cultivation on peat’, July 2012 and the RSPO
Manual on Best Management Practices (BMPs) for the
management and rehabilitation of riparian reserves, April
2017.
7.10 5.4 Renewable energy use per tonne of Crude Palm Oil (CPO)
or palm product in the mill should be monitored.
Direct fossil fuel use per tonne of CPO or Fresh Fruit
Bunches (FFB) should be monitored.
Energy efficiency should be taken into account in the
construction or upgrading of all operations.
Growers and millers should assess the direct energy use
of their operations, including fuel and electricity, and
energy efficiency of their operations. This should include
estimation of fuel use by on-site contract workers,
including all transport and machinery operations.
The feasibility of collecting and using biogas should be
studied if possible
7.11 5.6&7.8 Growers are strongly encouraged to establish new Checked by
plantings on mineral soils, in low carbon stock areas, and FP
cultivated areas, which the current users are willing to
develop into oil palm. New mills should adopt low-
emission management practices (e.g. better
management of palm oil mill effluent (POME), efficient
boilers etc.) in new developments.
All new developments should plan to implement RSPO
best management practices for the minimisation of
emissions during the development of new plantations.
This Criterion covers plantations, mill operations, roads

and other infrastructure. It is recognised that there may
be significant changes between the planned and final

development area, hence the assessment may need to

be updated before the time of implementation.
7.12 5.5 Extension/training programmes for associated
smallholders may be necessary.
7.13 5.2 & PLEASE NOTE THE NEW GUIDANCE TEXT IS INCLUDED IN Check
7.3 THE NOTE TO THE PUBLIC CONSULTATION UNDER 7.13 through old
guidance for
5.2 & 7.3 for
anything still
needed

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RSPO P&C – P&C Review 2017/2018 Draft 2

RSPO Principles, Criteria and Indicators

• Alignment with the Theory of Change:

• Increased Accessibility (make it more relevant and practical)

June 2018 Page 1 of 72

June 2018 Page 2 of 72

June 2018 Page 3 of 72

3 RSPO Vision and Theory of Change

June 2018 Page 4 of 72

Commitment: All the actors commit to their contribution to transforming markets.

The selection criteria include:

June 2018 Page 5 of 72

Potential List (already required to be measured, monitored and/or reported)

June 2018 Page 6 of 72

5 Structure of the P&Cs

Impact Goal Prosperity: Competitive, resilient, and sustainable sector

Impact Goal People: Sustainable Livelihoods & Poverty Reduction

Impact Goal Planet: Conserved, protected and enhanced ecosystems that

Role of each standard element:

Principle Fundamental statements about A fundamental statement about a Normative

Role of Terms and Definitions

June 2018 Page 7 of 72

June 2018 Page 8 of 72

Impact Goal Prosperity: Competitive, resilient, and sustainable sector

Principle 1 Transparency and ethics

Principle 1: Transparency and Ethics

Criteria Indicators Outcome

June 2018 Page 9 of 72

Criteria Indicators Outcome

Criteria Indicators Restructured Outcome

June 2018 Page 10 of 72

Criteria Indicators Restructured Outcome

June 2018 Page 11 of 72

Principle 3: Planning Procedures and Improvement

June 2018 Page 12 of 72

Criteria Indicators Restructured Outcome

June 2018 Page 13 of 72

Criteria Indicators Restructured Outcome

June 2018 Page 14 of 72

Criteria Indicators Restructured Outcome

June 2018 Page 15 of 72

Note for Public Consultation on Incorporation of Supply Chain requirements:

Criteria Indicators Restructured Outcome

June 2018 Page 16 of 72

June 2018 Page 17 of 72

IP only: The objective is for 100 % segregated material to be reached.

June 2018 Page 18 of 72

Impact Goal People: Sustainable Livelihoods & Poverty Reduction

Principle 4 Community Wellbeing

Principle 4 Community Rights and Benefits

Criteria Indicators Restructured Outcome

June 2018 Page 19 of 72

June 2018 Page 20 of 72

June 2018 Page 21 of 72

June 2018 Page 22 of 72

June 2018 Page 23 of 72

people who can

Principle 5: Smallholder Inclusivity

Criteria Indicators Restructured Outcome

June 2018 Page 24 of 72

Criteria Indicators Restructured Outcome

5.1.4 (old 6.10.4) Agreed payments are made in a timely manner.

Principle 6: Workers rights and conditions